ISSN 1977-091X |
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Official Journal of the European Union |
C 158 |
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English edition |
Information and Notices |
Volume 64 |
Contents |
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I Resolutions, recommendations and opinions |
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RESOLUTIONS |
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European Parliament |
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Thursday 18 April 2019 |
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2021/C 158/01 |
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2021/C 158/02 |
European Parliament resolution of 18 April 2019 on Cameroon (2019/2691(RSP)) |
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2021/C 158/03 |
European Parliament resolution of 18 April 2019 on Brunei (2019/2692(RSP)) |
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2021/C 158/04 |
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2021/C 158/05 |
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II Information |
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INFORMATION FROM EUROPEAN UNION INSTITUTIONS, BODIES, OFFICES AND AGENCIES |
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European Parliament |
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Wednesday 17 April 2019 |
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2021/C 158/06 |
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2021/C 158/07 |
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III Preparatory acts |
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European Parliament |
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Tuesday 16 April 2019 |
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2021/C 158/08 |
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2021/C 158/09 |
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2021/C 158/10 |
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2021/C 158/11 |
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2021/C 158/12 |
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2021/C 158/13 |
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2021/C 158/14 |
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2021/C 158/15 |
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2021/C 158/16 |
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2021/C 158/17 |
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2021/C 158/18 |
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2021/C 158/19 |
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2021/C 158/20 |
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2021/C 158/21 |
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2021/C 158/22 |
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2021/C 158/23 |
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2021/C 158/24 |
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2021/C 158/25 |
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2021/C 158/26 |
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2021/C 158/27 |
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2021/C 158/28 |
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2021/C 158/29 |
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2021/C 158/30 |
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2021/C 158/31 |
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2021/C 158/32 |
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2021/C 158/33 |
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2021/C 158/34 |
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2021/C 158/35 |
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2021/C 158/36 |
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2021/C 158/37 |
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2021/C 158/38 |
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2021/C 158/39 |
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2021/C 158/40 |
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Wednesday 17 April 2019 |
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2021/C 158/41 |
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2021/C 158/42 |
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2021/C 158/43 |
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2021/C 158/44 |
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2021/C 158/45 |
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2021/C 158/51 |
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2021/C 158/53 |
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2021/C 158/54 |
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2021/C 158/55 |
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2021/C 158/56 |
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2021/C 158/57 |
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2021/C 158/58 |
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2021/C 158/59 |
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2021/C 158/60 |
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2021/C 158/61 |
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2021/C 158/62 |
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2021/C 158/63 |
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2021/C 158/64 |
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2021/C 158/65 |
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2021/C 158/66 |
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2021/C 158/67 |
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2021/C 158/68 |
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Thursday 18 April 2019 |
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2021/C 158/69 |
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2021/C 158/70 |
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2021/C 158/71 |
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2021/C 158/72 |
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2021/C 158/73 |
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2021/C 158/74 |
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2021/C 158/75 |
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2021/C 158/76 |
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2021/C 158/77 |
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2021/C 158/78 |
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2021/C 158/80 |
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2021/C 158/81 |
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2021/C 158/82 |
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2021/C 158/83 |
Key to symbols used
(The type of procedure depends on the legal basis proposed by the draft act.) Amendments by Parliament: New text is highlighted in bold italics . Deletions are indicated using either the ▌symbol or strikeout. Replacements are indicated by highlighting the new text in bold italics and by deleting or striking out the text that has been replaced. |
EN |
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30.4.2021 |
EN |
Official Journal of the European Union |
C 158/1 |
EUROPEAN PARLIAMENT
2019-2020 SESSION
Sittings of 15 to 18 April 2019
The Minutes of this session have been published in OJ C 69, 26.2.2021.
TEXTS ADOPTED
I Resolutions, recommendations and opinions
RESOLUTIONS
European Parliament
Thursday 18 April 2019
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/2 |
P8_TA(2019)0422
China, notably the situation of religious and ethnic minorities
European Parliament resolution of 18 April 2019 on China, notably the situation of religious and ethnic minorities (2019/2690(RSP))
(2021/C 158/01)
The European Parliament,
— |
having regard to its previous resolutions on the situation in China, in particular those of 26 November 2009 on China: minority rights and application of the death penalty (1), of 10 March 2011 on the situation and cultural heritage in Kashgar (Xinjiang Uyghur Autonomous Region) (2), of 15. December 2016 on the cases of the Larung Gar Tibetan Buddhist Academy and Ilham Tohti (3), of 12 September 2018 on the state of EU-China relations (4) and of 4 October 2018 on mass arbitrary detention of Uyghurs and Kazakhs in the Xinjiang Uyghur Autonomous Region (5), |
— |
having regard to the EU-China Strategic Partnership launched in 2003 and to the joint communication from the Commission and the High Representative of the Union for Foreign Affairs and Security Policy of 22 June 2016 entitled ‘Elements for a new EU strategy on China’(JOIN(2016)0030), |
— |
having regard to the EU guidelines on the promotion and protection of freedom of religion or belief, adopted by the Foreign Affairs Council on 24 June 2013, |
— |
having regard to the joint communication from the Commission and the High Representative of the Union for Foreign Affairs and Security Policy of 12 March 2019 entitled ‘EU-China — A strategic outlook’(JOIN(2019)0005), |
— |
having regard to the ‘Joint statement of the 21st EU-China summit’ of 9 April 2019, |
— |
having regard to the EU-China dialogue on human rights, launched in 1995, and the 37th round thereof, held in Brussels on 1 and 2 April 2019, |
— |
having regard to Article 36 of the Constitution of the People’s Republic of China, which guarantees all citizens the right to freedom of religious belief, and to Article 4 thereof, which upholds the rights of ‘minority nationalities’, |
— |
having regard to the International Covenant on Civil and Political Rights of 16 December 1966, signed by China in 1998, but not ratified, |
— |
having regard to the Universal Declaration of Human Rights of 1948, |
— |
having regard to the concluding observations of the UN Committee on the Elimination of Racial Discrimination’s review of China, |
— |
having regard to Rules 135(5) and 123(4) of its Rules of Procedure, |
A. |
whereas in its strategic framework on human rights and democracy, the EU pledges that human rights, democracy, and the rule of law will be promoted ‘in all areas of the EU’s external actions without exception’, and that the EU will ‘place human rights at the centre of its relations with all third countries including strategic partners’; whereas this should remain at the centre of the long-standing relationship between the EU and China, in accordance with the EU’s commitment to uphold these very same values in its external action and China’s expressed interest in respecting international laws and standards relating to human rights in its own development; |
B. |
whereas China has been successful in lifting 700 million people out of poverty, but whereas since President Xi Jinping assumed power in March 2013, the human rights situation in China has continued to deteriorate, with the government stepping up its hostility towards peaceful dissent, the freedoms of expression and religion, and the rule of law; whereas the Chinese authorities have detained and prosecuted hundreds of human rights defenders, lawyers and journalists; |
C. |
whereas the new regulations on religious affairs that took effect on 1 February 2018 are more restrictive towards religious groups and activities, and force them to fall more closely into line with party policies; whereas freedom of religion and conscience has reached a new low point since the start of the economic reforms and the opening up of China in the late 1970s; whereas China is home to one of the largest populations of religious prisoners; |
D. |
whereas, while an accord was reached between the Holy See and the Chinese Government in September 2018 concerning the appointments of bishops in China, the Christian religious communities have been facing increasing repression in China, with Christians, both in underground and government-approved churches, being targeted through the harassment and detention of believers, the demolition of churches, the confiscation of religious symbols and the crackdown on Christian gatherings; whereas Chinese authorities in some provinces do not allow persons under 18 years of age to attend religious activities; whereas in September 2018 China banned the Zion Church, the biggest house congregation in China with more than 1 500 followers; |
E. |
whereas the situation in Xinjiang, where 10 million Muslim Uyghurs and ethnic Kazakhs live, has rapidly deteriorated, as stability and the control of Xinjiang has been elevated to a top priority of the Chinese authorities, driven by both periodic terrorist attacks in, or allegedly connected to, Xinjiang by Uyghurs and the strategic location of the Xinjiang Uyghur Autonomous Region for the Belt and Road Initiative; whereas there is information that the Xinjiang camp system has expanded into other parts of China; |
F. |
whereas an extrajudicial detention programme has been established, holding ‘from tens of thousands to upwards of a million Uyghurs’ who are being forced to undergo political ‘re-education’ according to estimates cited by the UN Committee on the Elimination of Racial Discrimination, without being charged or tried, for undetermined periods of time, and are therefore being arbitrarily detained under the pretext of countering terrorism and religious extremism; whereas a policy of strict restrictions on religious practices and the Uyghur language and customs has been developed in the Xinjiang province; |
G. |
whereas a sophisticated network of invasive digital surveillance has been developed, including facial recognition technology and data collection; |
H. |
whereas the Chinese Government has refused numerous requests from the UN Working Group on Enforced or Involuntary Disappearances (WGEID), the UN High Commissioner for Human Rights and other UN Special Procedures mandates to send independent investigators to Xinjiang; |
I. |
whereas the situation in Tibet has deteriorated over the past few years, in spite of economic growth and infrastructure development, with the Chinese Government curtailing a wide range of human rights under the pretext of security and stability, and engaging in relentless attacks against Tibetan identity and culture; |
J. |
whereas the surveillance and control measures in Tibet have been on the increase over the past few years, as well as arbitrary detentions, acts of torture and ill-treatment; whereas the Chinese Government has created an environment in Tibet in which there are no limits to state authority, the climate of fear is pervasive, and every aspect of public and private life is tightly controlled and regulated; whereas in Tibet, any acts of non-violent dissent or criticism of state policies with regard to ethnic or religious minorities can be considered as ‘splittist’ and therefore criminalised; whereas access to the Tibet Autonomous Region today is more restricted than ever before; |
K. |
whereas an extremely high number of Tibetans, mostly monks and nuns, have reportedly set themselves on fire since 2009 in protest against restrictive Chinese policies in Tibet, and in support of the return of the Dalai Lama and the right to religious freedom in the Aba/Ngaba county prefecture in Sichuan Province and other parts of the Tibetan plateau; whereas no progress has been made in the resolution of the Tibetan crisis in the last 10 years; |
1. |
Is deeply concerned about the increasingly repressive regime that many religious and ethnic minorities, in particular Uyghurs and Kazakhs, Tibetans and Christians face, placing additional restraints on the constitutional guarantees of their right to freedom of cultural expression and religious belief, to freedom of speech and expression and to peaceful assembly and association; demands that the authorities respect these fundamental freedoms; |
2. |
Calls on the Chinese Government to immediately end the practice of arbitrary detentions, without any charge, trial or conviction for criminal offence, of members of the Uyghur and Kazakh minority and Tibetans, to close all camps and detention centres and to release the detained persons immediately and unconditionally; |
3. |
Calls for the immediate release of arbitrarily detained people, prisoners of conscience, including practitioners of Falun Gong and for a stop to be put to enforced disappearances, and insists that all individuals are able to choose their legal representative, have access to their family and to medical assistance, as well as have their cases investigated; |
4. |
Calls on the Chinese Government to immediately release: Uyghurs, including Ilham Tohti, Tashpolat Tiyip, Rahile Dawut, Eli Mamut, Hailaite Niyazi, Memetjan Abdulla, Abduhelil Zunun, and Abdukerim Abduweli; individuals persecuted for their religious beliefs, including Zhang Shaojie, Hu Shigen, Wang Yi, and Sun Qian; Tibetan activists, writers and religious figures who face criminal charges or have been imprisoned for exercising their right to freedom of expression, including Tashi Wangchuk and Lobsang Dargye; |
5. |
Calls for the immediate release of the Swedish national book publisher Gui Minhai and the two Canadian citizens Michael Spavor and Michael Kovrig; |
6. |
Urges the Chinese Government to release the full details of persons disappeared in Xinjiang to their families; |
7. |
Calls on the Chinese authorities to end their campaigns against Christian congregations and organisations and to stop the harassment and detention of Christian pastors and priests and the forced demolitions of churches; |
8. |
Calls on the Chinese authorities to uphold the linguistic, cultural, religious and other fundamental freedoms of Tibetans, and to refrain from settlement policies in favour of the Han people and to the disadvantage of the Tibetans, as well as from forcing Tibetan nomads to abandon their traditional lifestyle; |
9. |
Condemns the campaigns carried out via the ‘patriotic education’ approach, including measures to stage-manage Tibetan Buddhist monasteries; is concerned that China’s criminal law is being abused to persecute Tibetans and Buddhists, whose religious activities are equated with ‘separatism’; deplores the fact that the environment for practising Buddhism in Tibet has worsened significantly after the Tibetan protests of March 2008, with the Chinese Government adopting a more pervasive approach to ‘patriotic education’; |
10. |
Urges the Chinese authorities to implement the constitutionally guaranteed right to freedom of religious belief for all Chinese citizens; |
11. |
Recalls the importance of the EU and its Member States raising the issue of human rights violations at every political level with the Chinese authorities, in line with the EU’s commitment to project a strong, clear and unified voice in its approach to the country, including the annual Human Rights Dialogue, Strategic Dialogue, High-Level Economic Dialogue, and Summit, as well as the forthcoming Euro-Asia Summit; |
12. |
Underlines that while in their joint statement issued after the 21st EU-China Summit, the EU and China reaffirmed that all human rights are universal, indivisible, interdependent and interrelated, the EU should urge China to act accordingly; deplores the fact that at the EU-China Summit of 9 April 2019 urgent human rights concerns once again played a marginal role; takes the view that if and when EU-China summit language is weak on human rights, the Council, the European External Action Service (EEAS) and the Commission should decline to include it at all and issue a separate communication on the topic with a meaningful assessment both of the situation and why stronger language could not be agreed; |
13. |
Calls on EU Member States to prevent any activities undertaken by the Chinese authorities in the EU’s territory to harass members of Turkic communities, Tibetans and other religious or ethnic groups in order to compel them to act as informants, to force their return to China or silence them; |
14. |
Calls on the Chinese authorities to allow free, meaningful and unhindered access to Xinjiang province and Tibet Autonomous Region for journalists and international observers, including for the UN High Commissioner for Human Rights and UN Special Procedures; calls for the EU and the Member States to take the lead during the next session of the UN Human Rights Council on a resolution establishing a fact-finding mission to Xinjiang; |
15. |
Calls on the Chinese Government to guarantee unfettered respect of citizens’ rights in the Chinese Constitution, with regard to Article 4, which protects national minorities; Article 35, which protects the freedoms of speech, the press, assembly, association, procession and demonstration; Article 36, which recognises the right to freedom of religious belief; and Article 41, which guarantees the right to criticise and make suggestions regarding any state organ or official; |
16. |
Urges China to ratify the International Covenant on Civil and Political Rights; |
17. |
Urges China to give EU diplomats, journalists and citizens unfettered access to Tibet in reciprocity for the free and open access to the entire territories of the EU Member States that Chinese travellers enjoy; urges the EU institutions to take the issue of access to Tibet into serious consideration in the discussions on the EU-China visa facilitation agreement; |
18. |
Expresses its disappointment at the fact that the 37th round of the EU-China Human Rights Dialogue brought no substantial results; regrets, furthermore, that the Chinese delegation did not take part on 2 April in the continuation of the dialogue that provided for an exchange of views with civil society organisations; |
19. |
Urges the VP/HR, the EEAS and Member States to monitor the worrying human rights developments in Xinjiang more intensively, including increased government repression and surveillance, and to speak out against violations of human rights in China both privately and publicly; |
20. |
Calls on the Council to consider adopting targeted sanctions against officials responsible for the crackdown in the Xinjiang Uyghur Autonomous Region; |
21. |
Calls for the EU, its Member States and the international community to halt all exports and technology transfers of goods and services that are being used by China to extend and improve its cyber surveillance and predictive profiling apparatus; is deeply concerned that China is already exporting such technologies to authoritarian states around the world; |
22. |
Instructs its President to forward this resolution to the Vice-President of the Commission / High Representative of the Union for Foreign Affairs and Security Policy, the Council, the Commission, the governments and parliaments of the Member States, and the Government and the Parliament of the Peoples’ Republic of China. |
(1) OJ C 285 E, 21.10.2010, p. 80.
(2) OJ C 199 E, 7.7.2012, p. 185.
(3) OJ C 238, 6.7.2018, p. 108.
(4) Texts adopted, P8_TA(2018)0343.
(5) Texts adopted, P8_TA(2018)0377.
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/7 |
P8_TA(2019)0423
Cameroon
European Parliament resolution of 18 April 2019 on Cameroon (2019/2691(RSP))
(2021/C 158/02)
The European Parliament,
— |
having regard to the statement of 7 March 2019 by the Chair of its Subcommittee on Human Rights, Antonio Panzeri, on the situation in Cameroon, |
— |
having regard to the declaration of 5 March 2019 by the Vice-President of the Commission / High Representative of the Union for Foreign Affairs and Security Policy (VP/HR) on the deteriorating political and security situation in Cameroon, |
— |
having regard to the various statements by the Spokesperson of the VP/HR on the situation in Cameroon, in particular that of 31 January 2019, |
— |
having regard to the Preliminary Statement of 9 October 2018 of the African Union Election Observation Mission to the 2018 presidential elections in Cameroon, |
— |
having regard to the statement of 11 December 2018 by UN experts on the crackdown on protests, |
— |
having regard to the statement of 6 March 2019 of the African Commission on Human and Peoples’ Rights on the human rights situation in Cameroon, |
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having regard to Cameroon’s anti-terrorism law of 2014, |
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having regard to the Universal Declaration of Human Rights, |
— |
having regard to the International Covenant on Civil and Political Rights of 1966, |
— |
having regard to the ACP-EU Partnership Agreement (‘Cotonou Agreement’), |
— |
having regard to the African Charter on Human and Peoples’ Rights of 1981, which Cameroon has ratified, |
— |
having regard to the Constitution of the Republic of Cameroon, |
— |
having regard to Rules 135(5) and 123(4) of its Rules of Procedure, |
A. |
whereas Cameroon faces a number of simultaneous political and security challenges, including threats from Boko Haram in its Far North region, cross-border threats along its eastern border with the Central African Republic, and an internal armed separatist rebellion in its Anglophone Northwest and Southwest regions; |
B. |
whereas presidential elections were held in Cameroon on 7 October 2018; whereas these elections were marked by allegations of fraud and the reporting of irregularities; whereas President Paul Biya has been in power since 1982; whereas the constitution of Cameroon was amended in 2008 to remove term limits; |
C. |
whereas supporters and allies of the Cameroon Renaissance Movement (MRC) opposition party led by Maurice Kamto organised protests in Douala, Yaoundé, Dshang, Bafoussam and Bafang; whereas state security forces used disproportionate force, including tear gas and rubber bullets, to suppress these protests; |
D. |
whereas around 200 people, including Maurice Kamto and other opposition leaders, were arbitrarily arrested in January 2019 and detained without immediate access to a lawyer; whereas the crimes with which these opposition supporters and their leader have been charged include insurrection, hostilities against the fatherland, rebellion, destruction of public buildings and goods, contempt of the President of the Republic and gatherings of a political nature; |
E. |
whereas on 9 April 2019 the Court of Appeal in Cameroon’s Central Region confirmed the decision taken in the first instance, and rejected the release of Maurice Kamto and six others; whereas the proceedings in the Court of Appeal took place in the absence of Maurice Kamto and his lawyers; |
F. |
whereas the Cameroonian authorities have taken disproportionate action in initiating military trials of some of the opposition members, exacerbating the political unrest in Cameroon; whereas the accused, if convicted, could face the death penalty; |
G. |
whereas the Cameroonian authorities have repeatedly restricted freedom of expression by shutting down the internet, harassing and detaining journalists, refusing licenses to independent media and stepping up political attacks against the independent press; |
H. |
whereas tensions persist between Cameroon’s majority Francophone and minority Anglophone communities; whereas Cameroon’s Northwest and Southwest regions remain predominantly English-speaking with different education and legal systems; |
I. |
whereas in late 2016 the discrimination against and relative neglect of the Anglophone regions, and the imposition of the French legal system and language in their courts and classrooms, led to peaceful strikes by teachers and lawyers and to peaceful demonstrations; |
J. |
whereas the violence has escalated since October 2018, and the large-scale operations conducted by the security forces often involve abuses and lead to human rights violations, including unlawful killings, rape, violence against women and children, and the destruction of property; |
K. |
whereas armed separatists have carried out mass kidnappings, including of schoolchildren and students, have undertaken targeted killings of police, law enforcement and local authority officials, have been involved in extortion, have enforced weekly ‘ghost town’ protests, and have boycotted and torched educational institutions and hospitals, thereby depriving thousands of young people of access to education, and the general population of access to healthcare; |
L. |
whereas, as a result of the crisis, an estimated 444 000 people have been internally displaced and a further 32 000 have fled to neighbouring Nigeria; whereas the overall humanitarian crisis facing Cameroon encompasses over 600 000 internally displaced people, around 35 000 refugees from neighbouring conflicts, and 1,9 million people at risk of food insecurity; |
M. |
whereas in 2018 and 2019 the Government of Cameroon implemented the Emergency Humanitarian Assistance Plan for the Northwest and Southwest regions with a view to ensuring multi-faceted protection of and assistance to displaced persons as a matter of priority and the provision of healthcare to people affected by the crisis; |
N. |
whereas gender-based violence and the persecution of minorities remain serious problems; whereas Cameroon’s penal code punishes sexual relations between persons of the same sex with up to five years of imprisonment; whereas the police and ‘gendarmes’ (military police) continue to arrest and harass LGTBQI people; |
O. |
whereas Boko Haram continues to commit serious human rights abuses and violations of international humanitarian law in the Far North region, including the looting and destruction of property, and the killing and abduction of civilians; |
1. |
Deplores the cases of torture, forced disappearances and extrajudicial killings perpetrated by the security services and armed separatists; expresses particular concern at the actions of government forces in the violence; calls on the security forces to respect international human rights law when carrying out operations, and calls on the Government to take immediate steps to end the violence and impunity in the country; |
2. |
Condemns the use of excessive force against protestors and political opponents, and violations of the freedoms of the press, expression and assembly; deeply regrets the arrest and detention of Maurice Kamto and other peaceful protestors; calls for the immediate release by the Cameroonian authorities of Maurice Kamto and all other detainees held on politically motivated charges, regardless of whether they were arrested before or after the 2018 presidential elections; |
3. |
Further calls on the Government of Cameroon to cease all harassment and intimidation of political activists, including by lifting the ban on peaceful political gatherings, demonstrations and protests, and to take action to clamp down on instances of hate speech; |
4. |
Recalls that military courts should not, under any circumstances, have jurisdiction over the civilian population; reminds Cameroon of its international obligations to uphold the right to a fair trial for all citizens before independent courts of law; |
5. |
Recalls that the death penalty has not been used in Cameroon since 1997; notes that this is a milestone in the country’s path to full abolition; reiterates the European Union’s absolute opposition to the death penalty and calls on the Government of Cameroon to confirm that it will not seek the death penalty for political activists and protesters; |
6. |
Expresses concern at the Government of Cameroon’s failure to hold its security forces to account, which has exacerbated the violence and the culture of impunity; calls for an independent and transparent investigation into the use of force by the police and security forces against protesters and political opponents, and for those responsible to be held to account in fair trials; |
7. |
Urges Cameroon’s authorities to adopt all necessary measures consistent with the country’s human rights obligations to end the cycle of violence; calls in particular for the Government to organise an inclusive political dialogue aimed at finding a peaceful and lasting solution to the crisis in the Anglophone regions; calls on the international community to help facilitate an inclusive national peace dialogue by offering to play a mediating role; |
8. |
Regrets the unwillingness of both parties to the conflict to engage in peace talks; urges the African Union and the Economic Community of the Central African States to push for the organisation of such talks and calls for the EU to stand ready to support this process; considers that, in the absence of progress, the crisis in Cameroon should be considered by the United Nations Security Council; further calls for the EU to use the political leverage provided by development aid and other bilateral programmes to enhance the defence of human rights in Cameroon; |
9. |
Urges the Government of Cameroon to build a genuine, representative and vibrant democracy; calls therefore on the Government to convene all political stakeholders for a consensual review of the electoral system, with the aim of ensuring a free, transparent and credible electoral process; calls for this process to take place before any further elections are held in order to promote peace and avoid post-electoral crises; calls for the EU to step up technical assistance to support Cameroon in its efforts to strengthen its electoral procedures and make them more democratic; |
10. |
Reiterates that a vibrant and independent civil society is essential for upholding human rights and the rule of law; expresses concern that the activities of the Cameroon Anglophone Civil Society Consortium have been banned; urges the Government to lift the ban and ensure an open space in which civil society can operate; |
11. |
Expresses concern that the 2014 anti-terrorism law is being misused to restrict fundamental freedoms; supports the requests made by UN experts that the law be reviewed to ensure that it is not used to restrict the rights to freedom of expression, peaceful assembly and association; |
12. |
Notes the decision of the United States to scale back its military assistance to Cameroon owing to credible allegations of gross violations of human rights by security forces; calls on the Commission to undertake an assessment of EU support to security services in this regard and to report back to the European Parliament; calls for the EU and its Member States to ensure that no support given to the Cameroonian authorities contributes to or facilitates human rights violations; |
13. |
Instructs its President to forward this resolution to the Council, the Commission, the Vice-President of the European Commission / High Representative of the Union for Foreign Affairs and Security Policy, the EU Special Representative for Human Rights, the ACP-EU Council, the institutions of the African Union, and the Government and Parliament of Cameroon. |
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/11 |
P8_TA(2019)0424
Brunei
European Parliament resolution of 18 April 2019 on Brunei (2019/2692(RSP))
(2021/C 158/03)
The European Parliament,
— |
having regard to the statement of 3 April 2019 by the Spokesperson of the Vice-President of the Commission / High Representative of the Union for Foreign Affairs and Security Policy (VP/HR) on the implementation of the Penal Code Order in Brunei Darussalam, |
— |
having regard to the EU Guidelines on the death penalty, on torture and other cruel, inhuman or degrading treatment or punishment, on human rights defenders, and on the promotion and protection of the enjoyment of all human rights by LGTBI persons, |
— |
having regard to the statement of 1 April 2019 by the UN High Commissioner for Human Rights, Michelle Bachelet, urging Brunei to stop the entry into force of the ‘draconian’ new penal code, |
— |
having regard to the Universal Declaration of Human Rights, |
— |
having regard to the UN Convention against Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment, which Brunei signed in 2015, |
— |
having regard to the Convention on the Rights of the Child, |
— |
having regard to the Convention on the Elimination of All Forms of Discrimination against Women, |
— |
having regard to the ASEAN Human Rights Declaration of 2012, |
— |
having regard to the ASEAN-EU Plan of Action 2018-2022, |
— |
having regard to the ASEAN-EU Policy Dialogue on Human Rights of 29 November 2017, |
— |
having regard to the statement of 2 April 2019 by the Deputy Spokesperson of the US State Department on the implementation of phases two and three of the Sharia Penal Code in Brunei, |
— |
having regard to Rules 135(5) and 123(4) of its Rules of Procedure, |
A. |
whereas in 2014 Brunei introduced the Sharia Penal Code, to be implemented in three phases; whereas the third phase of implementation entered into force on 3 April 2019; whereas this third phase puts into effect provisions including death by stoning for consensual same-sex acts, extramarital sex and abortion, as well as amputation of limbs for stealing; whereas the code also imposes the death penalty for insulting or defamation of Prophet Mohammad by both Muslims and non-Muslims; whereas the Sharia Penal Code applies to both Muslims and non-Muslims, including foreigners, as well as to offences committed outside the country by citizens or permanent residents; |
B. |
whereas children who have reached puberty and are convicted of the offences concerned can receive the same punishments as adults; whereas some younger children may be subjected to whipping; |
C. |
whereas, prior to the introduction of the Sharia Penal Code, homosexuality was illegal in Brunei and was punishable by up to 10 years’ imprisonment; |
D. |
whereas the last elections in Brunei were held in 1962; whereas the Sultan occupies the roles of both Head of State and Prime Minister, and is invested with full executive authority; |
E. |
whereas the UN Special Rapporteur on Torture has stated that any form of corporal punishment is contrary to the prohibition of torture and other cruel, inhuman or degrading treatment or punishment, and cannot be considered a lawful sanction under international law; whereas some of the punishments enshrined in the Penal Code amount to torture, cruel, inhumane and degrading treatment as prohibited by the Convention against Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment, to which Brunei has been a signatory since 2015; |
F. |
whereas the provisions under the Sharia Penal Code violate Brunei’s obligations in international human rights law, including the right to life, freedom from torture and other ill-treatment, freedom of expression, freedom of religion and the right to privacy; whereas the provisions of the code discriminate on the basis of sexual orientation, as well as against women and against religious minorities in Brunei, and may incite violence; |
G. |
whereas the Joint UN Programme on HIV and AIDS (UNAIDS) and the UN Population Fund (UNFPA) have stated that the provisions of the Brunei Penal Code that criminalise homosexuality and punish forms of reproductive healthcare have a disproportionate impact on women and LGBTI people, creating barriers to accessing health information and services, impeding access to sexual and reproductive health and rights, and negatively affecting public health; |
H. |
whereas tradition, religion and culture in Brunei are used to justify discrimination against women and LGTBI people; whereas the report on Brunei of 11 March 2019 of the Office of the UN High Commissioner for Human Rights i states that there are deep-rooted patriarchal attitudes and use of discriminatory stereotypes which are reflected in women’s academic and professional choices, their unequal position in the labour market, and in marriage and family relations; whereas these stereotypes are root causes of violence against women; |
I. |
whereas Brunei is known for its multi-ethnic population with a wide variety of religions, including Islam, Christianity, Buddhism, Hinduism and various indigenous religions, living peacefully together; whereas Brunei’s constitution recognises religious freedom and prescribes that ‘all religions may be practised in peace and harmony by the persons professing them’; whereas, despite Brunei’s constitution, the Government has prohibited the proselytising and teaching of all religions but Islam, and has banned all public Christmas celebrations; |
J. |
whereas Brunei has a de facto moratorium on the use of the death penalty, with the last execution having been carried out in 1957; whereas the Sharia Penal Code will effectively reintroduce the death penalty if implemented; whereas the EU condemns the death penalty, wherever, whenever; |
K. |
whereas the adoption of the new laws has sparked international outrage and calls for a boycott of the hotels owned by the Brunei Investment Agency (BIA); whereas this agency is part of Brunei’s Ministry of Finance and Economy and owns a variety of investment projects all over the world; whereas the BIA has stated that its core values include mutual respect and the positive valuation of difference and diversity; |
L. |
whereas Brunei has only ratified two UN core international human rights conventions, the Convention on the Rights of the Child and the Convention on the Elimination of All Forms of Discrimination against Women; whereas the third cycle of the Universal Periodic Review of Brunei will be launched on 10 May 2019; |
M. |
whereas the EU has suspended the negotiations for a partnership and cooperation agreement with Brunei; |
1. |
Strongly condemns the entry into force of the retrograde Sharia Penal Code; urges the Brunei authorities to immediately repeal it and to ensure that Brunei’s laws comply with international law and standards consistently with Brunei’s obligations under international human rights instruments, including with regard to sexual minorities, religious minorities and non-believers; |
2. |
Reiterates its condemnation of the death penalty; calls on Brunei to continue its moratorium on the use of the death penalty as a step towards abolition; |
3. |
Strongly condemns the use of torture and cruel, degrading and inhuman treatment in all circumstances; underlines that the provisions of the Sharia Penal Code violate Brunei’s obligations under international human rights law, and that the punishments under it violate customary international law prohibitions against torture and other ill-treatment; |
4. |
Is deeply concerned by the fact that while many countries are decriminalising consensual same-sex conduct, Brunei has regrettably become the seventh country to punish consensual homosexual acts with the death penalty; calls on the authorities of Brunei to respect international human rights and to decriminalise homosexuality; |
5. |
Calls on the Brunei authorities to ensure the principle of equality before the law of all citizens and respect for the fundamental rights of all citizens, without distinction on any grounds, including gender, sexual orientation, race or religion; is strongly concerned about the possible application of the criminal law to children; calls on Brunei under no circumstances to apply capital punishment, torture or imprisonment to such children; |
6. |
Calls on the Brunei authorities to fully respect religious freedom in the Sultanate, as laid down in its own constitution, and to allow the public celebration of all religious festivals, including Christmas; stresses that legislation in this regard must strictly comply with human rights; |
7. |
Encourages the Brunei authorities to foster political dialogue with key civil society stakeholders, human rights organisations, faith-based institutions and business organisations, both inside and outside Brunei, in order to foster and safeguard human rights on its territory; highlights the right to express critical or satirical opinions as a legitimate exercise of freedom of expression, enshrined in the international human rights framework; |
8. |
Urges Brunei to ratify the remaining UN core international human rights instruments, including the International Covenant on Civil and Political Rights and the Convention against Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment; calls on the Brunei authorities to extend a standing invitation to visit in the framework of all Special Procedures of the UN Human Rights Council; |
9. |
Calls on the European External Action Service (EEAS), in the event of effective implementation of the Sharia Penal Code, to consider the adoption at EU level of restrictive measures related to serious human rights violations, including asset freezes and visa bans; |
10. |
Calls on the VP/HR to make the relaunch of the negotiations for the EU-Brunei partnership and cooperation agreement subject to the conformity of the Penal Code with international law and international human rights standards; |
11. |
Highlights the work of human rights defenders in promoting and protecting the rights of LGTBI persons; calls on the EU institutions to increase their support to civil society organisations and human rights defenders in Brunei; |
12. |
Calls on the EU Delegation to Indonesia and Brunei Darussalam in Jakarta, the EU Delegation to ASEAN and the EEAS to closely monitor the situation and to consult with the Brunei authorities, ambassadors and representatives in this regard; calls on the EEAS to include the situation in Brunei as an item on the agenda of the next ASEAN-EU Policy Dialogue on Human Rights; |
13. |
Encourages the Member States to actively participate in the forthcoming Universal Periodic Review, which will take place from 6 to 17 May 2019 and will examine Brunei’s human rights record; |
14. |
Stresses that for as long as the current Penal Code is in force, the EU institutions must consider blacklisting the hotels owned by the Brunei Investment Agency; |
15. |
Calls for the EU and its Member States to respect the international legal framework with regard to access to asylum procedures and humanitarian protection for victims of Brunei’s current Penal Code; |
16. |
Instructs its President to forward this resolution to the Council, the Commission, the Vice-President of the Commission / High Representative of the Union for Foreign Affairs and Security Policy, the European External Action Service, the governments of the Member States, the UN Secretary-General, the UN High Commissioner for Human Rights, the UN Commission on the Status of Women, the UN Human Rights Council, the ASEAN Secretariat, the ASEAN Intergovernmental Commission on Human Rights, the Sultan of Brunei, Hassanal Bolkiah, and the Government of Brunei. |
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/15 |
P8_TA(2019)0440
Negotiations with Council and Commission on European Parliament's right of inquiry: legislative proposal
European Parliament resolution of 18 April 2019 on the negotiations with the Council and Commission on the legislative proposal for a regulation on the European Parliament’s right of inquiry (2019/2536(RSP))
(2021/C 158/04)
The European Parliament,
— |
having regard to the first paragraph of Article 14 of the Treaty on European Union (TEU), |
— |
having regard to the third paragraph of Article 226 of the Treaty on the Functioning of the European Union (TFEU), |
— |
having regard to its legislative resolution of 16 April 2014 on a proposal for a regulation of the European Parliament on the detailed provisions governing the exercise of the European Parliament’s right of inquiry and repealing Decision 95/167/EC, Euratom, ECSC of the European Parliament, the Council and the Commission (1), |
— |
having regard to the respective paragraphs in its recommendation of 13 December 2017 to the Council and the Commission following the inquiry into money laundering, tax avoidance and tax evasion (PANA resolution, paragraphs 190-200) (2) and its recommendation of 4 April 2017 to the Council and the Commission following the inquiry into emission measurements in the automotive sector (EMIS resolution, paragraphs 76-94) (3), |
— |
having regard to the decision of its Conference of Presidents of 18 September 2014, in accordance with Rule 229 of its Rules of Procedure, to continue with consideration during the new parliamentary term of the above-mentioned legislative proposal for a regulation on the European Parliament’s right of inquiry, |
— |
having regard to the three working documents (4) of the Committee on Constitutional Affairs on the above-mentioned legislative proposal, |
— |
having regard to the concerns of the Council and the Commission regarding this legislative proposal, as expressed in the letter of 4 April 2014 to the Secretary-General of the European Parliament from the Secretaries-General of the Council and the Commission and in the letters to the Chair of the Committee on Constitutional Affairs of 28 April 2015 from the First Vice-President of the Commission, 3 September 2015 from the Luxembourg Council Presidency, 13 October 2016 from the Slovak Council Presidency and 25 October 2018 from the Austrian Council Presidency, |
— |
having regard to the debate in plenary on 13 December 2017, and especially the replies by the Estonian Council Presidency and the Commission, following the questions for oral answer (Rule 128) tabled on 29 November 2017 by Danuta Maria Hübner on behalf of the Committee on Constitutional Affairs to the Council and to the Commission on the European Parliament’s right of inquiry, |
— |
having regard to the debate in plenary on 17 April 2019, following the questions for oral answer (Rule 128) tabled on 22 January 2019 to the Council and to the Commission by Danuta Maria Hübner on behalf of the Committee on Constitutional Affairs on the legislative proposal for a regulation on the European Parliament’s right of inquiry (5), |
— |
having regard to the motion for a resolution of the Committee on Constitutional Affairs (B8-0238/2019), |
— |
having regard to Rules 128(5) and 123(2) of its Rules of Procedure, |
A. |
whereas already in the first working document adopted by the Committee on Constitutional Affairs (AFCO) on 20 January 2015, it has been indicated that the ‘concerns’ expressed by the Council and the Commission ‘should not in themselves constitute an insurmountable objection’, with AFCO recognising that ‘there are alternative solutions and more flexible wordings, which would enable the deadlock on the regulation to be resolved’, indicating and proposing to the Council Presidency and to the Commission the way forward, with ‘political negotiations first’ followed by technical meetings; |
B. |
whereas the Council replied to this offer showing willingness and commitment to engage with Parliament, but with the condition that Parliament should first address the problematic and fundamental concerns of a legal and institutional nature; |
C. |
whereas AFCO adopted a second working document enabling the rapporteur to take further steps with the Council and Commission to negotiate a way to address the above-mentioned concerns; whereas a new negotiating strategy was adopted accordingly, and a document in the form of a non-paper describing, with political arguments, possible solutions for the way forward was sent to the Council and Commission on 30 June 2016; |
D. |
whereas on 10 October 2016 the three institutions decided to proceed with an informal exchange of views between their respective legal services so as to further clarify all the legal and institutional issues; whereas this enabled Parliament to propose a new wording of the regulation while leaving the main political divergences open; |
E. |
whereas despite the legal work done, the jurisconsults of the legal services of the Commission and Council were not able to formally endorse the document which emerged from the remarkable work carried out by the legal services of the three institutions, and this led to an effective standstill on this important file; whereas, consequently, a debate was held in plenary under AFCO’s auspices on 13 December 2017 following two questions for an oral answer, after which AFCO, on 3 May 2018, forwarded a new wording of the proposal in the form of a non-paper, representing the formal follow-up of the agreement reached between the AFCO Chair and the rapporteur, Ramón Jáuregui Atondo, with the Slovak Council Presidency and the Commission on 10 October 2016, stating that ‘in order for official negotiations to be launched, a presentation of a new wording of the EP proposal is necessary’; |
F. |
whereas the Council replied on 25 October 2018 to the proposed new wording based on the legal work carried out by the legal services, the experience of the two committees of inquiry (EMIS and PANA) established during this eighth term, and the proposal adopted by Parliament in 2014; whereas in its reply the Council formalised a new list of concerns, also going beyond the opinion of its own legal service, putting in question the work accomplished so far and listing the main institutional problems for Parliament, which are difficult to overcome; considers that by acting in this way the Council is not leaving any margin of manoeuvre for negotiations, while the idea behind the non-paper was in fact that the new text should open up negotiations and political discussions; |
G. |
whereas it is an inherent characteristic of all legislative chambers and a fundamental condition of the separation of powers in a democracy worthy of the name that a parliament should be able to hold the executive to account by setting up committees of inquiry with real powers to call witnesses and obtain documents; |
H. |
whereas all institutions of the European Union have regularly committed themselves to sincere cooperation, which in the case of the regulation in question is hard to discern; |
1. |
Expresses its deepest disagreement with the attitude of the Council (and the Commission), which is continuing to prevent, after more than four years of informal meetings and exchanges of letters and documents, a formal meeting to discuss at political level possible solutions to the problems identified, refusing to approve a political mandate to the Council Presidency that would open the door to meetings of a political nature aimed at resolving the most contentious issues and sounding out whether an agreement could be reached; |
2. |
Asks its President to bring Parliament’s concerns to the attention of the political leaders concerning the failure of the Council and Commission to comply with the principle of interinstitutional cooperation; |
3. |
Suggests that its Committee on Legal Affairs should examine the feasibility of preparing an action before the Court of Justice of the European Union in connection with the principle of mutual sincere cooperation between institutions (Article 13(2) of the TEU), and, in this connection, should also check and report on the violations by the Council of the actual legal framework of the committees of inquiry created during this term (PANA and EMIS); |
4. |
Underlines that as it is currently worded, the third paragraph of Article 226 of the TFEU, which stipulates a ‘special legislative procedure’ and requires the consent of the Council and the Commission for the adoption of a regulation on Parliament’s right of inquiry, does not oblige the Council and the Commission to negotiate, since they are obliged only to give or withhold their consent to Parliament’s proposal, and not to negotiate it with a view to reaching a common accord; |
5. |
Recommends that the legislative process arising from the right of legislative initiative conferred on Parliament by the Treaties must include, under the Interinstitutional Agreement on Better Law Making (IIA), a request for the establishment of a legislative calendar for the initiatives concerned, similarly as with the ordinary legislative procedure; underlines, moreover, that such a special legislative procedure must respect the provisions of the IIA concerning the institutional obligation to negotiate of all three institutions; |
6. |
Invites the Council and the Commission, if they are unable to give their consent to the proposal, to resume negotiations with the newly elected Parliament, acknowledging the progress made with the new wording of the proposal presented in the non-paper and based on the work carried out by the legal services of the three institutions; believes this is a more orderly and systematic text than that adopted in 2014, containing the same powers of investigation, but updated in line with the experiences of recent years and the current institutional reality; |
7. |
Calls on the political parties to ensure that their election programmes express their commitment to Parliament’s proposal for a new and updated regulation on its right of inquiry, and invites the different Spitzenkandidaten to offer their public and political support on this matter; |
8. |
Instructs its President to forward this resolution to the European Council, the Council, the Commission, the Court of Justice of the European Union and the national parliaments. |
(1) OJ C 443, 22.12.2017, p. 39.
(2) OJ C 369, 11.10.2018, p. 132.
(3) OJ C 298, 23.8.2018, p. 140.
(4) PE544.488v03-00, PE571.670v03-00 and PE630.750v01-00.
(5) O-000003/19 and O-000004/19.
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/18 |
P8_TA(2019)0441
A comprehensive European Union framework on endocrine disruptors
European Parliament resolution of 18 April 2019 on a comprehensive European Union framework on endocrine disruptors (2019/2683(RSP))
(2021/C 158/05)
The European Parliament,
— |
having regard to the Commission communication of 7 November 2018 (COM(2018)0734) entitled ‘Towards a comprehensive European Union framework on endocrine disruptors’ (hereinafter ‘the Communication’), |
— |
having regard to the Treaty on the Functioning of the European Union (TFEU) and, in particular, Article 191(2) thereof, |
— |
having regard to Regulation (EC) No 1107/2009 of the European Parliament and of the Council of 21 October 2009 concerning the placing of plant protection products on the market and repealing Council Directives 79/117/EEC and 91/414/EEC (1), |
— |
having regard to Commission Regulation (EU) 2018/605 of 19 April 2018 amending Annex II to Regulation (EC) No 1107/2009 by setting out scientific criteria for the determination of endocrine disrupting properties (2), |
— |
having regard to Regulation (EU) No 528/2012 of the European Parliament and of the Council of 22 May 2012 concerning the making available on the market and use of biocidal products (3), |
— |
having regard to Commission Delegated Regulation (EU) 2017/2100 of 4 September 2017 setting out scientific criteria for the determination of endocrine-disrupting properties pursuant to Regulation (EU) No 528/2012 of the European Parliament and Council (4), |
— |
having regard to Regulation (EC) No 1935/2004 of the European Parliament and of the Council of 27 October 2004 on materials and articles intended to come into contact with food and repealing Directives 80/590/EEC and 89/109/EEC (5), |
— |
having regard to Regulation (EC) No 1223/2009 of the European Parliament and of the Council of 30 November 2009 on cosmetic products (6), |
— |
having regard to Directive 2009/48/EC of the European Parliament and of the Council of 18 June 2009 on the safety of toys (7), |
— |
having regard to Regulation (EC) No 1272/2008 of the European Parliament and of the Council of 16 December 2008 on classification, labelling and packaging of substances and mixtures, amending and repealing Directives 67/548/EEC and 1999/45/EC, and amending Regulation (EC) No 1907/2006 (hereinafter ‘the CLP Regulation’) (8), |
— |
having regard to Decision No 1386/2013/EU of the European Parliament and of the Council of 20 November 2013 on a General Union Environment Action Programme to 2020 ‘Living well, within the limits of our planet’ (hereinafter ‘the 7th EAP’), and in particular Point 54 (iv) thereof (9), |
— |
having regard to the Sustainable Development Goals, in particular target 3.9 (10); |
— |
having regard to the report by the UN Environment Programme (UNEP) and the World Health Organisation entitled ‘State of the science of endocrine disrupting chemicals — 2012’ (11), |
— |
having regard to its resolution of 14 March 2013 on the protection of public health from endocrine disruptors (12), |
— |
having regard to the study of 15 January 2019 entitled ‘Endocrine Disruptors: from Scientific Evidence to Human Health Protection’, commissioned by Parliament’s Policy Department for Citizen’s Rights and Constitutional Affairs’ (13), |
— |
having regard to Rule 123(2) of its Rules of Procedure, |
A. |
whereas the UNEP/WHO report of 2012 called endocrine disruptors (‘EDCs’) ‘a global threat’, and refers inter alia to the high incidence and the increasing trends of many endocrine-related disorders in humans, as well as noting that endocrine-related effects have been observed in wildlife populations; |
B. |
whereas according to the report, there is emerging evidence of adverse reproductive outcomes (infertility, cancers, malformations) from exposure to EDCs, and there is also mounting evidence of the effects of these chemicals on thyroid function, brain function, obesity and metabolism, and insulin and glucose homeostasis; |
C. |
whereas the fact that this class of chemicals induces adverse effects on human health and wildlife by interfering with the hormonal system is no longer disputed; whereas, therefore, there is no valid reason to postpone effective regulation; |
D. |
whereas the most recent study by the Institute for Risk Assessment Sciences, entitled ‘Health costs that may be associated with Endocrine Disrupting Chemicals’, found, when assessing five potentially EDC-related health effects, that ‘according to currently available literature, the socio-economic burden of EDC associated health effects for the EU may be substantial’, with estimates ranging from EUR 46 billion to EUR 288 billion per year (14); |
E. |
whereas the UNEP/WHO report states: ‘Close to 800 chemicals are known or suspected to be capable of interfering with hormone receptors, hormone synthesis or hormone conversion. However, only a small fraction of these chemicals have been investigated in tests capable of identifying overt endocrine effects in intact organisms’; |
F. |
whereas the Communication states in the context of the proposed Union Framework that ‘since 1999, the scientific evidence linking exposure to endocrine disruptors with human disease or negative impact on wildlife has become stronger’; |
G. |
whereas according to the 7th EAP, ‘in order to safeguard the Union’s citizens from environment-related pressures and risk to health and well-being, the 7th EAP shall ensure that by 2020 safety concerns related to endocrine disruptors are effectively addressed in all relevant Union legislation’; |
H. |
whereas according to the 7th EAP, this requires in particular ‘developing by 2018 (…) building on horizontal measures to be undertaken by 2015 to ensure (…) the minimisation of exposure to endocrine disruptors’; |
I. |
whereas to date the Commission has not adopted a Union strategy for a non-toxic environment, nor did it take horizontal measures by 2015 to ensure the minimisation of exposure to EDCs; |
J. |
whereas the revision of the 1999 Community strategy for EDCs is long overdue; |
K. |
whereas in the absence of a revised Union strategy for EDCs, Member States such as France, Sweden, Denmark and Belgium have taken steps at national level with a view to increasing the level of protection for their citizens through a variety of national measures; |
L. |
whereas it is in the interests of all to ensure that an effective and comprehensive European approach to EDCs is put in place in order to guarantee a high level of protection of human health and the environment; |
M. |
whereas a robust Union framework on EDCs and its effective implementation are crucial for the EU to contribute to fulfilling its commitment to target 3.9 of the Sustainable Development Goals, namely to ‘substantially reduce the number of deaths and illnesses from hazardous chemicals and air, water, and soil pollution and contamination’; |
N. |
whereas a robust Union framework on EDCs is also required to lay the foundations for a non-toxic circular economy, encouraging industrial innovation through safer substitution; |
O. |
whereas it is welcome that the Communication recognises the adverse effects of EDCs on human health and the environment, including mixture effects, highlights the objective of minimising overall exposure and recognises the need to have a horizontal approach for the identification of EDCs; |
P. |
whereas, however, the Communication lacks both a concrete action plan to minimise exposure to EDCs and a timeline for the next steps to move forward; |
Q. |
whereas key Union legislation in sensitive areas still lacks specific provisions on EDCs (e.g. for cosmetics, toys, or food contact materials); |
R. |
whereas the Commission has announced a Fitness Check to assess whether the relevant EU legislation on EDCs delivers its overall objective of protecting human health and the environment by minimising exposure to these substances; whereas the cross-cutting nature of the Fitness Check, as well as the Commission’s commitment that particular attention will be paid to the protection of vulnerable groups, are to be welcomed; whereas, however, this assessment should have been conducted years ago and it is regrettable that the Commission has only now decided to proceed with such a Fitness Check; whereas, therefore, the Fitness Check should not provide a justification for prolonging the delivery of concrete legislative and other actions; |
S. |
whereas the scientific criteria developed for the determination of EDCs in pesticides and biocides lack a category of ‘suspected EDCs’ and are therefore not fit for horizontal application; whereas this is not consistent with the classification of substances that are carcinogenic, mutagenic or toxic for reproduction (CMRs) under the CLP Regulation and the 7th EAP; whereas the ability to identify suspected EDCs is extremely important, all the more so because both the Cosmetics Regulation and the Toy Safety Directive not only restrict known and presumed CMRs (categories 1A and 1B), but also suspected CMRs (category 2); |
T. |
whereas there is a lack of adequate tests and data requirements to identify EDCs in the relevant Union legislation; |
U. |
whereas the Communication points to increasing evidence concerning mixture effects for EDCs (i.e. exposure to a combination of EDCs may produce an adverse effect at concentrations at which, individually, no effect has been observed), yet it does not make any proposals to address this issue; |
V. |
whereas the project ‘EDC-MixRisk’ under Horizon 2020 concluded that ‘current regulations of man-made chemicals systematically underestimate health risks associated with combined exposures to EDCs or potential EDCs’ (15); |
W. |
whereas the failures in the implementation of the Registration, Evaluation, Authorisation and Restriction of Chemicals (REACH) Regulation (high percentage of non-compliant registration dossiers, slow evaluations due to missing data and failure to take regulatory action on substances found following evaluation to pose a serious risk to human health or the environment) also lead to a failure to minimise exposure to known or suspected endocrine disruptors; |
1. |
Considers that the Union framework for EDCs as suggested by the Commission in the Communication is not adequate to address the threat to human health and the environment due to exposure to EDCs, and that it does not deliver what is required pursuant to the 7th EAP; |
2. |
Considers that EDCs are a class of chemicals that is of equivalent concern to substances classified as carcinogenic, mutagenic or toxic for reproduction (CMR substances), and should therefore be treated identically in Union legislation; |
3. |
Calls on the Commission to swiftly take all necessary action to ensure a high level of protection of human health and the environment against EDCs by effectively minimising overall exposure of humans and the environment to EDCs; |
4. |
Calls on the Commission to develop a horizontal definition based on the WHO definition for suspected EDCs as well as for known and presumed EDCs in line with the classification of CMRs in the CLP Regulation, no later than June 2020; |
5. |
Calls on the Commission to ensure that the horizontal definition is accompanied by proper guidance documents; |
6. |
Calls on the Commission to make legislative proposals no later than June 2020 to insert specific provisions on EDCs into Regulation (EC) No 1223/2009, similar to those on CMR substances; |
7. |
Calls on the Commission to draw up legislative proposals no later than June 2020 to insert specific provisions on EDCs into Directive 2009/48/EC, similar to those on CMR substances but without any reference to thresholds of classification, as such thresholds are not applicable for EDCs; |
8. |
Calls on the Commission to revise Regulation (EC) No 1935/2004 no later than June 2020 in order to effectively reduce the content of hazardous substances therein, with specific provisions to substitute the use of EDCs; |
9. |
Considers that there is an urgent need to accelerate test development and validation in order to properly identify EDCs, including new approach methodologies; |
10. |
Calls on the Commission to ensure that data requirements are continuously updated in all the relevant legislation in order to take account of the latest technical and scientific progress, so that EDCs can be properly identified; |
11. |
Calls on the Commission to take mixture effects and combined exposures into account in all relevant EU legislation; |
12. |
Calls on the European Chemicals Agency, the Commission and the Member States to take all necessary measures to ensure the compliance of registration dossiers with the Registration, Evaluation, Authorisation and Restriction of Chemicals (REACH) Regulation by the end of 2019, to accelerate substance evaluation and to implement effectively the final conclusions of substance evaluations under REACH as an important means of minimising exposure to endocrine disruptors; |
13. |
Calls on the Commission to ensure adequate bio-monitoring of EDCs in human and animal populations, as well as the monitoring of EDCs in the environment, including in drinking water; |
14. |
Calls on the Commission to ensure that the Union framework on EDCs becomes an effective contribution to the Union strategy for a non-toxic environment, to be adopted as soon as possible; |
15. |
Calls on the Commission to promote research into EDCs, in particular with regard to their epigenetic and transgenerational effects, their effects on the microbiome, novel EDC modalities and characterisation of dose-response functions, as well as safer alternatives; |
16. |
Instructs its President to forward this resolution to the Council and the Commission, and to the governments and parliaments of the Member States. |
(1) OJ L 309, 24.11.2009, p. 1.
(2) OJ L 101, 20.4.2018, p. 33.
(3) OJ L 167, 27.6.2012, p. 1.
(4) OJ L 301, 17.11.2017, p. 1.
(5) OJ L 338, 13.11.2004, p. 4.
(6) OJ L 342, 22.12.2009, p. 59.
(7) OJ L 170, 30.6.2009, p. 1.
(8) OJ L 353, 31.12.2008, p. 1.
(9) OJ L 354, 28.12.2013, p. 171.
(10) https://unstats.un.org/sdgs/METADATA?Text=&Goal=3&Target=3.9
(11) WHO/UNEP, ‘State of the Science of Endocrine Disrupting Chemicals — 2012’, World Health Organisation, 2013, http://www.who.int/ceh/publications/endocrine/en/
(12) OJ C 36, 29.1.2016, p. 85.
(13) Study — ‘Endocrine Disruptors: from Scientific Evidence to Human Health Protection’, European Parliament, Directorate-General for Internal Policies, Policy Department for Citizens’ Rights and Constitutional Affairs, 15 January 2019, available at: http://www.europarl.europa.eu/RegData/etudes/STUD/2019/608866/IPOL_STU(2019)608866_EN.pdf
(14) Rijk, I., van Duursen, M. and van den Berg, M, Health cost that may be associated with Endocrine Disrupting Chemicals — An inventory, evaluation and way forward to assess the potential health impact of EDC-associated health effects in the EU, Institute for Risk Assessment Sciences, University of Utrecht, 2016, available at: https://www.uu.nl/sites/default/files/rijk_et_al_2016_-_report_iras_-_health_cost_associated_with_edcs_3.pdf
(15) https://edcmixrisk.ki.se/wp-content/uploads/sites/34/2019/03/Policy-Brief-EDC-MixRisk-PRINTED-190322.pdf
II Information
INFORMATION FROM EUROPEAN UNION INSTITUTIONS, BODIES, OFFICES AND AGENCIES
European Parliament
Wednesday 17 April 2019
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/23 |
P8_TA(2019)0392
Drafting or amendment of the title of a resolution tabled to wind up a debate (interpretation of Rule 149a(2) of the Rules of Procedure)
European Parliament decision of 17 April 2019 concerning the drafting or amendment of the title of a resolution tabled to wind up a debate (interpretation of Rule 149a(2) of the Rules of Procedure) (2019/2020(REG))
(2021/C 158/06)
The European Parliament,
— |
having regard to the letter of 3 April 2019 from the Chair of the Committee on Constitutional Affairs, |
— |
having regard to Rule 226 of its Rules of Procedure, |
1. |
Decides to append the following interpretation to Rule 149a(2) of the Rules of Procedure: |
‘The drafting or amendment of the title of a resolution tabled to wind up a debate under Rules 123, 128 or 135 does not constitute a change to the agenda, provided that the title remains within the scope of the subject being debated.’
2. |
Instructs its President to forward this decision to the Council and the Commission, for information. |
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/24 |
P8_TA(2019)0393
Political declaration for the establisment of a political group (interpretation of Rule 32(5), first subparagraph, second indent, of the Rules of Procedure)
European Parliament decision of 17 April 2019 concerning the political declaration for the establisment of a political group (interpretation of Rule 32(5), first subparagraph, second indent, of the Rules of Procedure) (2019/2019(REG))
(2021/C 158/07)
The European Parliament,
— |
having regard to the letter of 3 April 2019 from the Chair of the Committee on Constitutional Affairs, |
— |
having regard to Rule 226 of its Rules of Procedure, |
1. |
Decides to append the following interpretation to Rule 32(5), first subparagraph, second indent, of the Rules of Procedure: |
‘The political declaration of a group shall set out the values that the group stands for and the main political objectives which its members intend to pursue together in the framework of the exercise of their mandate. The declaration shall describe the common political orientation of the group in a substantial, distinctive and genuine way.’
2. |
Instructs its President to forward this decision to the Council and the Commission, for information. |
III Preparatory acts
European Parliament
Tuesday 16 April 2019
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/25 |
P8_TA(2019)0359
Community statistics on migration and international protection ***I
European Parliament legislative resolution of 16 April 2019 on the proposal for a regulation of the European Parliament and of the Council amending Regulation (EC) No 862/2007 of the European Parliament and of the Council on Community statistics on migration and international protection (COM(2018)0307 — C8-0182/2018 — 2018/0154(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/08)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2018)0307), |
— |
having regard to Article 294(2) and Article 338(1) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0182/2018), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
having regard to Rule 59 of its Rules of Procedure, |
— |
having regard to the report of the Committee on Civil Liberties, Justice and Home Affairs and the position in the form of amendments of the Committee on Women's Rights and Gender Equality (A8-0395/2018), |
1. |
Adopts its position at first reading hereinafter set out; |
2. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
3. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
P8_TC1-COD(2018)0154
Position of the European Parliament adopted at first reading on 16 April 2019 with a view to the adoption of Regulation (EU) …/… of the European Parliament and of the Council amending Regulation (EC) No 862/2007 of the European Parliament and of the Council on Community statistics on migration and international protection
(Text with EEA relevance)
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on the Functioning of the European Union, and in particular Article 338(1) thereof,
Having regard to the proposal from the European Commission,
After transmission of the draft legislative act to the national parliaments,
Acting in accordance with the ordinary legislative procedure (1),
Whereas:
(1) |
Regulation (EC) No 862/2007 of the European Parliament and of the Council (2) establishes a common and comparable legal framework for European statistics on migration and international protection. |
(2) |
To respond to new needs within the Union for statistics on asylum migration and managed migration international protection , and whereas the characteristics of migration migratory movements are subject to rapid change, there is a need for a framework allowing quick response to changing needs as regards statistics on asylum migration and managed migration international protection . [Am. 1] |
(2a) |
Due to the constant changing and diverse nature of current migratory flows, comprehensive and comparable gender-disaggregated statistical data on the migrant population are needed to understand the reality of the situation, identify vulnerabilities and inequalities, and provide policy makers with reliable data and information for the development of future public policies. [Am. 2] |
(3) |
To support the Union in responding effectively to the challenges posed by migration and in developing gender-responsive and human-rights based policies , there is a need for sub-annual frequency data on migration asylum and international protection managed migration. [Am. 3] |
(4) |
Migration Asylum and international protection managed migration statistics are fundamental for the study, definition and evaluation of a wide range of policies, particularly as regards responses to the arrival of persons seeking protection in Europe , with the aim of achieving the best solutions . [Am. 4] |
(4a) |
Statistics on migration and international protection are essential for having an overview of migratory movements within the Union and for Member States to be able to apply Union law properly in accordance with fundamental rights as laid down in the Charter of Fundamental Rights of the European Union (the ‘Charter’) and the Convention for the Protection of Human Rights and Fundamental Freedoms. [Am. 5] |
(4b) |
Persecution on the ground of gender constitutes a ground for seeking and being granted international protection. The national and Union statistical authorities should collect the statistics on applications for international protection based on the grounds of gender, including gender-based violence. [Am. 6] |
(5) |
To ensure the quality, and, in particular, the comparability, of data provided by the Member States, and for reliable overviews to be drawn up at Union level, the data used should be based on the same concepts, and should refer to the same reference date or period. |
(6) |
Data provided on migration asylum and international protection managed migration should be consistent with the relevant information collected pursuant to Regulation (EC) No 862/2007. |
(7) |
Regulation (EC) No 223/2009 of the European Parliament and of the Council (3) provides a reference framework for European statistics on migration and international protection. In particular, it requires compliance with the principles of professional independence, impartiality, objectivity, reliability, statistical confidentiality and cost effectiveness. |
(8) |
When developing, producing and disseminating European statistics, the national and European statistical authorities, and, where applicable, other relevant national and regional authorities, should take account of the principles set out in the European Statistics Code of Practice, as reviewed and updated by the European Statistical System Committee on 28 September 2011. |
(9) |
Since the The objective of this Regulation, namely to revise and complete the existing common rules for the collection and compilation of European statistics on migration and international protection, cannot be sufficiently achieved by the Member States, but can acting individually. Rather rather, for reasons of harmonisation and comparability, it can be better achieved at Union level, the . The Union may therefore adopt appropriate measures, in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty on European Union. In accordance with the principle of proportionality, as set out in that Article, this Regulation does not go beyond what is necessary in order to achieve that objective. |
(9a) |
In order to achieve the objectives of Regulation (EC) No 862/2007, sufficient financial resources should be allocated for the collection, analysis and dissemination of high quality national and Union statistics on migration and international protection, in particular by supporting actions in that regard in accordance with the Regulation (EU) No 516/2014 of the European Parliament and of the Council (4) . [Am. 7] |
(10) |
This Regulation guarantees the right to respect for private and family life, and to the protection of personal data , non-discrimination and gender equality , as set out in Articles 7, and 8 8, 21 and 23 of the Charter and in accordance with Regulation (EU) 2016/679 of the European Parliament and of the Council (5). [Am. 8] |
(10a) |
The collection of gender-disaggregated data should allow for the identification and analysis of specific vulnerabilities and capacities of women and men, revealing gaps and inequalities. Gender-responsive data on migration have the potential to promote greater equality and offer opportunities for disadvantaged groups. Migration statistics should also take account of variables such as gender identity and sexual orientation to collect data on LGBTQI+ persons’ experiences and inequalities in migration and asylum processes. [Am. 9] |
(11) |
To In order to ensure uniform conditions for the implementation of Regulation (EC) No 862/2007 regulation, implementing powers should be conferred on the Commission in respect of specifying disaggregations laying down the rules on the appropriate formats for the transmission of data . Those powers should be exercised in accordance with Regulation (EU) No 182/2011 of the European Parliament and of the Council (6). [Am. 10] |
(11a) |
In order to adapt Regulation (EC) No 862/2007 to technological and economic developments, the power to adopt acts in accordance with Article 290 of the Treaty on the Functioning of the European Union should be delegated to the Commission in respect of amending Regulation (EC) No 862/2007 to update certain definitions and of supplementing it to determine the groupings of data and additional disaggregations and to lay down rules on accuracy and quality standards. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement of 13 April 2016 on Better Law-Making (7) . In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. [Am. 11] |
(11b) |
The effective monitoring of the application of Regulation (EC) No 862/2007 requires that it be evaluated at regular intervals. The Commission should thoroughly assess the statistics compiled pursuant to Regulation (EC) No 862/2007, as well as their quality and timely provision, for the purpose of submitting reports to the European Parliament and to the Council. Close consultation should be held with all actors involved in asylum data collection, including United Nations agencies and other relevant international and non-governmental organisations. [Am. 12] |
(12) |
Regulation (EC) No 862/2007 should therefore be amended accordingly. |
(13) |
The European Statistical System Committee has been consulted, |
HAVE ADOPTED THIS REGULATION:
Article 1
Regulation (EC) No 862/2007 is amended as follows:
(-1) |
in Article 1, point (c) is replaced by the following:
|
(-1a) |
Article 2 is amended as follows:
|
(-1b) |
Article 3 is replaced by the following: ‘Article 3 Statistics on international migration, usually resident population and acquisition of citizenship 1. Member States shall supply to the Commission (Eurostat) statistics on the numbers of:
2. The statistics referred to in paragraph 1 shall relate to reference periods of one calendar year and shall be supplied to the Commission (Eurostat) within 12 months of the end of the reference year. The first reference year shall be 2020.’; [Am. 25] |
(1) |
Article 4 is amended as follows:
|
(1a) |
Article 5 is amended as follows:
|
(2) |
Article 6 is amended as follows:
|
(3) |
Article 7 is amended as follows:
|
(4) |
Article 8 is deleted. |
(4a) |
In Article 9, paragraph 2 is replaced by the following: ‘2. Member States shall report to the Commission (Eurostat) on the data sources used, the reasons for the selection of these sources and the effects of the selected data sources on the quality of the statistics, the mechanisms used to ensure protection of personal data and on the estimation methods used, and shall keep the Commission (Eurostat) informed of changes thereto.’; [Am. 83] |
(4b) |
The following Article is inserted: ‘Article 9a Delegated acts The Commission is empowered to adopt delegated acts in accordance with Article 10a amending the definitions set out in Article 2(1). The Commission is empowered to adopt delegated acts in accordance with Article 10a amending this Regulation by:
|
(5) |
Article 10 is amended as follows:
|
(5a) |
The following Article is inserted: ‘Article 10a Exercise of the delegation 1. The power to adopt delegated acts is conferred on the Commission subject to the conditions laid down in this Article. 2. The power to adopt delegated acts referred to in Article 9a shall be conferred on the Commission for an indeterminate period of time from … [date of entry into force of this amending Regulation]. 3. The delegation of power referred to in Article 9a may be revoked at any time by the European Parliament or by the Council. A decision to revoke shall put an end to the delegation of the power specified in that decision. It shall take effect the day following the publication of the decision in the Official Journal of the European Union or at a later date specified therein. It shall not affect the validity of any delegated acts already in force. 4. Before adopting a delegated act, the Commission shall consult experts designated by each Member State in accordance with the principles laid down in the Interinstitutional Agreement of 13 April 2016 on Better Law-Making. 5. As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the European Parliament and to the Council. 6. A delegated act adopted pursuant to Article 9a shall enter into force only if no objection has been expressed either by the European Parliament or by the Council within a period of two months of notification of that act to the European Parliament and the Council or if, before the expiry of that period, the European Parliament and the Council have both informed the Commission that they will not object. That period shall be extended by two months at the initiative of the European Parliament or of the Council.’; [Am. 87] |
(5b) |
Article 11 is amended as follows:
|
Article 2
Entry into force and application
This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.
Article 4 paragraphs (1) and (2) and Article 7 paragraph (1) point (b) and paragraph (2) of Regulation (EC) No 862/2007 shall apply from 1 March 2020.
Article 4 paragraphs (3) and (4) and Article 6 paragraphs (1) and (3) of Regulation (EC) No 862/2007 shall apply from 1 July 2020.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at …,
For the European Parliament
The President
For the Council
The President
(1) Position of the European Parliament of 16 April 2019.
(2) Regulation (EC) No 862/2007 of the European Parliament and of the Council of 11 July 2007 on Community statistics on migration and international protection and repealing Council Regulation (EEC) No 311/76 on the compilation of statistics on foreign workers (OJ L 199, 31.7.2007, p. 23).
(3) Regulation (EC) No 223/2009 of the European Parliament and of the Council of 11 March 2009 on European statistics and repealing Regulation (EC, Euratom) No 1101/2008 of the European Parliament and of the Council on the transmission of data subject to statistical confidentiality to the Statistical Office of the European Communities, Council Regulation (EC) No 322/97 on Community Statistics, and Council Decision 89/382/EEC, Euratom establishing a Committee on the Statistical Programmes of the European Communities (OJ L 87, 31.3.2009, p. 164).
(4) Regulation (EU) No 516/2014 of the European Parliament and of the Council of 16 April 2014 establishing the Asylum, Migration and Integration Fund, amending Council Decision 2008/381/EC and repealing Decisions No 573/2007/EC and No 575/2007/EC of the European Parliament and of the Council and Council Decision 2007/435/EC (OJ L 150, 20.5.2014, p. 168).
(5) Regulation (EU) 2016/679 of the European Parliament and of the Council of 27 April 2016 on the protection of natural persons with regard to the processing of personal data and on the free movement of such data, and repealing Directive 95/46/EC (General Data Protection Regulation) (OJ L 119, 4.5.2016, p. 1).
(6) Regulation (EU) No 182/2011 of the European Parliament and of the Council of 16 February 2011 laying down the rules and general principles concerning mechanisms for control by Member States of the Commission’s exercise of implementing powers (OJ L 55, 28.2.2011, p. 13).
(7) OJ L 123, 12.5.2016, p. 1.
(8) Directive 2011/95/EU of the European Parliament and of the Council of 13 December 2011 on standards for the qualification of third-country nationals or stateless persons as beneficiaries of international protection, for a uniform status for refugees or for persons eligible for subsidiary protection, and for the content of the protection granted (OJ L 337, 20.12.2011, p. 9).
(9) Regulation (EU) No 604/2013 of the European Parliament and of the Council of 26 June 2013 establishing the criteria and mechanisms for determining the Member State responsible for examining an application for international protection lodged in one of the Member States by a third-country national or a stateless person (OJ L 180, 29.6.2013, p. 31).
(10) Regulation (EU) 2016/399 of the European Parliament and of the Council of 9 March 2016 on a Union Code on the rules governing the movement of persons across borders (Schengen Borders Code) (OJ L 77, 23.3.2016, p. 1).
(11) Directive 2008/115/EC of the European Parliament and of the Council of 16 December 2008 on common standards and procedures in Member States for returning illegally staying third-country nationals (OJ L 348, 24.12.2008, p. 98).
(12) Directive 2013/32/EU of the European Parliament and of the Council of 26 June 2013 on common procedures for granting and withdrawing international protection (OJ L 180, 29.6.2013, p. 60).
(13) Regulation (EU) No 603/2013 of the European Parliament and of the Council of 26 June 2013 on the establishment of “Eurodac” for the comparison of fingerprints for the effective application of Regulation (EU) No 604/2013 establishing the criteria and mechanisms for determining the Member State responsible for examining an application for international protection lodged in one of the Member States by a third-country national or a stateless person and on requests for the comparison with Eurodac data by Member States' law enforcement authorities and Europol for law enforcement purposes, and amending Regulation (EU) No 1077/2011 establishing a European Agency for the operational management of large-scale IT systems in the area of freedom, security and justice (OJ L 180, 29.6.2013, p. 1).
(14) Directive 2013/33/EU of the European Parliament and of the Council of 26 June 2013 laying down standards for the reception of applicants for international protection (OJ L 180, 29.6.2013, p. 96).
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/42 |
P8_TA(2019)0360
EU Accession to the Geneva Act of the Lisbon Agreement on Appellations of Origin and Geographical Indications ***
European Parliament legislative resolution of 16 April 2019 on the draft Council decision on the accession of the European Union to the Geneva Act of the Lisbon Agreement on Appellations of Origin and Geographical Indications (06929/2019 — C8-0133/2019 — 2018/0214(NLE))
(Consent)
(2021/C 158/09)
The European Parliament,
— |
having regard to the draft Council decision (06929/2019), |
— |
having regard to the Geneva Act of the Lisbon Agreement on Appellations of Origin and Geographical Indications signed in Geneva on 20 May 2015 (11510/2018), |
— |
having regard to the request for consent submitted by the Council in accordance with Article 207 and Article 218(6), second subparagraph, point (a), of the Treaty on the Functioning of the European Union (C8-0133/2019), |
— |
having regard to Rule 99(1) and (4) and Rule 108(7) of its Rules of Procedure, |
— |
having regard to the recommendation of the Committee on Legal Affairs and the opinions of the Committee on International Trade and the Committee on the Environment, Public Health and Food Safety (A8-0187/2019), |
1. |
Gives its consent to the accession of the European Union to the Act; |
2. |
Instructs its President to forward its position to the Council, the Commission and the governments and parliaments of the Member States. |
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/43 |
P8_TA(2019)0361
Action of the Union following its accession to the Geneva Act of the Lisbon Agreement on Appellations of Origin and Geographical Indications ***I
European Parliament legislative resolution of 16 April 2019 on the proposal for a regulation of the European Parliament and of the Council on the action of the Union following its accession to the Geneva Act of the Lisbon Agreement on Appellations of Origin and Geographical Indications (COM(2018)0365 — C8-0383/2018 — 2018/0189(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/10)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2018)0365), |
— |
having regard to Article 294(2) and Article 207 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0383/2018), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
having regard to the opinion of the European Economic and Social Committee of 12 December 2018 (1), |
— |
having regard to the provisional agreement approved by the committee responsible under Rule 69f(4) of its Rules of Procedure and the undertaking given by the Council representative by letter of 20 March 2019 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
— |
having regard to Rule 59 of its Rules of Procedure, |
— |
having regard to the report of the Committee on Legal Affairs and the opinions of the Committee on International Trade, the Committee on the Environment, Public Health and Food Safety and the Committee on Agriculture and Rural Development (A8-0036/2019), |
1. |
Adopts its position at first reading hereinafter set out; |
2. |
Takes note of the three statements by the Commission annexed to this resolution, the first and second of which will be published in the L series of the Official Journal of the European Union together with the final legislative act; |
3. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
4. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
P8_TC1-COD(2018)0189
Position of the European Parliament adopted at first reading on 16 April 2019 with a view to the adoption of Regulation (EU) 2019/… of the European Parliament and of the Council on the action of the Union following its accession to the Geneva Act of the Lisbon Agreement on Appellations of Origin and Geographical Indications
(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) 2019/1753.)
ANNEX TO THE LEGISLATIVE RESOLUTION
Commission statement on the possible extension of EU geographical indication protection to non-agricultural products
The Commission takes note of the European Parliament resolution of 6 October 2015 on the possible extension of EU geographical indication protection to non-agricultural products.
The Commission launched a study in November 2018 to get further economic and legal evidence on the protection of non-agricultural GIs within the Single Market, as a complement to a study of 2013, and to obtain further data on issues such as competitiveness, unfair competition, counterfeiting, consumer perceptions, costs/benefits as well as on the effectiveness of non-agricultural GI protection models in light of the proportionality principle.
In accordance with the principles of Better Regulation and to the commitments laid down in the Interinstitutional Agreement of 13 April 2016 on Better Law-Making, the Commission will examine the study as well as the report on the participation of the Union in the Geneva Act as referred to in the Article on monitoring and review of the Regulation on the action of the Union following its accession to the Geneva Act of the Lisbon Agreement on Appellations of Origin and Geographical Indications and consider any possible next steps.
Commission statement on the procedure set out in Article 9a(3) of the Regulation
The Commission notes that whilst the procedure set out in Article 9a(3) of the Regulation is a legal necessity given the exclusive competence of the Union it can nevertheless state that in the context of the current EU acquis any such intervention of the Commission would be exceptional and duly justified. During consultations with a Member State, the Commission will make every effort in order to resolve together with the Member State any concerns in order to avoid the issuing of a negative opinion. The Commission notes that any negative opinion would be notified in writing to the Member State concerned and pursuant to Article 296 TFEU would state the reasons on which it was based. The Commission would further note that a negative opinion would not preclude the submission of a further application concerning the same appellation of origin, if the reasons for the negative opinion have been duly addressed thereafter or are no longer applicable.
Commission statement concerning the proposal for a Council Decision on the accession of the European Union to the Geneva Act of the Lisbon Agreement on Appellations of Origin and Geographical Indications
The Commission notes that the Union has exclusive external competence on geographical indications and is acceding to the Geneva Act of the Lisbon Agreement as a Party on its own right. This follows from the ruling of the European Court of Justice of 25/10/2017 (case C-389/15- Commission v. Council). Given the EU’s exclusive external competence, Member States are prevented from becoming Parties to the Geneva Act in their own right and should no longer themselves protect geographical indications newly registered by third country members of the Lisbon system. The Commission, mindful of the exceptional circumstances given that seven Member States have been Parties to the Lisbon Agreement for a long time, that they have extensive intellectual property registered under it and that a smooth transition is needed, would exceptionally have been ready to agree that, in this particular case, Bulgaria, Czechia, Slovakia, France, Hungary, Italy, Portugal could have been authorised to accede to the Geneva Act in the interest of the EU.
The Commission strongly objects to the Council’s continued insistence on the possibility for all EU Member States which wish to do so to be authorized to ratify or accede to the Geneva Act alongside the Union, while giving as a reason the regularisation of the Union’s voting rights in view of point (b)(ii) of Article 22(4) of the Geneva Act rather than the aforesaid exceptional circumstances.
Further, the Commission would like to recall that, given that the Union has exercised its internal competence for agricultural geographical indications, the EU Member States cannot have national agricultural GI protection systems of their own.
Therefore the Commission reserves its rights including the right to avail itself of legal remedies against the Council's decision and, in any event, considers that this case cannot constitute a precedent for any other existing or future international/WIPO agreements, in particular but not only where the EU has already ratified international agreements by itself on the basis of its exclusive competence.
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/47 |
P8_TA(2019)0362
EU-Philippines Agreement on certain aspects of air services ***
European Parliament legislative resolution of 16 April 2019 on the draft Council decision on the conclusion on behalf of the Union of the Agreement between the European Union and the Government of the Republic of the Philippines on certain aspects of air services (15056/2018 — C8-0051/2019 — 2016/0156(NLE))
(Consent)
(2021/C 158/11)
The European Parliament,
— |
having regard to the draft Council decision (15056/2018), |
— |
having regard to draft agreement between the European Union and the Government of the Republic of the Philippines on certain aspects of air services (1), |
— |
having regard to the request for consent submitted by the Council in accordance with Article 100(2) and Article 218(6), second subparagraph, point (a) of the Treaty on the Functioning of the European Union (C8-0051/2019), |
— |
having regard to Rule 99(1) and (4), and Rule 108(7) of its Rules of Procedure, |
— |
having regard to the recommendation of the Committee on Transport and Tourism (A8-0191/2019), |
1. |
Gives its consent to the conclusion of the agreement; |
2. |
Instructs its President to forward its position to the Council, the Commission and the governments and parliaments of the Member States and of the Republic of the Philippines. |
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/48 |
P8_TA(2019)0363
International Agreement on olive oil and table olives ***
European Parliament legislative resolution of 16 April 2019 on the draft Council decision on the conclusion on behalf of the European Union of the International Agreement on Olive Oil and Table Olives, 2015 (06781/2019 — C8-0134/2019 –2017/0107(NLE))
(Consent)
(2021/C 158/12)
The European Parliament,
— |
having regard to the draft Council decision (06781/2019), |
— |
having regard to the draft International Agreement on Olive Oil and Table Olives, 2015 (11178/2016), |
— |
having regard to the request for consent submitted by the Council in accordance with Article 207(4) and Article 218(6), second subparagraph, point (a)(v), and Article 218(7) of the Treaty on the Functioning of the European Union (C8-0134/2019), |
— |
having regard to Rule 99(1) and (4) and Rule 108(7) of its Rules of Procedure, |
— |
having regard to the recommendation of the Committee on International Trade and the opinion of the Committee on Agriculture and Rural Development (A8-0186/2019), |
1. |
Gives its consent to conclusion of the Agreement; |
2. |
Instructs its President to forward its position to the Council, the Commission and the governments and parliaments of the Member States. |
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/49 |
P8_TA(2019)0364
Nomination of a member of the Court of Auditors — Viorel Ştefan
European Parliament decision of 16 April 2019 on the nomination of Viorel Ştefan as a Member of the Court of Auditors (C8-0049/2019 — 2019/0802(NLE))
(Consultation)
(2021/C 158/13)
The European Parliament,
— |
having regard to Article 286(2) of the Treaty on the Functioning of the European Union, pursuant to which the Council consulted Parliament (C8-0049/2019), |
— |
having regard to Rule 121 of its Rules of Procedure, |
— |
having regard to the report of the Committee on Budgetary Control (A8-0194/2019), |
A. |
whereas, by letter of 14 February 2019, the Council consulted Parliament on the nomination of Viorel Ştefan as a Member of the Court of Auditors; |
B. |
whereas Parliament’s Committee on Budgetary Control proceeded to evaluate the credentials of the nominee, in particular in view of the requirements laid down in Article 286(1) of the Treaty on the Functioning of the European Union; |
C. |
whereas at its meeting of 8 April 2019 the Committee on Budgetary Control heard the Council’s nominee for membership of the Court of Auditors; |
1. |
Delivers an unfavourable opinion on the Council’s nomination of Viorel Ştefan as a Member of the Court of Auditors; |
2. |
Instructs its President to forward this decision to the Council and, for information, to the Court of Auditors, the other institutions of the European Union and the audit institutions of the Member States. |
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/50 |
P8_TA(2019)0365
Nomination of a member of the Court of Auditors — Ivana Maletić
European Parliament decision of 16 April 2019 on the nomination of Ivana Maletić as a Member of the Court of Auditors (C8-0116/2019 — 2019/0803(NLE))
(Consultation)
(2021/C 158/14)
The European Parliament,
— |
having regard to Article 286(2) of the Treaty on the Functioning of the European Union, pursuant to which the Council consulted Parliament (C8-0116/2019), |
— |
having regard to Rule 121 of its Rules of Procedure, |
— |
having regard to the report of the Committee on Budgetary Control (A8-0195/2019), |
A. |
whereas, by letter of 5 March 2019, the Council consulted Parliament on the nomination of Ivana Maletić as a Member of the Court of Auditors; |
B. |
whereas Parliament’s Committee on Budgetary Control proceeded to evaluate the credentials of the nominee, in particular in view of the requirements laid down in Article 286(1) of the Treaty on the Functioning of the European Union; |
C. |
whereas at its meeting of 8 April 2019 the Committee on Budgetary Control heard the Council’s nominee for membership of the Court of Auditors; |
1. |
Delivers a favourable opinion on the Council’s nomination of Ivana Maletić as a Member of the Court of Auditors; |
2. |
Instructs its President to forward this decision to the Council and, for information, to the Court of Auditors, the other institutions of the European Union and the audit institutions of the Member States. |
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/51 |
P8_TA(2019)0366
Protection of persons reporting on breaches of Union law ***I
European Parliament legislative resolution of 16 April 2019 on the proposal for a directive of the European Parliament and of the Council on the protection of persons reporting on breaches of Union law (COM(2018)0218 — C8-0159/2018 — 2018/0106(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/15)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2018)0218), |
— |
having regard to Article 294(2) and Articles 16, 33, 43, 50, 53(1), 62, 91, 100, 103, 109, 114, 168, 169, 192, 207 and 325(4) of the Treaty on the Functioning of the European Union and Article 31 of the Treaty establishing the European Atomic Energy Community, pursuant to which the Commission submitted the proposal to Parliament (C8-0159/2018), |
— |
having regard to the opinions of the Committee on Legal Affairs on the proposed legal basis, |
— |
having regard to Article 294(3) and Articles 16, 43(2), 50, 53(1), 91, 100, 114, 168(4), 169, 192(1) and 325(4) of the Treaty on the Functioning of the European Union and Article 31 of the Treaty establishing the European Atomic Energy Community, |
— |
having regard to the reasoned opinion submitted, within the framework of Protocol No 2 on the application of the principles of subsidiarity and proportionality, by the Swedish Parliament, asserting that the draft legislative act does not comply with the principle of subsidiarity, |
— |
having regard to the opinion of the Court of Auditors of 26 September 2018 (1), |
— |
having regard to the opinion of the European Economic and Social Committee of 18 October 2018 (2), |
— |
After consulting the Committee of the Regions, |
— |
having regard to the provisional agreement approved by the committee responsible under Rule 69f(4) of its Rules of Procedure and the undertaking given by the Council representative by letter of 15 March 2019 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
— |
having regard to Rules 59 and 39 of its Rules of Procedure, |
— |
having regard to the report of the Committee on Legal Affairs and the opinions of the Committee on Economic and Monetary Affairs, the Committee on Civil Liberties, Justice and Home Affairs, the Committee on Budgetary Control, the Committee on Employment and Social Affairs, the Committee on the Environment, Public Health and Food Safety, the Committee on Culture and Education, and the Committee on Constitutional Affairs (A8-0398/2018), |
1. |
Adopts its position at first reading hereinafter set out; |
2. |
Takes note of the Commission statement annexed to this resolution; |
3. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
4. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
P8_TC1-COD(2018)0106
Position of the European Parliament adopted at first reading on 16 April 2019 with a view to the adoption of Directive (EU) 2019/… of the European Parliament and of the Council on the protection of persons who report breaches of Union law
(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Directive (EU) 2019/1937.)
ANNEX TO THE LEGISLATIVE RESOLUTION
Commission statement on the Directive on the protection of persons reporting on breaches of Union law
At the time of the review to be conducted in accordance with Article 27 of the Directive, the Commission will consider the possibility of proposing to extend its scope of application to certain acts based on Articles 153 TFEU and 157 TFEU, after consulting the social partners, where appropriate, in accordance with Article 154 TFEU.
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/54 |
P8_TA(2019)0367
Cross-border distribution of collective investment undertakings (Directive) ***I
European Parliament legislative resolution of 16 April 2019 on the proposal for a directive of the European Parliament and of the Council amending Directive 2009/65/EC of the European Parliament and of the Council and Directive 2011/61/EU of the European Parliament and of the Council with regard to cross-border distribution of collective investment funds (COM(2018)0092 — C8-0111/2018 — 2018/0041(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/16)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2018)0092), |
— |
having regard to Article 294(2) and Article 53(1) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0111/2018), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
having regard to the opinion of the European Economic and Social Committee of 11 July 2018 (1), |
— |
having regard to the provisional agreement approved by the responsible committee under Rule 69f(4) of its Rules of Procedure and the undertaking given by the Council representative by letter of 27 February 2019 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
— |
having regard to Rule 59 of its Rules of Procedure, |
— |
having regard to the report of the Committee on Economic and Monetary Affairs (A8-0430/2018), |
1. |
Adopts its position at first reading hereinafter set out; |
2. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
3. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
P8_TC1-COD(2018)0041
Position of the European Parliament adopted at first reading on 16 April 2019 with a view to the adoption of Directive (EU) 2019/… of the European Parliament and of the Council amending Directives 2009/65/EC and 2011/61/EU with regard to cross-border distribution of collective investment undertakings
(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Directive (EU) 2019/1160.)
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/55 |
P8_TA(2019)0368
Cross-border distribution of collective investment undertakings (Regulation) ***I
European Parliament legislative resolution of 16 April 2019 on the proposal for a regulation of the European Parliament and of the Council on facilitating cross-border distribution of collective investment funds and amending Regulations (EU) No 345/2013 and (EU) No 346/2013 (COM(2018)0110 — C8-0110/2018 — 2018/0045(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/17)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2018)0110), |
— |
having regard to Article 294(2) and Article 114 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0110/2018), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
having regard to the opinion of the European Economic and Social Committee of 11 July 2018 (1), |
— |
having regard to the provisional agreement approved by the responsible committee under Rule 69f(4) of its Rules of Procedure and the undertaking given by the Council representative by letter of 27 February 2019 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
— |
having regard to Rule 59 of its Rules of Procedure, |
— |
having regard to the report of the Committee on Economic and Monetary Affairs (A8-0431/2018), |
1. |
Adopts its position at first reading hereinafter set out; |
2. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
3. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
P8_TC1-COD(2018)0045
Position of the European Parliament adopted at first reading on 16 April 2019 with a view to the adoption of Regulation (EU) 2019/… of the European Parliament and of the Council on facilitating cross-border distribution of collective investment undertakings and amending Regulations (EU) No 345/2013, (EU) No 346/2013 and (EU) No 1286/2014
(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) 2019/1156.)
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/56 |
P8_TA(2019)0369
Capital Requirements (Regulation) ***I
European Parliament legislative resolution of 16 April 2019 on the proposal for a regulation of the European Parliament and of the Council amending Regulation (EU) No 575/2013 as regards the leverage ratio, the net stable funding ratio, requirements for own funds and eligible liabilities, counterparty credit risk, market risk, exposures to central counterparties, exposures to collective investment undertakings, large exposures, reporting and disclosure requirements and amending Regulation (EU) No 648/2012 (COM(2016)0850 — C8-0480/2016 — 2016/0360A(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/18)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2016)0850), |
— |
having regard to Article 294(2) and Article 114 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0480/2016), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
having regard to the reasoned opinion submitted, within the framework of Protocol No 2 on the application of the principles of subsidiarity and proportionality, by the Swedish Parliament, asserting that the draft legislative act does not comply with the principle of subsidiarity, |
— |
having regard to the opinion of the European Central Bank of 8 November 2017 (1), |
— |
having regard to the opinion of the European Economic and Social Committee of 30 March 2017 (2), |
— |
having regard to the decision by the Conference of Presidents on 18 May 2017 to authorise the Committee on Economic and Monetary Affairs to split the above-mentioned Commission proposal and to draw up two separate legislative reports on the basis thereof, |
— |
having regard to the provisional agreement approved by the committee responsible under Rule 69f(4) of its Rules of Procedure and the undertaking given by the Council representative by letter of 15 February 2019 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
— |
having regard to Rule 59 of its Rules of Procedure, |
— |
having regard to the report of the Committee on Economic and Monetary Affairs (A8-0242/2018), |
1. |
Adopts its position at first reading hereinafter set out; |
2. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
3. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
P8_TC1-COD(2016)0360A
Position of the European Parliament adopted at first reading on 16 April 2019 with a view to the adoption of Regulation (EU) 2019/… of the European Parliament and of the Council amending Regulation (EU) No 575/2013 as regards the leverage ratio, the net stable funding ratio, requirements for own funds and eligible liabilities, counterparty credit risk, market risk, exposures to central counterparties, exposures to collective investment undertakings, large exposures, reporting and disclosure requirements, and Regulation (EU) No 648/2012
(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) 2019/876.)
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/58 |
P8_TA(2019)0370
Capital Requirements (Directive) ***I
European Parliament legislative resolution of 16 April 2019 on the proposal for a directive of the European Parliament and of the Council amending Directive 2013/36/EU as regards exempted entities, financial holding companies, mixed financial holding companies, remuneration, supervisory measures and powers and capital conservation measures (COM(2016)0854 — C8-0474/2016 — 2016/0364(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/19)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2016)0854), |
— |
having regard to Article 294(2) and Article 53(1) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0474/2016), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
having regard to the reasoned opinion submitted, within the framework of Protocol No 2 on the application of the principles of subsidiarity and proportionality, by the Swedish Parliament, asserting that the draft legislative act does not comply with the principle of subsidiarity, |
— |
having regard to the opinion of the European Central Bank of 8 November 2017 (1), |
— |
having regard to the opinion of the European Economic and Social Committee of 30 March 2017 (2) |
— |
having regard to the provisional agreement approved by the committee responsible under Rule 69f(4) of its Rules of Procedure and the undertaking given by the Council representative by letter of 15 February 2019 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
— |
having regard to Rule 59 of its Rules of Procedure, |
— |
having regard to the report of the Committee on Economic and Monetary Affairs (A8-0243/2018), |
1. |
Adopts its position at first reading hereinafter set out; |
2. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
3. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
P8_TC1-COD(2016)0364
Position of the European Parliament adopted at first reading on 16 April 2019 with a view to the adoption of Directive (EU) 2019/… of the European Parliament and of the Council amending Directive 2013/36/EU as regards exempted entities, financial holding companies, mixed financial holding companies, remuneration, supervisory measures and powers and capital conservation measures
(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Directive (EU) 2019/878.)
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/60 |
P8_TA(2019)0371
Loss-absorbing and recapitalisation capacity of credit institutions and investment firms (Regulation)***I
European Parliament legislative resolution of 16 April 2019 on the proposal for a regulation of the European Parliament and of the Council amending Regulation (EU) No 806/2014 as regards loss-absorbing and Recapitalisation Capacity for credit institutions and investment firms (COM(2016)0851 — C8-0478/2016 — 2016/0361(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/20)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2016)0851), |
— |
having regard to Article 294(2) and Article 114 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0478/2016), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
having regard to the opinion of the European Central Bank of 8 November 2017 (1), |
— |
having regard to the opinion of the European Economic and Social Committee of 30 March 2017 (2), |
— |
having regard to the provisional agreement approved by the committee responsible under Rule 69f(4) of its Rules of Procedure and the undertaking given by the Council representative by letter of 15 February 2019 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
— |
having regard to Rule 59 of its Rules of Procedure, |
— |
having regard to the report of the Committee on Economic and Monetary Affairs (A8-0216/2018), |
1. |
Adopts its position at first reading hereinafter set out; |
2. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
3. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
P8_TC1-COD(2016)0361
Position of the European Parliament adopted at first reading on 16 April 2019 with a view to the adoption of Regulation (EU) 2019/… of the European Parliament and of the Council amending Regulation (EU) No 806/2014 as regards the loss-absorbing and recapitalisation capacity of credit institutions and investment firms
(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) 2019/877.)
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/62 |
P8_TA(2019)0372
Loss-absorbing and recapitalisation capacity of credit institutions and investment firms (Directive) ***I
European Parliament legislative resolution of 16 April 2019 on the proposal for a directive of the European Parliament and of the Council amending Directive 2014/59/EU on loss-absorbing and recapitalisation capacity of credit institutions and investment firms and amending Directive 98/26/EC, Directive 2002/47/EC, Directive 2012/30/EU, Directive 2011/35/EU, Directive 2005/56/EC, Directive 2004/25/EC and Directive 2007/36/EC (COM(2016)0852 — C8-0481/2016 — 2016/0362(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/21)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2016)0852), |
— |
having regard to Article 294(2) and Article 114 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0481/2016), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
having regard to the opinion of the European Central Bank of 8 November 2017 (1); |
— |
having regard to the opinion of the European Economic and Social Committee of 30 March 2017 (2); |
— |
having regard to the provisional agreement approved by the committee responsible under Rule 69f(4) of its Rules of Procedure and the undertaking given by the Council representative by letter of 15 February 2019 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
— |
having regard to Rule 59 of its Rules of Procedure, |
— |
having regard to the report of the Committee on Economic and Monetary Affairs (A8-0218/2018), |
1. |
Adopts its position at first reading hereinafter set out; |
2. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
3. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
P8_TC1-COD(2016)0362
Position of the European Parliament adopted at first reading on 16 April 2019 with a view to the adoption of Directive (EU) 2019/… of the European Parliament and of the Council amending Directive 2014/59/EU as regards the loss-absorbing and recapitalisation capacity of credit institutions and investment firms and Directive 98/26/EC
(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Directive (EU) 2019/879.)
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/64 |
P8_TA(2019)0373
Sovereign bond-backed securities ***I
European Parliament legislative resolution of 16 April 2019 on the proposal for a regulation of the European Parliament and of the Council on sovereign bond-backed securities (COM(2018)0339 — C8-0206/2018 — 2018/0171(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/22)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2018)0339), |
— |
having regard to Article 294(2) and Article 114 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0206/2018), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
after consulting the European Central Bank, |
— |
having regard to the opinion of the European Economic and Social Committee of 17 October 2018 (1), |
— |
having regard to Rule 59 of its Rules of Procedure, |
— |
having regard to the report of the Committee on Economic and Monetary Affairs (A8-0180/2019), |
1. |
Adopts its position at first reading hereinafter set out; |
2. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
3. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
P8_TC1-COD(2018)0171
Position of the European Parliament adopted at first reading on 16 April 2019 with a view to the adoption of Regulation (EU) 2019/… of the European Parliament and of the Council on sovereign bond-backed securities
(Text with EEA relevance)
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on the Functioning of the European Union, and in particular Article 114 thereof,
Having regard to the proposal from the European Commission,
After transmission of the draft legislative act to the national parliaments,
Having regard to the opinion of the European Central Bank (1),
Having regard to the opinion of the European Economic and Social Committee (2),
Acting in accordance with the ordinary legislative procedure (3),
Whereas:
(1) |
Sovereign Bond-Backed Securities (‘SBBSs’) might be able to address some vulnerabilities that have been exposed by or have resulted from the 2007-2008 financial crisis. More specifically, SBBSs might be able to help banks and other financial institutions better diversify their sovereign exposures, further weaken the bank-sovereign nexus and enhance the supply of low-risk euro denominated assets facilitating the implementation of monetary policy . SBBSs could in addition render bonds issued in small and less liquid national markets more attractive for international investors, which can foster private sector risk sharing and risk reduction and promote a more efficient allocation of risks among financial operators. |
(2) |
Under the existing legal framework, SBBSs would be treated as securitisations and thus be subject to additional charges and discounts relative to the charges and discounts faced by the euro area sovereign bonds in the underlying portfolio. Those additional charges and discounts would hinder the production and use of SBBSs by the private sector, despite the fact that SBBSs carry lesser risks than those associated with other types of securitisations.▐ However, some risks such as warehouse risks or fraudulent behaviour by SPE staff prevail . SBBS should therefore be subject to a regulatory framework that better takes into account the features and properties of SBBSs to enable that product to emerge on the market. |
(2a) |
As securitisations, SBBSs are exposed to specific product risks linked to the SPE, that is the legally separate, self-standing entity which was set up for the purpose of issuing SBBs. A first-loss tranche outside the banking system will be key to reducing the bank-sovereign nexus. Therefore, the preferential regulatory treatment accorded to the underlying assets of an SBBS should be extended to holdings by banks on an SBBS senior tranche. |
(3) |
Enabling a market-led development of SBBSs is part of the Commission's efforts to reduce risks to financial stability and advance towards completion of the Banking Union. SBBSs could support further portfolio diversification in the banking sector, while creating a new source of high-quality collateral, which is particularly suited for use in cross-border financial transactions as well as for the activities of central banks in the Eurosystem and those of central counterparties . Furthermore, enabling SBBSs could also increase the number of instruments available for cross-border investment and private risk sharing, which feeds into the Commission's efforts to complete the Banking Union and deepen and integrate further Europe's capital markets in the context of the Capital Markets Union. |
(4) |
SBBSs do not involve any mutualisation of risks and losses among Member States because Member States will not mutually guarantee their respective liabilities within the portfolio of sovereign bonds underlying the SBBSs. Enabling the emergence of SBBSs neither involves any changes to the current regulatory treatment of sovereign exposures. |
(5) |
To achieve the objectives of geographic risk diversification within the Banking Union and the internal market, the underlying portfolio of SBBSs should be composed of sovereign bonds of Member States whose currency is the euro. To avoid currency risks only euro-denominated sovereign bonds issued by Member States whose currency is the euro should be allowed for inclusion in the SBBSs underlying portfolio. To ensure that sovereign bonds of each euro-area Member State contribute to the production of SBBSs in line with each Member State's stake in the stability of the overall euro area, the relative weight of the national sovereign bonds in the SBBSs’ underlying portfolio should be very close to the relative weight of the respective Member States in the key for subscription by the national central banks of Member States of the European Central Bank's capital. |
(6) |
To provide for a high quality low-risk asset and at the same time cater for investors' different levels of risk appetite, an SBBS issue should be composed of both a senior tranche and one or more subordinated tranches. The senior tranche, corresponding to seventy percent of the nominal value of an SBBS issue, should keep the SBBS issue expected loss rate in line with that of the safest euro area sovereign bonds, taking into account the risk and correlation of the sovereign bonds in the SBBSs underlying portfolio of sovereign bonds. The subordinated tranches should provide for protection to the senior tranche. ▌To limit the risk to the junior tranche (the tranche bearing losses before any other tranche), the nominal value of the junior tranche should however be at least 5 percent of the outstanding nominal value of the entire SBBSs issue. Considering the particular complexity of the product, acquisition by retail consumers should only be considered for senior tranches and not for junior tranches. |
(7) |
To ensure the integrity of an SBBS issue and limit as much as possible the risks related to the holding and management of the underlying portfolio of sovereign bonds, maturities of underlying sovereign bonds should be closely aligned with the maturity of the SBBSs and the composition of the underlying portfolio of sovereign bonds should be fixed for the entire lifecycle of the SBBSs. |
(8) |
The standardised composition of the underlying portfolio of an SBBSs may render difficult or impede the issuance of an SBBS issue when sovereign bonds of one or more Member States are not available on the market. For that reason, it should be possible to exclude sovereign bonds of a particular Member State from future issuances of SBBSs where and as long as the issuance of sovereign bonds by that Member State is significantly limited due to a reduced need for public debt or impaired market access. |
(9) |
To ensure that SBBSs are sufficiently homogeneous, the exclusion and re-integration of sovereign bonds of a particular Member State from the underlying portfolio of sovereign bonds should be allowed only following a decision of the Commission, ensuring that all SBBSs issued at the same time have the same underlying portfolio of sovereign bonds. SBBSs are new products and, in order to ensure the continuity of their issuance on the market, a timely decision-making mechanism to adjust the underlying portfolio of SBBSs in situations where a Member State no longer enjoys market access is warranted. In addition, commentators and stakeholders have raised concerns about the potential for negative impacts on the liquidity of the markets for the underlying government bonds which deserve to be taken seriously. To that end, this Regulation assigns to the European Supervisory Authority (European Securities and Markets Authority) established by Regulation (EU) No 1095/2010 of the European Parliament and of the Council (4) (ESMA) the duty of monitoring the markets for SBBSs and the underlying government bonds for signs of disruption. |
(9a) |
On the basis of ESMA’s observations and supported by their reports, the Commission should be empowered to provide a clear definition of ‘market liquidity’ and a method for its calculation, and to determine the criteria by which ESMA should assess whether a Member State no longer enjoys market access for the purposes of this Regulation. The Commission should be empowered to adopt a delegated act in accordance with Article 290 TFEU. The Commission, when preparing and drawing up such delegated act, should ensure a simultaneous, timely and appropriate transmission of relevant documents to the European Parliament and to the Council. |
(10) |
The fixed size of the senior tranche of each SBBS issue may be reduced for future SBBSs issuances where, due to adverse market developments that severely disrupt the functioning of sovereign debt markets in a Member State or in the Union, a smaller size is required to ensure continued high credit quality and low risk for the senior tranche. When such adverse market developments end, the size of the senior tranche for future SBBSs issuances should be brought back to its initial value of seventy percent. ▌ |
(11) |
Investors should be protected as much as possible from the risk of insolvency of the institution that acquires the sovereign bonds (‘original purchaser’) for the purposes of assembling the SBBSs underlying portfolio. For that reason, only special purpose entities (‘SPEs’) that are exclusively devoted to the issuance and management of SBBSs and that do not undertake any other activities, such as providing credit, should be allowed to issue SBBSs. For the same reason, SPEs should be subject to strict asset segregation requirements. |
(12) |
To manage limited maturity mismatches in the time period between receipt of proceeds of debt service on the underlying portfolio and pay out dates to SBBSs investors, SPEs should be allowed to invest the proceeds from the debt service on the underlying portfolio of sovereign bonds of the SBBSs only in cash and highly liquid financial instruments with low market and credit risk. |
(12a) |
Member States should ensure that holdings of sovereign bonds by SPEs enjoy the same treatment as any other holdings of the same sovereign bond or of other sovereign bonds issued with the same terms. |
(13) |
Only products that fulfil the requirements regarding the composition and maturity of the underlying portfolio, the size of the senior and the subordinated tranches as provided for in this Regulation , and whose issue complies with the supervisory regime, should enjoy ▌the regulatory treatment provided for in this Regulation . |
(14) |
A system of certification by ESMA should ensure that an SBBS issue complies with the requirements of this Regulation. ESMA should therefore keep a list of certified SBBSs ▌, enabling investors to verify whether a product that is offered for sale as an SBBS is indeed an SBBS. For the same reason, ESMA should indicate in that list whether any sanction in relation to a SBBS has been imposed and remove from that list those products that are found to be in violation of this Regulation. |
(15) |
Investors should be able to rely on the certification of SBBSs by ▌ESMA and on the information provided by SPEs. Information on SBBSs and the sovereign bonds in the SBBSs underlying portfolio should empower investors to understand, assess and compare SBBSs transactions and not to rely solely on third parties, including credit rating agencies. That possibility should enable investors to act prudently and to carry out their due diligence efficiently. Information on SBBSs should therefore be freely available to investors, via standardised templates, on a website that ensures continuous accessibility. |
(16) |
To prevent abusive behaviour and to ensure that trust in SBBSs is maintained, appropriate administrative sanctions and remedial measures should be provided for by ESMA for cases of negligent or intentional infringements of notification or product requirements for SBBSs. |
(17) |
Investors in different financial sectors should be able to invest in SBBSs under the same conditions as they invest in the underlying euro area sovereign bonds with the exception of investments in holdings of the subordinated tranches of an SBBS by banks. Directive 2009/65/EC of the European Parliament and of the Council (5), Regulation (EU) No 575/2013 of the European Parliament and of the Council (6), Directive 2009/138/EC of the European Parliament and of the Council (7) and Directive (EU) 2016/2341 of the European Parliament and of the Council (8) should therefore be amended to ensure that SBBS are granted the same regulatory treatment as their underlying assets across the various regulated financial sectors. |
(18) |
To safeguard financial stability, ensure investors' confidence and promote liquidity, a proper and effective supervision of SBBSs markets is important. To that end, ESMA should be informed about the issuance of SBBSs and should receive from SPEs all the relevant information needed to perform its supervisory tasks. Supervision of compliance with this Regulation should primarily be performed to ensure investors’ protection and, where applicable, on aspects that may be linked to the issuance and holding of SBBSs by regulated financial entities. |
(19) |
National competent authorities of the entities involved in assembling SBBSs or in the SBBS market and ESMA should closely coordinate their supervision and ensure that their decisions are consistent. ▌ |
(20) |
Given that SBBSs are new products, whose effects on the markets for the underlying sovereign debt securities is unknown it is appropriate that the European Systemic Risk Board (ESRB) and the national competent and designated authorities for macroprudential instruments oversee the SBBSs market. To that end, the ESRB should avail itself of the powers conferred on it under Regulation (EU) No 1092/2010 of the European Parliament and of the Council (9) and, if appropriate, should issue warnings and make suggestions for remedial actions to the competent authorities. |
(21) |
As a body with highly specialised expertise regarding securities markets, it is appropriate to entrust ESMA with the development of draft regulatory technical standards concerning the types of investment that the SPE may conduct with the proceeds from the payments of principal or interest of the SBBSs’ underlying portfolio, the information to be provided by the SPE for the notification and certification to ESMA of an issuance of SBBSs issues, the information to be provided before transferring an SBBS, the cooperation and information exchange obligations among competent authorities. The Commission should be empowered to adopt those standards in accordance with Article 290 of the Treaty on the Functioning of the European Union (‘TFEU’) and with Articles 10 to 14 of Regulation (EU) No 1095/2010. |
(22) |
The Commission should also be empowered to adopt implementing technical standards by means of implementing acts pursuant to Article 291 TFEU and in accordance with Article 15 of Regulation (EU) No 1095/2010 with regard to notification requirements of SPEs prior to the issuance of an SBBS issue. |
(23) |
In order to ensure uniform conditions for the implementation of this Regulation, implementing powers should be conferred on the Commission to decide whether sovereign bonds of a Member State should be removed from or included in the SBBSs’ underlying portfolio and whether the size of the senior tranche of the future SBBSs issues to be issued should be changed. Those powers should be exercised in accordance with Regulation (EU) No 182/2011 of the European Parliament and of the Council (10). |
(24) |
Since the objective of this Regulation, namely laying down a framework for SBBSs, cannot be sufficiently achieved by the Member States, given that the emergence of a SBBSs market depends on the removal of obstacles resulting from the application of Union legislation and that a level playing field in the internal market for all institutional investors and entities involved in the operation of SBBSs, can only be achieved at Union level, the Union may adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty on European Union. In accordance with the principle of proportionality, as set out in that Article, this Regulation does not go beyond what is necessary in order to achieve that objective, |
HAVE ADOPTED THIS REGULATION:
Chapter 1
Subject matter, scope and definitions
Article 1
Subject matter
This Regulation lays down a general framework for sovereign bond-backed securities (‘SBBSs’).
Article 2
Scope
This Regulation applies to original purchasers, special purpose entities, investors and any other entity involved in the issuance or holding of SBBSs.
Article 3
Definitions
For the purposes of this Regulation, the following definitions shall apply:
(1) |
‘competent authority’ means a public authority or a body officially recognised by national law that is empowered by national or Union law to perform the tasks set out in this Regulation; |
(2) |
‘sovereign bond’ means any debt instrument issued by the central government of a Member State that is denominated and funded in the domestic currency of that Member State and has an original maturity of one year or more; |
(3) |
‘sovereign bond-backed security’ or ‘SBBS’ means a financial instrument denominated in euro whose credit risk is associated with the exposures to a portfolio of sovereign bonds and that complies with this Regulation; |
(4) |
‘special purpose entity’ or ‘SPE’ means a legal person, other than the original purchaser, that issues SBBSs and carries out the activities in relation to the underlying portfolio of sovereign bonds in accordance with Articles 7 and 8 of this Regulation; |
(5) |
‘original purchaser’ means a legal person that purchases sovereign bonds on its own account and subsequently transfers those sovereign bonds to an SPE for the purpose of issuing SBBSs; |
(6) |
‘investor’ means a natural or legal person that holds an SBBS; |
(7) |
‘tranche’ means a contractually established segment of the credit risk associated with the SBBSs' underlying portfolio of sovereign bonds and that bears a risk of greater or smaller credit loss than a position of the same amount in another segment of that credit risk; |
(8) |
‘senior tranche’ means the tranche within an SBBSs issue that bears losses after all the subordinated tranches of that SBBS issue have done so; |
(9) |
‘subordinated tranche’ means any tranche within an SBBSs issue bearing losses before the senior tranche; |
(10) |
‘junior tranche’ means the tranche within an SBBSs issue bearing losses before any other tranche. |
Chapter 2
Composition, maturity and structure of SBBSs
Article 4
Composition of the underlying portfolio
1. The underlying portfolio of an SBBS issue shall only consist of the following:
(a) |
sovereign bonds of Member States whose currency is the euro; |
(b) |
the proceeds from the redemption of those sovereign bonds. |
2. The weight of sovereign bonds of every Member State within an SBBSs' underlying portfolio (‘baseline weight’) shall be equal to the relative weight of the contribution to the European Central Bank (ECB) by that Member State in accordance with the key for subscription, by the national central banks of Members States, of the ECB's paid-in capital as laid down in Article 29 of the Protocol on the Statute of the European System of Central Banks and of the European Central Bank annexed to the Treaty on European Union and to the Treaty on the Functioning of the European Union.
SPEs may however deviate from the nominal value of sovereign bonds of each Member State, as given by the application of the baseline weight, by maximum ten percent.
3. After the first SBBS is certified, ESMA shall , without undue delay, begin to monitor and assess continuously whether any of the following situations exist:
(a) |
over the previous twelve months (‘period of reference’), the Member State has issued less than half of the amount of sovereign bonds resulting from its relative weight determined in accordance with paragraph 2 , multiplied by the aggregate amount of SBBSs issued in the twelve months prior to the period of reference; |
(aa) |
the SBBS issuance has had a significant negative impact on the market liquidity of the sovereign bonds of a Member State included in the underlying portfolio; |
(b) |
over the previous twelve months, the Member State has financed at least half of its annual funding requirements through official financial assistance in support of the implementation of a macroeconomic adjustment programme as specified in Article 7 of Regulation (EU) No 472/2013 of the European Parliament and of the Council (11) , or for any reason the Member State no longer enjoys market access . |
For the purposes of point (aa) of the first subparagraph, ‘market liquidity’ shall be determined taking into account as minimum criteria, the previous three months evidence of market breadth and depth as proven by low bid-ask spreads, high trading volume and a large and diverse number of market participants.
For the purposes of point (aa) of the first subparagraph, the Commission shall by … [6 months after the entry into force of this Regulation] adopt a delegated act in accordance with Article 24a to provide a clear definition and calculation method of ‘market liquidity’ for the purposes of this Regulation.
For the purposes of point (b) of the first subparagraph, the Commission shall by … [6 months after the entry into force of this Regulation] adopt a delegated act in accordance with Article 24a to supplement this Regulation by determining the criteria by which ESMA shall assess whether a Member State no longer enjoys market access.
3a. ESMA shall on an ongoing basis monitor and assess whether a Member State whose sovereign bonds are included in the underlying portfolio of an SBBS no longer enjoys market access or entered a macroeconomic adjustment program, if the SBBS issuance had a significant negative impact on market liquidity and whether the baseline weights of Member States with limited availability of sovereign bonds impede the issuance of new SBBSs, or if any of these situations has ceased to exist.
Where ESMA, in consultation with the ESRB, finds that a situation referred to in point (a) or (aa) of the first subparagraph of paragraph 3 applies, it may request the Commission to adjust the baseline weights of the bonds of the Member States included in the underlying portfolio.
If ESMA, in consultation with the ESRB, finds that a situation referred to in point (b) of the first subparagraph of paragraph 3 applies, it may request the Commission either to exclude the Member State from the underlying portfolio of an SBBS or to adjust the baseline weights of the bonds of the Member States included in the underlying portfolio.
Where ESMA, in consultation with the ESRB, finds that a situation referred to in points (a) to (b) of the first subparagraph of paragraph 3 has ceased to exist, it may request the Commission to re-instate the Member State bonds in the underlying portfolio of an SBBS and to adjust the baseline weights of the bonds of the Member States included in the underlying portfolio.
The Commission shall, within 48 hours of the request referred to in the second, third and fourth subparagraphs and based on the reasons and evidence provided by ESMA, do one of the following:
(a) |
adopt an implementing act that either excludes sovereign bonds of the Member State from the underlying portfolio of the SBBS or adjusts the baseline weights of relevant Member States; |
(b) |
adopt an implementing act rejecting the requested exclusion or adjustment of the baseline weights of relevant Member States; or |
(c) |
adopt an implementing act that re-instates the Member State bonds in the underlying portfolio of an SBBS, adjusting the baseline weights of the bonds of Member States included in the underlying portfolio as appropriate. |
3b. Any implementing act adopted pursuant to paragraph 3a of this Article shall be adopted in accordance with the examination procedure referred to in Article 26(2).
Where a Member State is excluded from the underlying portfolio of an SBBS, following an implementation act under paragraph 3a, the baseline weights of sovereign bonds of the remaining Member States shall be determined by excluding the sovereign bonds of the Member State referred to in paragraph 3a and applying the calculation method set out in paragraph 2. Where an implementing act under paragraph 3a applies and the baseline weights are adjusted, the baseline weights shall be applied in accordance with the implementing act.
The exclusion or adjustment shall be valid for an initial period of one month. The Commission may, after consulting ESMA, extend the exclusion or adjustment of the baseline weights referred to in this Article for additional periods of one month by way of an implementing act. Where the exclusion or adjustment is not renewed by the end of the initial period or by the end of any subsequent renewal period, it shall automatically expire.
3c. The ECB shall be informed in timely fashion of any decision taken pursuant to paragraphs 3a and 3b.
Article 5
Maturity of the underlying assets
1. SBBSs tranches that are part of the same issue shall have a single original maturity date. That maturity date shall be equal to or up to one day longer than the remaining maturity of the sovereign bond with the longest remaining maturity within the underlying portfolio.
2. The remaining maturity of any sovereign bond in an SBBSs' underlying portfolio shall not be shorter by more than six months than the remaining maturity of the sovereign bond with the longest remaining maturity in that portfolio.
Article 6
Structure of the tranches, payment and losses
1. An SBBSs issue shall be composed of one senior tranche and one or more subordinated tranches. The outstanding nominal value of the senior tranche shall be seventy percent of the outstanding nominal value of the entire SBBSs issue. The number and the outstanding nominal values of the subordinated tranches shall be determined by the SPE, subject to the limitation that the nominal value of the junior tranche shall be at least five percent of the outstanding nominal value of the entire SBBSs issue.
2. Where adverse developments severely disrupt the functioning of sovereign debt markets in a Member State or in the Union, and where that disruption has been confirmed by the Commission in accordance with paragraph 4, SPEs shall lower the outstanding nominal value of the senior tranche to sixty percent for any SBBSs issue issued after that confirmation.
Where the Commission, in accordance with paragraph 4, has confirmed that that disruption has ceased to exist, paragraph 1 will apply to all SBBSs issues issued after that confirmation.
3. ESMA shall monitor and assess whether the situation referred to in paragraph 2 exists or has ceased to exist and inform the Commission thereof.
4. The Commission may adopt an implementing act establishing that the disruption referred to in paragraph 2 exists or has ceased to exist. That implementing act shall be adopted in accordance with the examination procedure referred to in Article 26(2).
5. Payments under an SBBS shall be dependent upon the payments of the underlying portfolio of sovereign bonds.
6. The distribution of losses and the order of payments shall be determined by the tranche of the SBBSs issue and shall be fixed for the entire life cycle of the SBBSs issue.
Losses shall be recognised and assigned as they materialise.
Article 7
Issuance of SBBSs and obligations of SPEs
1. SPEs shall comply with all of the following requirements:
(a) |
they are established in the Union; |
(b) |
their activities are limited to issuing and servicing SBBSs issues and managing the underlying portfolio of those SBBSs issues in accordance with Articles 4, 5, 6 and 8; |
(c) |
SPEs are solely responsible for the provision of services and activities referred to in point (b). |
2. SPEs shall have full ownership of the underlying portfolio of an SBBSs issue.
The underlying portfolio of an SBBSs issue shall constitute a security financial collateral arrangement as defined in Article 2(c) of Directive 2002/47/EC of the European Parliament and of the Council (12) securing the financial obligations of the SPE towards investors in that SBBSs issue.
Holding an SBBS of a specific SBBS issue shall not provide for any rights or claims on the assets of that SPE issuing the SBBSs issue that go beyond the underlying portfolio of that isse and the income generated from holding that SBBS.
Any reduction in the value or proceeds of the underlying portfolio of sovereign bonds shall not give rise to a liability claim from investors.
3. An SPE shall keep records and accounts so that it:
(a) |
segregates its own assets and financial resources from those of the underlying portfolio of the SBBSs issue and the related proceeds; |
(b) |
segregates the underlying portfolios and proceeds of different SBBSs issues; |
(c) |
segregates the positions held by different investors or intermediaries; |
(d) |
verifies that at any point in time the number of SBBSs of one issue is equal to the sum of the SBBSs held by all investors or intermediaries in that issue; |
(e) |
verifies that the outstanding nominal value of the SBBSs of one issue is equal to the outstanding nominal value of the underlying portfolio of sovereign bonds of that issue. |
4. SPEs shall hold the sovereign bonds referred to in Article 4(1)(a) in custody, as permitted under point (1) of Section B of Annex I to Directive 2014/65/EU of the European Parliament and of the Council (13) and point (2) of Section A of the Annex to Regulation (EU) No 909/2014 of the European Parliament and of the Council (14) only at central banks, central securities depositories, authorised credit institutions or authorised investment firms.
4a. Member States shall ensure that holdings of sovereign bonds by SPEs enjoy the same treatment as any other holdings of the same sovereign bond or of other sovereign bonds issued with the same terms.
Article 8
Investment policy
1. An SPE shall invest payments of principal or interest from the sovereign bonds referred to in Article 4(1)(a) that are due prior to payments of principal or interest under the SBBS only in cash or euro-denominated cash equivalents that are eligible for liquidation within one day with minimal adverse price effect.
An SPE shall hold in custody, as permitted under point (1) of Section B of Annex I to Directive 2014/65/EU and point (2) of Section A of the Annex to Regulation (EU) No 909/2014, the payments referred to in the first subparagraph only at central banks, central securities depositories, authorised credit institutions or authorised investment firms.
2. An SPE shall not change the underlying portfolio of an SBBS until the maturity of that SBBS.
3. ESMA shall develop draft regulatory technical standards further specifying the financial instruments that can be considered to be highly liquid with minimal market and credit risk as referred to in paragraph 1. ESMA shall submit those draft regulatory technical standards to the Commission by [6 months from the date of entry into force of this Regulation].
Power is delegated to the Commission to adopt the regulatory technical standards referred to in the first subparagraph in accordance with the procedure laid down in Articles 10 to 14 of Regulation (EU) No 1095/2010.
Chapter 3
Use of the designation SBBS and notification, transparency and information requirements
Article 9
Use of the designation ‘Sovereign Bond-Backed Securities’
The designation ‘Sovereign Bond-Backed Security’ or ‘SBBS’ shall only be used for financial products that comply with all of the following conditions:
(a) |
the financial product complies on an ongoing basis with Articles 4, 5 and 6; |
(aa) |
the SPE complies on an ongoing basis with Articles 7 and 8; |
(b) |
ESMA has certified that financial product in accordance with Article 10(1) and the financial product has been included in the list referred to in Article 10(2). |
Article 10
SBBS notification requirements
1. An SPE shall submit an application for certification of an SBBS issue by notifying ESMA at least one week before issuance of an SBBSs issue by means of the template referred to in paragraph 5 of this Article that an SBBSs issue meets the requirements of Articles 4, 5 and 6. ESMA shall inform the SPE's competent authority thereof without undue delay.
1a. The notification provided for in paragraph 1 of this Article shall include an explanation by the SPE of how it has complied with each of the requirements set out in Articles 4, 5, 6, 7 and 8.
1b. ESMA shall certify an SBBS issue only where it is fully satisfied that the applicant SPE and the SBBS issue comply with all the requirements laid down in this Regulation. ESMA shall inform the applicant SPE without undue delay whether certification has been granted or refused.
2. ESMA shall maintain on its official website a list of all SBBSs issues that have been certified by ESMA . ESMA shall update that list instantly and remove any SBBSs issue that is no longer considered to be an SBBSs issue following a decision by ESMA in accordance with Article 15.
3. ▌ESMA shall immediately indicate on the list referred to in paragraph 2 of this Article whenever it has imposed administrative sanctions referred to in Article 16 for which there is no longer a right of appeal, in relation to the SBBS concerned.
3a. ESMA shall withdraw the certification for an SBBS issue where any of the following conditions is met:
(a) |
the SPE has expressly renounced the certification or has not made use of it within six months after the certification has been granted; |
(b) |
the SPE has obtained the certification by making false statements or by any other irregular means; |
(c) |
the SBBS issue no longer meets the conditions under which it was certified. |
The withdrawal of the certification shall have immediate effect throughout the Union.
4. ESMA shall develop draft regulatory technical standards specifying the information referred to in paragraph 1.
ESMA shall submit those draft regulatory technical standards to the Commission by … [6 months from the date of entry into force of this Regulation].
Power is conferred on the Commission to adopt the regulatory technical standards referred to in this paragraph in accordance with Articles 10 to 14 of Regulation (EU) No 1095/2010.
5. ESMA shall develop draft implementing technical standards to establish the templates to be used for the provision of the information referred to in paragraph 1.
ESMA shall submit those draft implementing technical standards to the Commission by … [6 months from the date of entry into force of this Regulation].
Power is conferred on the Commission to adopt the implementing technical standards referred to in this paragraph in accordance with Article 15 of Regulation (EU) No 1095/2010.
Article 11
Transparency requirements
1. An SPE shall, without undue delay, provide investors and ESMA with the following information:
(a) |
information on the underlying portfolio that is essential for assessing whether the financial product complies with Articles 4, 5 and 6; |
(b) |
a detailed description of the priority of payments of the tranches of the SBBSs issue; |
(c) |
where no prospectus has been drawn up in the cases set out in Articles 1(4), 1(5) or 3(2) of Regulation (EU) No 2017/1129 of the European Parliament and of the Council (15), an overview of the main features of the SBBS, including, where applicable, details regarding the exposure characteristics, the cash flows and loss waterfall; |
(d) |
the notification and certification referred to in Article 10(1) and in Article 10(1b) respectively . |
The information referred to in point (a) of this paragraph shall be made available at the latest one month after the due date for the payment of interest of the SBBS.
2. An SPE shall make the information referred to in paragraph 1 available on a website that:
(a) |
has a well-functioning data quality control system; |
(b) |
is subject to appropriate governance standards and is maintained and operated in accordance with an organisational structure that ensures the continuity and orderly functioning of the website; |
(c) |
is subject to systems, controls and procedures that identify all relevant sources of operational risk; |
(d) |
includes systems that ensure the protection and integrity of the information received and the prompt recording of that information; |
(e) |
makes it possible to keep records of the information for at least five years after the maturity date of every SBBSs issue. |
Information referred to in paragraph 1 and the location where the information is made available shall be indicated by the SPE in the documentation regarding the SBBSs provided to investors.
Article 12
Information requirements
1. Before transferring an SBBS, the transferor shall provide to the transferee all the following information:
(a) |
the procedure to allocate proceeds from the underlying portfolio of sovereign bonds to the different tranches of the SBBSs issue, including following or in anticipation of a non-payment on the underlying assets; |
(b) |
how voting rights on an exchange offer following or in anticipation of a non-payment on any sovereign bonds in the underlying portfolio shall be assigned to investors and how any losses from a debt non-payment shall be allocated across the different tranches of the SBBSs issue. |
2. ESMA shall develop draft regulatory technical standards to specify the information referred to in paragraph 1.
ESMA shall submit those draft regulatory technical standards to the Commission by [6 months from the date of entry into force of this Regulation].
Power is delegated to the Commission to adopt the regulatory technical standards referred to in the first subparagraph in accordance with the procedure laid down in Articles 10 to 14 of Regulation (EU) No 1095/2010.
Chapter 4
Product oversight
Article 13
Supervision by ESMA
1. ESMA shall be the competent authority to supervise the compliance of SPEs with ▌the requirements laid down in this Regulation.
2. ESMA shall ▌have the supervisory, investigatory and sanctioning powers to fulfil its duties under this Regulation.
ESMA shall have the power to, at least:
(a) |
request access to any documents in any form to the extent that they relate to SBBSs, and to receive or take a copy thereof; |
(b) |
require the SPE to provide information without delay; |
(c) |
require information from any person related to the activities of the SPE; |
(d) |
carry out on-site inspections with or without prior announcement; |
(e) |
take appropriate measures to ensure that an SPE continues to comply with this Regulation; |
(f) |
issue an order to ensure that an SPE complies with this Regulation and desists from a repetition of any conduct that breaches this Regulation. |
▌
Article 14
Cooperation between competent authorities and ESMA
1. Competent authorities responsible for the supervision of entities assembling SBBSs or otherwise engaged in the SBBS market and ESMA shall cooperate closely and exchange information to carry out their duties. In particular, they shall closely coordinate their supervision to identify and remedy infringements of this Regulation, develop and promote best practices, facilitate collaboration, foster consistency of interpretation and provide cross-jurisdictional assessments in the event of any disagreements.
To facilitate the use of powers of competent authorities and ensure the consistent application and enforcement of the obligations set out in this Regulation, ESMA shall act within the powers set out in Regulation (EU) No 1095/2010.
2. A competent authority that has clear and demonstrable grounds that an SPE is in breach of this Regulation shall promptly inform ESMA in a detailed manner . ESMA shall take appropriate measures, including the decision referred to in Article 15.
3. Where the SPE persists in acting in a manner that is clearly in breach of this Regulation despite measures taken by ▌ESMA, ESMA may take all appropriate measures to protect investors, including prohibiting the SPE from carrying out any further marketing of SBBSs within its territory and taking the decision referred to in Article 15.
Article 15
Misuse of the SBBS designation
1. Where there are reasons to believe that an SPE in infringement of Article 9 has used the designation ‘SBBS’ to market a product that fails to comply with the requirements set out in that Article, ESMA shall follow the procedure provided for in paragraph 2.
2. Within 15 days after becoming aware of the possible infringement referred to in paragraph 1 ESMA shall decide whether Article 9 has been infringed and shall notify other relevant competent authorities thereof, including the competent authorities of the investors, when known. ▌
▌
Where ESMA finds that the infringement by the SPE is related to non-compliance with Article 9 in good faith, it may decide to grant the SPE a period of maximum one month to remedy the identified infringement, starting from the day the SPE was informed of the infringement by ESMA . During that period, an SBBS appearing on the list maintained by ESMA pursuant to Article 10(2) shall continue to be considered an SBBS and shall be kept on that list.
3. ESMA shall develop draft regulatory technical standards to specify the cooperation obligations and the information to be exchanged under paragraph 1 and 2.
ESMA shall submit those draft regulatory technical standards to the Commission by … [6 months from the date of entry into force of this Regulation].
Power is delegated to the Commission to adopt the regulatory technical standards referred to in this paragraph in accordance with Articles 10 to 14 of Regulation (EU) No 1095/2010.
Article 16
Remedial measures and administrative sanctions
1. Without prejudice to the right for Member States to lay down criminal sanctions pursuant to Article 17, ESMA shall impose on the SPE or the natural person managing the SPE the appropriate remedial measures, including the decision referred to in Article 15, and the appropriate administrative sanctions set out in paragraph 3 where SPEs:
(a) |
have failed to comply with the obligations set out in Articles 7 and 8; |
(b) |
have failed to meet the requirements of Article 9, including where they have not notified ESMA in accordance with Article 10(1), or have made a misleading notification; |
(c) |
have failed to meet the transparency requirements of Article 11. |
2. The administrative sanctions referred to in paragraph 1 shall be at least the following:
(a) |
a public statement indicating the identity of the natural or legal person having committed the infringement and the nature of the infringement; |
(b) |
an order requiring the natural or legal person that committed the infringement to cease the conduct and to desist from a repetition of that conduct; |
(c) |
a temporary ban preventing any member of the SPE's management body or any other natural person held responsible for the infringement from exercising management functions in SPEs; |
(d) |
in case of an infringement as referred to in point (b) of paragraph 1, a temporary ban on the SPE from making a notification as referred to in Article 10(1); |
(e) |
an administrative pecuniary sanctions of maximum EUR 5 000 000, or in Member States the currency of which is not the euro, the corresponding value in the national currency on … [the date of entry into force of this Regulation], or of maximum 10 % of the total annual net turnover of the SPE, as established in the most recent available accounts approved by the management body of the SPE; |
(f) |
an administrative pecuniary sanctions of maximum twice the amount of the benefit derived from the infringement where that benefit can be determined, even where that benefit exceeds the maximum amounts referred to in point (e). |
3. ESMA , when determining the type and level of administrative sanctions, shall take into account the extent to which the infringement was intentional or results from negligence and all other relevant circumstances, including, where appropriate:
(a) |
the materiality, gravity and the duration of the infringement; |
(b) |
the degree of responsibility of the natural or legal person responsible for the infringement; |
(c) |
the financial strength of the responsible natural or legal person; |
(d) |
the importance of profits gained or losses avoided by the responsible natural or legal person, insofar as those profits or losses can be determined; |
(e) |
the losses for third parties caused by the infringement; |
(f) |
the level of cooperation of the responsible natural or legal person with the competent authority; |
(g) |
previous infringements by the responsible natural or legal person. |
4. ESMA shall ensure that any decision imposing the remedial measures or administrative sanctions is properly reasoned and is subject to a right of appeal.
Article 17
Interaction with criminal sanctions
Member States that have laid down criminal sanctions for the infringement referred to in Article 16(1) shall allow ESMA to liaise with judicial, prosecuting, or criminal justice authorities within their jurisdiction and to receive from, and to provide to, relevant authorities specific information about criminal investigations or proceedings commenced for the infringements referred to in Article 16(1).
Article 18
Publication of administrative sanctions
1. ESMA shall publish on its website any decision imposing an administrative sanction in respect of which there is no longer a right of appeal and which is imposed for an infringement as referred to in Article 16(1) without undue delay and after the person concerned has been informed.
The publication referred to in subparagraph 1 shall include information on the type and nature of the infringement, the identity of the natural or legal person on whom the administrative sanction has been imposed.
2. ESMA shall publish the administrative sanction on an anonymous basis, ▌in any of the following circumstances:
(a) |
where the administrative sanction is imposed on a natural person and, following an prior assessment, publication of personal data is found to be disproportionate; |
(b) |
where publication would jeopardise the stability of financial markets or an ongoing criminal investigation; |
(c) |
where publication would cause disproportionate damage to the SPE or natural persons involved. |
Alternatively, where the circumstances referred to in the first subparagraph are likely to cease within a reasonable period of time, publication under paragraph 1 may be postponed for such a period of time.
3. ESMA shall ensure that information published under paragraph 1 or 2 remains on its official website for five years. Personal data shall be retained on the official website of ESMA only for the period necessary.
Article 18a
Supervisory fees
1. ESMA shall charge the SPE fees in accordance with this Regulation and in accordance with the delegated acts adopted pursuant to paragraph 2 of this Article. Those fees shall be in proportion to the turnover of the SPE concerned and shall fully cover ESMA’s necessary expenditure relating to the licensing of SBBSs and supervision of SPEs.
2. The Commission is empowered to adopt a delegated act in accordance with Article 24a to supplement this Regulation by further specifying the type of fees, the matters for which fees are due, the amount of the fees and the manner in which they are to be paid.
Article 19
Macroprudential oversight of the SBBSs market
Within the limits of its mandate laid down in Regulation (EU) No 1092/2010, the ESRB shall be responsible for the macroprudential oversight of the Union’s SBBSs market and act in accordance with the powers set out in that Regulation. If it finds that SBBS markets are posing a severe risk to the orderly functioning of the markets for the sovereign debt securities of those Member States whose currency is the Euro, the ESRB shall avail itself of the powers under Articles 16, 17 and 18 of Regulation (EU) No 1092/2010, as appropriate.
▌
Chapter 4
Implementing powers and final provisions
Article 21
Amendment to Directive 2009/65/EC
In Directive 2009/65/EC the following Article 54a is inserted:
‘Article 54a
1. Where Member States apply a derogation as referred to in Article 54 or grant a waiver as referred to in Article 56(3), the competent authorities of the UCITS home Member State shall:
(a) |
apply the same derogation or grant the same waiver for UCITS to invest up to 100 % of their assets in SBBSs as defined in Article 3(3) of Regulation [reference of the SBBS Regulation to be inserted] in accordance with the principle of risk-spreading where those competent authorities consider that unit-holders in the UCITS have a protection that is equivalent to that of unit-holders in UCITS complying with the limits laid down in Article 52; |
(b) |
shall waive the application of paragraphs 1 and 2 of Article 56. |
2. By … [6 months from date of entry into force of SBBS Regulation], Member States shall adopt, publish and communicate to the Commission and ESMA measures necessary to comply with paragraph 1.’.
Article 22
Amendment to Directive 2009/138/EC
In Article 104 of Directive 2009/138/EC, the following paragraph 8 is added:
‘8. For the purposes of the calculation of the Basic Solvency Capital Requirement, exposures to sovereign bond-backed securities as defined in Article 3(3) of Regulation [reference of the SBBS Regulation to be inserted] shall be treated as exposures to Member States' central governments or central banks denominated and funded in their domestic currency.
By … [6 months from date of entry into force of SBBS Regulation], Member States shall adopt, publish and communicate to the Commission and ESMA measures necessary to comply with the first subparagraph.’.
Article 23
Amendments to Regulation (EU) No 575/2013
Regulation (EU) No 575/2013 is amended as follows:
(1) |
in Article 268 , the following paragraph 5 is added: ‘5. By way of derogation from the first paragraph, the senior tranche of sovereign bond-backed securities as defined in Article 3(8) of Regulation [reference of the SBBS Regulation to be inserted] may always be treated in accordance with the first paragraph of this Article.’; |
(2) |
in Article 325, the following paragraph 4 is added: ‘4. For the purpose of this Title, institutions shall treat exposures in the form of the senior tranche of sovereign bond-backed securities as defined in Article 3(8) of Regulation [reference of the SBBS Regulation to be inserted] as exposures to the central government of a Member State.’; |
(3) |
in Article 390(7), the following subparagraph is added: ‘The first subparagraph shall apply to exposures to sovereign bond-backed securities as defined in Article 3(3) of Regulation [reference of the SBBS Regulation to be inserted].’. |
Article 24
Amendment to Directive (EU) 2016/2341
In Directive (EU) 2016/2341, the following Article 18a is inserted:
‘Article 18a
Sovereign-Bond Backed Securities
1. In their national rules regarding the valuation of assets of IORPs, the calculation of own funds of IORPs, and the calculation of a solvency margin for IORPs, Member States shall treat sovereign-bond backed securities, as defined in Article 3(3) of Regulation [reference of the SBBS Regulation to be inserted], in the same way as euro area sovereign debt instruments.
2. By … [6 months from date of entry into force of the SBBS Regulation], Member States shall adopt, publish and communicate to the Commission and ESMA measures necessary to comply with paragraph 1.’.
Article 24a
Exercise of the delegation
1. The power to adopt delegated acts is conferred on the Commission subject to the conditions laid down in this Article.
2. The power to adopt delegated acts referred to in the third and fourth subparagraphs of Article 4(3) and in Article 18a(2) shall be conferred on the Commission for a period of five years from … [date of entry into force of this Regulation]. The Commission shall draw up a report in respect of the delegation of power not later than nine months before the end of the five-year period. The delegation of power shall be tacitly extended for periods of an identical duration, unless the European Parliament or the Council opposes such extension not later than three months before the end of each period.
3. The delegation of power referred to in the third and fourth subparagraphs of Article 4(3) and in Article 18a(2) may be revoked at any time by the European Parliament or by the Council. A decision to revoke shall put an end to the delegation of the power specified in that decision. It shall take effect the day following the publication of the decision in the Official Journal of the European Union or at a later date specified therein. It shall not affect the validity of any delegated acts already in force.
4. Before adopting a delegated act, the Commission shall consult experts designated by each Member State in accordance with the principles laid down in the Interinstitutional Agreement of 13 April 2016 on Better Law-Making.
5. As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the European Parliament and to the Council.
6. A delegated act adopted pursuant to the third or fourth subparagraph of Article 4(3) or to Article 18a(2) shall enter into force only if no objection has been expressed either by the European Parliament or by the Council within a period of three months of notification of that act to the European Parliament and the Council or if, before the expiry of that period, the European Parliament and the Council have both informed the Commission that they will not object. That period shall be extended by [two months] at the initiative of the European Parliament or of the Council.
Article 25
Evaluation clause
No sooner than five years after the date of entry into force of this Regulation and once sufficient data have become available, the Commission shall carry out an evaluation of this Regulation assessing whether it has achieved its objectives to eliminate undue regulatory hindrances to the emergence of SBBSs.
Article 26
Committee procedure
1. The Commission shall be assisted by the European Securities Committee established by Commission Decision 2001/528/EC (16). That Committee shall be a committee within the meaning of Regulation (EU) No 182/2011.
2. Where reference is made to this paragraph, Article 5 of Regulation (EU) No 182/2011 shall apply.
Article 27
Entry into force
This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at …,
For the European Parliament
The President
For the Council
The President
(1) OJ C , , p. .
(2) OJ C 62, 15.2.2019, p. 113.
(3) Position of the European Parliament of 16 April 2019.
(4) Regulation (EU) No 1095/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Securities and Markets Authority), amending Decision No 716/2009/EC and repealing Commission Decision 2009/77/EC (OJ L 331, 15.12.2010, p. 84).
(5) Directive 2009/65/EC of the European Parliament and of the Council of 13 July 2009 on the coordination of laws, regulations and administrative provisions relating to undertakings for collective investments in transferable securities (UCITS) (OJ L 302, 17.11.2009, p. 32).
(6) Regulation (EU) No 575/2013 of the European Parliament and of the Council of 26 June 2013 on prudential requirements for credit institutions and investment firms and amending Regulation (EU) No 648/2012 (CRR) (OJ L 176, 27.6.2013, p. 1).
(7) Directive 2009/138/EC of the European Parliament and of the Council of 25 November 2009 on the taking-up and pursuit of the business of Insurance and Reinsurance (Solvency II) (OJ L 335, 17.12.2009, p. 1).
(8) Directive (EU) 2016/2341 of the European Parliament and of the Council of 14 December 2016 on the activities and supervision of institutions for occupational retirement provision (IORPs) (OJ L 354, 23.12.2016, p. 37).
(9) Regulation (EU) No 1092/2010 of the European Parliament and of the Council of 24 November 2010 on European Union macro-prudential oversight of the financial system and establishing a European Systemic Risk Board (OJ L 331, 15.12.2010, p. 1).
(10) Regulation (EU) No 182/2011 of the European Parliament and of the Council of 16 February 2011 laying down the rules and general principles concerning mechanisms for control by Member States of the Commission’s exercise of implementing powers (OJ L 55, 28.2.2011, p. 13).
(11) Regulation (EU) No 472/2013 of the European Parliament and of the Council of 21 May 2013 on the strengthening of economic and budgetary surveillance of Member States in the euro area experiencing or threatened with serious difficulties with respect to their financial stability (OJ L 140, 27.5.2013, p. 1).
(12) Directive 2002/47/EC of the European Parliament and of the Council of 6 June 2002 on financial collateral arrangements (OJ L 168, 27.6.2002, p. 43).
(13) Directive 2014/65/EU of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Directive 2002/92/EC and Directive 2011/61/EU (OJ L 173, 12.6.2014, p. 349).
(14) Regulation (EU) No 909/2014 of the European Parliament and of the Council of 23 July 2014 on improving securities settlement in the European Union and on central securities depositories and amending Directives 98/26/EC and 2014/65/EU and Regulation (EU) No 236/2012 (OJ L 257, 28.8.2014, p. 1).
(15) Regulation (EU) 2017/1129 of the European Parliament and of the Council of 14 June 2017 on the prospectus to be published when securities are offered to the public or admitted to trading on a regulated market, and repealing Directive 2003/71/EC (OJ L 168, 30.6.2017, p. 12).
(16) Commission Decision 2001/528/EC of 6 June 2001 establishing the European Securities Committee (OJ L 191, 13.7.2001, p. 45).
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/83 |
P8_TA(2019)0374
European Supervisory Authorities and financial markets ***I
European Parliament legislative resolution of 16 April 2019 on the proposal for a regulation of the European Parliament and of the Council amending Regulation (EU) No 1093/2010 establishing a European Supervisory Authority (European Banking Authority); Regulation (EU) No 1094/2010 establishing a European Supervisory Authority (European Insurance and Occupational Pensions Authority); Regulation (EU) No 1095/2010 establishing a European Supervisory Authority (European Securities and Markets Authority); Regulation (EU) No 345/2013 on European venture capital funds; Regulation (EU) No 346/2013 on European social entrepreneurship funds; Regulation (EU) No 600/2014 on markets in financial instruments; Regulation (EU) 2015/760 on European long-term investment funds; Regulation (EU) 2016/1011 on indices used as benchmarks in financial instruments and financial contracts or to measure the performance of investment funds; Regulation (EU) 2017/1129 on the prospectus to be published when securities are offered to the public or admitted to trading on a regulated market; and Directive (EU) 2015/849 on the prevention of the use of the financial system for the purposes of money-laundering or terrorist financing (COM(2018)0646 — C8-0409/2018 — 2017/0230(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/23)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2018)0646), |
— |
having regard to Article 294(2) and Article 114 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0409/2018), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
having regard to the reasoned opinion submitted, within the framework of Protocol No 2 on the application of the principles of subsidiarity and proportionality, by the Swedish Parliament, asserting that the draft legislative act does not comply with the principle of subsidiarity, |
— |
having regard to the opinion of the European Central Bank of 11 April 2018 (1) and of 7 December 2018 (2), |
— |
having regard to the opinion of the European Economic and Social Committee of 15 February 2018 (3) and of 12 December 2018 (4), |
— |
having regard to the provisional agreement approved by the committee responsible under Rule 69f(4) of its Rules of Procedure and the undertaking given by the Council representative by letter of 1 April 2019 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
— |
having regard to Rule 59 of its Rules of Procedure, |
— |
having regard to the report of the Committee on Economic and Monetary Affairs and the opinion of the Committee on Budgets (A8-0013/2019), |
1. |
Adopts its position at first reading hereinafter set out; |
2. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
3. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
(1) OJ C 255, 20.7.2018, p. 2.
P8_TC1-COD(2017)0230
Position of the European Parliament adopted at first reading on 16 April 2019 with a view to the adoption of Regulation (EU) 2019/… of the European Parliament and of the Council amending Regulation (EU) No 1093/2010 establishing a European Supervisory Authority (European Banking Authority); Regulation (EU) No 1094/2010 establishing a European Supervisory Authority (European Insurance and Occupational Pensions Authority); Regulation (EU) No 1095/2010 establishing a European Supervisory Authority (European Securities and Markets Authority); Regulation (EU) No 600/2014 on markets in financial instruments; Regulation (EU) 2016/1011 on indices used as benchmarks in financial instruments and financial contracts or to measure the performance of investment funds; and Regulation (EU) 2015/847 on information accompanying transfers of funds
(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) 2019/2175.)
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/85 |
P8_TA(2019)0375
European Union macro-prudential oversight of the financial system and establishing a European Systemic Risk Board ***I
European Parliament legislative resolution of 16 April 2019 on the proposal for a regulation of the European Parliament and of the Council amending Regulation (EU) No 1092/2010 on European Union macro-prudential oversight of the financial system and establishing a European Systemic Risk Board (COM(2017)0538 — C8-0317/2017 — 2017/0232(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/24)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2017)0538), |
— |
having regard to Article 294(2) and Article 114 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0317/2017), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
having regard to the opinion of the European Central Bank of 2 March 2018 (1), |
— |
having regard to the opinion of the European Economic and Social Committee of 15 February 2018 (2), |
— |
having regard to the provisional agreement approved by the responsible committee under Rule 69f(4) of its Rules of Procedure and the undertaking given by the Council representative by letter of 1 April 2019 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
— |
having regard to Rule 59 of its Rules of Procedure, |
— |
having regard to the report of the Committee on Economic and Monetary Affairs and the opinions of the Committee on Legal Affairs and the Committee on Constitutional Affairs (A8-0011/2019), |
1. |
Adopts its position at first reading hereinafter set out; |
2. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
3. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
P8_TC1-COD(2017)0232
Position of the European Parliament adopted at first reading on 16 April 2019 with a view to the adoption of Regulation (EU) 2019/… of the European Parliament and of the Council amending Regulation (EU) No 1092/2010 on European Union macro-prudential oversight of the financial system and establishing a European Systemic Risk Board
(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) 2019/2176.)
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/87 |
P8_TA(2019)0376
Markets in financial instruments and taking-up and pursuit of the business of Insurance and Reinsurance (Solvency II) ***I
European Parliament legislative resolution of 16 April 2019 on the proposal for a directive of the European Parliament and of the Council amending Directive 2014/65/EU on markets in financial instruments and Directive 2009/138/EC on the taking-up and pursuit of the business of Insurance and Reinsurance (Solvency II) (COM(2017)0537 — C8-0318/2017 — 2017/0231(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/25)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2017)0537), |
— |
having regard to Article 294(2) and Articles 53(1) and 62 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0318/2017), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
having regard to the opinion of the European Central Bank of 11 May 2018, (1) |
— |
having regard to the opinion of the European Economic and Social Committee of 15 February 2018, (2) |
— |
having regard to the provisional agreement approved by the committee responsible under Rule 69f(4) of its Rules of Procedure and the undertaking given by the Council representative by letter of 1 April 2019 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
— |
having regard to Rule 59 of its Rules of Procedure, |
— |
having regard to the report of the Committee on Economic and Monetary Affairs (A8-0012/2019), |
1. |
Adopts its position at first reading hereinafter set out; |
2. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
3. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
P8_TC1-COD(2017)0231
Position of the European Parliament adopted at first reading on 16 April 2019 with a view to the adoption of Directive (EU) 2019/… of the European Parliament and of the Council amending Directive 2009/138/EC on the taking-up and pursuit of the business of Insurance and Reinsurance (Solvency II), Directive 2014/65/EU on markets in financial instruments and Directive (EU) 2015/849 on the prevention of the use of the financial system for the purposes of money-laundering or terrorist financing
(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Directive (EU) 2019/2177.)
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/89 |
P8_TA(2019)0377
Prudential supervision of investment firms (Directive) ***I
European Parliament legislative resolution of 16 April 2019 on the proposal for a directive of the European Parliament and of the Council on the prudential supervision of investment firms and amending Directives 2013/36/EU and 2014/65/EU (COM(2017)0791 — C8-0452/2017 — 2017/0358(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/26)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2017)0791), |
— |
having regard to Article 294(2) and Article 53(1) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0452/2017), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
having regard to the opinion of the European Central Bank of 22 August 2018 (1), |
— |
having regard to the opinion of the European Economic and Social Committee of 19 April 2018 (2), |
— |
having regard to the provisional agreement approved by the committee responsible under Rule 69f(4) of its Rules of Procedure and the undertaking given by the Council representative by letter of 20 March 2019 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
— |
having regard to Rule 59 of its Rules of Procedure, |
— |
having regard to the report of the Committee on Economic and Monetary Affairs and the opinion of the Committee on Legal Affairs (A8-0295/2018), |
1. |
Adopts its position at first reading hereinafter set out; |
2. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
3. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
P8_TC1-COD(2017)0358
Position of the European Parliament adopted at first reading on 16 April 2019 with a view to the adoption of Directive (EU) 2019/… of the European Parliament and of the Council on the prudential supervision of investment firms and amending Directives 2002/87/EC, 2009/65/EC, 2011/61/EU, 2013/36/EU, 2014/59/EU and 2014/65/EU
(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Directive (EU) 2019/2034.)
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/91 |
P8_TA(2019)0378
Prudential requirements of investment firms (Regulation) ***I
European Parliament legislative resolution of 16 April 2019 on the proposal for a regulation of the European Parliament and of the Council on the prudential requirements of investment firms and amending Regulations (EU) No 575/2013, (EU) No 600/2014 and (EU) No 1093/2010 (COM(2017)0790 — C8-0453/2017 — 2017/0359(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/27)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2017)0790), |
— |
having regard to Article 294(2) and Article 114 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0453/2017), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
having regard to the opinion of the European Central Bank of 22 August 2018 (1), |
— |
having regard to the opinion of the European Economic and Social Committee of 19 April 2018 (2), |
— |
having regard to the provisional agreement approved by the committee responsible under Rule 69f(4) of its Rules of Procedure and the undertaking given by the Council representative by letter of 20 March 2019 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
— |
having regard to Rule 59 of its Rules of Procedure, |
— |
having regard to the report of the Committee on Economic and Monetary Affairs (A8-0296/2018), |
1. |
Adopts its position at first reading hereinafter set out; |
2. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
3. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
P8_TC1-COD(2017)0359
Position of the European Parliament adopted at first reading on 16 April 2019 with a view to the adoption of Regulation (EU) 2019/… of the European Parliament and of the Council on the prudential requirements of investment firms and amending Regulations (EU) No 1093/2010, (EU) No 575/2013, (EU) No 600/2014 and (EU) No 806/2014
(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) 2019/2033.)
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/93 |
P8_TA(2019)0379
Transparent and predictable working conditions in the European Union ***I
European Parliament legislative resolution of 16 April 2019 on the proposal for a directive of the European Parliament and of the Council on transparent and predictable working conditions in the European Union (COM(2017)0797 — C8-0006/2018 — 2017/0355(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/28)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2017)0797), |
— |
having regard to Article 294(2) and Article 153(1)(b) and (2)(b) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0006/2018), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
having regard to the reasoned opinion submitted, within the framework of Protocol No 2 on the application of the principles of subsidiarity and proportionality, by the Swedish Parliament, asserting that the draft legislative act does not comply with the principle of subsidiarity, |
— |
having regard to the opinion of the European Economic and Social Committee of 23 May 2018 (1), |
— |
having regard to the opinion of the Committee of the Regions of 5 July 2018 (2), |
— |
having regard to the provisional agreement approved by the committee responsible under Rule 69f(4) of its Rules of Procedure and the undertaking given by the Council representative by letter of 18 February 2019 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
— |
having regard to Rule 59 of its Rules of Procedure, |
— |
having regard to the report of the Committee on Employment and Social Affairs and also the opinions of the Committee on Legal Affairs and the Committee on Women's Rights and Gender Equality (A8-0355/2018), |
1. |
Adopts its position at first reading hereinafter set out; |
2. |
Takes note of the statement by the Commission annexed to this resolution; |
3. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
4. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
P8_TC1-COD(2017)0355
Position of the European Parliament adopted at first reading on 16 April 2019 with a view to the adoption of Directive (EU) 2019/… of the European Parliament and of the Council on transparent and predictable working conditions in the European Union
(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Directive (EU) 2019/1152.)
ANNEX TO THE LEGISLATIVE RESOLUTION
Commission statement
In accordance with Article 23 of the Directive, the Commission will review the application of this Directive by entry into force plus 8 years, with a view to propose, where appropriate, the necessary amendments. The Commission undertakes in its report to pay particular attention to the application of Articles 1 and 14 by the Member States. The Commission will also verify compliance with Article 14 when assessing whether Member States have fully and correctly transposed the Directive into their national legal systems.
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/96 |
P8_TA(2019)0380
European Labour Authority ***I
European Parliament legislative resolution of 16 April 2019 on the proposal for a regulation of the European Parliament and of the Council establishing a European Labour Authority (COM(2018)0131 — C8-0118/2018 — 2018/0064(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/29)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2018)0131), |
— |
having regard to Article 294(2), and Article 46, Article 48, Article 53(1), Article 62 and Article 91(1) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0118/2018), |
— |
having regard to the opinion of the Committee on Legal Affairs on the proposed legal basis, |
— |
having regard to Article 294(3) and Articles 46 and 48 of the Treaty on the Functioning of the European Union, |
— |
having regard to the reasoned opinion submitted, within the framework of Protocol No 2 on the application of the principles of subsidiarity and proportionality, by the Swedish Parliament, asserting that the draft legislative act does not comply with the principle of subsidiarity, |
— |
having regard to the opinion of the European Economic and Social Committee of 20 September 2018 (1), |
— |
having regard to the opinion of the Committee of the Regions of 9 October 2018 (2), |
— |
having regard to the provisional agreement approved by the committee responsible under Rule 69f(4) of its Rules of Procedure and the undertaking given by the Council representative by letter of 21 February 2019 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
— |
having regard to Rules 59 and 39 of its Rules of Procedure, |
— |
having regard to the report of the Committee on Employment and Social Affairs and the opinions of the Committee on Budgets, the Committee on Transport and Tourism, the Committee on Legal Affairs, the Committee on Civil Liberties, Justice and Home Affairs and the Committee on Women’s Rights and Gender Equality (A8-0391/2018), |
1. |
Adopts its position at first reading hereinafter set out; |
2. |
Approves the joint statement by Parliament, the Council and the Commission annexed to this resolution, which will be published in the L series of the Official Journal of the European Union, in the issue following that in which the final legislative act is published; |
3. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
4. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
P8_TC1-COD(2018)0064
Position of the European Parliament adopted at first reading on 16 April 2019 with a view to the adoption of Regulation (EU) 2019/… of the European Parliament and of the Council establishing a European Labour Authority, amending Regulations (EC) No 883/2004, (EU) No 492/2011, and (EU) 2016/589 and repealing Decision (EU) 2016/344
(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) 2019/1149.)
ANNEX TO THE LEGISLATIVE RESOLUTION
Joint statement of the European Parliament, the Council and the Commission
The European Parliament, the Council and the Commission note that the process for selecting the location of the seat of the European Labour Authority (ELA) was not concluded at the time of the adoption of its founding Regulation.
Recalling the commitment to sincere and transparent cooperation and recalling the Treaties, the three Institutions acknowledge the value of exchange of information from the initial stages of the process for the selection of the seat of the ELA.
Such early exchange of information would make it easier for the three Institutions to exercise their rights according to the Treaties through the related procedures.
The European Parliament and the Council take note of the Commission's intention to take any appropriate steps in order for the founding Regulation to provide for a provision on the location of the seat of the ELA, and to ensure that the ELA operates autonomously in line with that Regulation.
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/99 |
P8_TA(2019)0381
Conservation of fishery resources and protection of marine ecosystems through technical measures ***I
European Parliament legislative resolution of 16 April 2019 on the proposal for a regulation of the European Parliament and of the Council on the conservation of fishery resources and the protection of marine ecosystems through technical measures, amending Council Regulations (EC) No 1967/2006, (EC) No 1098/2007, (EC) No 1224/2009 and Regulations (EU) No 1343/2011 and (EU) No 1380/2013 of the European Parliament and of the Council, and repealing Council Regulations (EC) No 894/97, (EC) No 850/98, (EC) No 2549/2000, (EC) No 254/2002, (EC) No 812/2004 and (EC) No 2187/2005 (COM(2016)0134 — C8-0117/2016 — 2016/0074(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/30)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2016)0134), |
— |
having regard to Article 294(2) and Article 43(2) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0117/2016), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
having regard to the opinion of the European Economic and Social Committee of 13 July 2016 (1), |
— |
having regard to the opinion of the Committee of the Regions of 7 December 2016 (2), |
— |
having regard to the provisional agreement approved by the committee responsible under Rule 69f(4) of its Rules of Procedure and the undertaking given by the Council representative by letter of 22 February 2019 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
— |
having regard to Rule 59 of its Rules of Procedure, |
— |
having regard to the report of the Committee on Fisheries and the opinion of the Committee on the Environment, Public Health and Food Safety (A8-0381/2017). |
1. |
Adopts its position at first reading hereinafter set out (3); |
2. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
3. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
(1) OJ C 389, 21.10.2016, p. 67.
(2) OJ C 185, 9.6.2017, p. 82.
(3) This position replaces the amendments adopted on 16 January 2018 (Texts adopted, P8_TA(2018)0003).
P8_TC1-COD(2016)0074
Position of the European Parliament adopted at first reading on 16 April 2019 with a view to the adoption of Regulation (EU) 2019/… of the European Parliament and of the Council on the conservation of fisheries resources and the protection of marine ecosystems through technical measures, amending Council Regulations (EC) No 1967/2006, (EC) No 1224/2009 and Regulations (EU) No 1380/2013, (EU) 2016/1139, (EU) 2018/973, (EU) 2019/472 and (EU) 2019/1022 of the European Parliament and of the Council, and repealing Council Regulations (EC) No 894/97, (EC) No 850/98, (EC) No 2549/2000, (EC) No 254/2002, (EC) No 812/2004 and (EC) No 2187/2005
(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) 2019/1241.)
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/101 |
P8_TA(2019)0382
Regulation on European business statistics ***I
European Parliament legislative resolution of 16 April 2019 on the proposal for a regulation of the European Parliament and of the Council on European business statistics, amending Regulation (EC) No 184/2005 and repealing 10 legal acts in the field of business statistics (COM(2017)0114 — C8-0099/2017 — 2017/0048(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/31)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2017)0114), |
— |
having regard to Article 294(2) and Article 338(1) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0099/2017), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
having regard to the opinion of the European Central Bank of 2 January 2018 (1), |
— |
having regard to the provisional agreement approved by the committee responsible under Rule 69f(4) of its Rules of Procedure and the undertaking given by the Council representative by letter of 20 March 2019 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
— |
having regard to Rule 59 of its Rules of Procedure, |
— |
having regard to the report of the Committee on Industry, Research and Energy (A8-0094/2018), |
1. |
Adopts its position at first reading hereinafter set out; |
2. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
3. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
P8_TC1-COD(2017)0048
Position of the European Parliament adopted at first reading on 16 April 2019 with a view to the adoption of Regulation (EU) 2019/… of the European Parliament and of the Council on European business statistics, repealing 10 legal acts in the field of business statistics
(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) 2019/2152.)
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/102 |
P8_TA(2019)0383
OLAF investigations and cooperation with the European Public Prosecutor's Office ***I
European Parliament legislative resolution of 16 April 2019 on the proposal for a regulation of the European Parliament and of the Council amending Regulation (EU, Euratom) No 883/2013 concerning investigations conducted by the European Anti-Fraud Office (OLAF) as regards cooperation with the European Public Prosecutor's Office and the effectiveness of OLAF investigations (COM(2018)0338 — C8-0214/2018 — 2018/0170(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/32)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2018)0338), |
— |
having regard to Article 294(2) and Article 325 of the Treaty on the Functioning of the European Union, in conjunction with the Treaty establishing the European Atomic Energy Community, and in particular Article 106a thereof, pursuant to which the Commission submitted the proposal to Parliament (C8-0214/2018), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
having regard to the Opinion 8/2018 of the Court of Auditors (1), |
— |
having regard to Rule 59 of its Rules of Procedure, |
— |
having regard to the report of the Committee on Budgetary Control and the opinions of the Committee on Legal Affairs and the Committee on Civil Liberties, Justice and Home Affairs (A8-0179/2019), |
1. |
Adopts its position at first reading hereinafter set out; |
2. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
3. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
(1) ECA Opinion No 8/2018.
P8_TC1-COD(2018)0170
Position of the European Parliament adopted at first reading on 16 April 2019 with a view to the adoption of Regulation (EU) …/… of the European Parliament and of the Council amending Regulation (EU, Euratom) No 883/2013 concerning investigations conducted by the European Anti-Fraud Office (OLAF) as regards cooperation with the European Public Prosecutor's Office and the effectiveness of OLAF investigations
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on the Functioning of the European Union, and in particular Article 325 thereof, in conjunction with the Treaty establishing the European Atomic Energy Community, and in particular Article 106a thereof,
Having regard to the proposal from the European Commission,
After transmission of the draft legislative act to the national parliaments,
Having regard to the opinion of the Court of Auditors (1),
Acting in accordance with the ordinary legislative procedure (2),
Whereas:
(1) |
With the adoption of Directive (EU) 2017/1371 of the European Parliament and of the Council (3) and Council Regulation (EU) 2017/1939 (4), the Union has substantially strengthened the harmonised legal framework provisions regarding means available to protect the financial interests of the Union by means of criminal law. The European Public Prosecutor's Office (‘EPPO’) will have is a key priority in the field of criminal justice and anti-fraud policy, having the power to carry out criminal investigations and bring indictments related to criminal offences affecting the Union budget, as defined in Directive (EU) 2017/1371, in the participating Member States. [Am. 1] |
(2) |
To protect the financial interests of the Union, the European Anti-Fraud Office (‘the Office’) conducts administrative investigations into administrative irregularities as well as into criminal behaviour. At the end of its investigations, it may make judicial recommendations to the national prosecution authorities, aimed at enabling indictments and prosecutions in the Member States. In future, in the Member States participating in the EPPO, it will report suspected criminal offences to the EPPO, and will collaborate with it in the context of its investigations. [Am. 2] |
(3) |
Therefore, Regulation (EU, Euratom) No 883/2013 of the European Parliament and of the Council (5) should be amended and correspondingly adapted following the adoption of Regulation (EU) 2017/1939. The provisions governing the relationship between the EPPO and the Office in Regulation (EU) 2017/1939 should be reflected and complemented by the rules in Regulation (EU, Euratom) No 883/2013 to ensure the highest level of protection of the financial interests of the Union through synergies between the two bodies , which means implementing the principles of close cooperation, information exchange, complementarity and avoidance of duplication. [Am. 3] |
(4) |
In view of their common goal to preserve the integrity of the Union budget, the Office and the EPPO should establish and maintain a close relationship based on sincere cooperation and aimed at ensuring the complementarity of their respective mandates and coordination of their action, in particular as regards the scope of the enhanced cooperation for the establishment on the EPPO. Ultimately, the relationship should contribute to ensuring that all means are used to protect the financial interests of the Union and avoiding unnecessary duplication of efforts. |
(5) |
Regulation (EU) 2017/1939 requires the Office, as well as all institutions, bodies, offices and agencies of the Union and competent national authorities, to report to the EPPO without undue delay suspected criminal conduct in respect of which the EPPO may exercise its competence. Since the mandate of the Office is to carry out administrative investigations into fraud, corruption and any other illegal activity affecting the financial interest of the Union, it is ideally placed and equipped to act as a natural partner and privileged source of information for the EPPO. [Am. 4] |
(6) |
Elements pointing to possible criminal conduct falling within the competence of the EPPO may, in practice, be present in initial allegations received by the Office or may emerge only in the course of an administrative investigation opened by the Office on the grounds of suspicion of administrative irregularity. In order to comply with its duty to report to the EPPO, the Office should therefore, as the case may be, report criminal conduct at any stage before or during an investigation. |
(7) |
Regulation (EU) 2017/1939 specifies the minimum elements that, as a rule, reports should contain. The Office may need to conduct a preliminary evaluation of allegations to ascertain these elements and collect the necessary information. The Office should conduct this evaluation expeditiously and through means which do not risk jeopardising a possible future criminal investigation. Upon completion of its evaluation, it should report to the EPPO where a suspicion of an offence within its competence is identified. |
(8) |
In consideration of the Office's expertise, the institutions, bodies, offices and agencies of the Union should have the choice to make use of the Office to conduct such preliminary evaluation of allegations reported to them. |
(9) |
In conformity with Regulation (EU) 2017/1939, the Office should in principle not open an administrative investigation parallel to an investigation conducted by the EPPO into the same facts. However, in certain cases, the protection of the Union’s financial interests may require that the Office carry out a complementary administrative investigation before the conclusion of criminal proceedings initiated by the EPPO with the purpose of ascertaining whether precautionary measures are necessary, or financial, disciplinary or administrative action should be taken. These complementary investigations may be appropriate, inter alia, when necessary to recover amounts due to the Union budget subject to specific time-barring rules, when the amounts at risk are very high, or where there is the need to avoid further expenditure in risk situations through administrative measures. |
(10) |
Regulation (EU) 2017/1939 provides that the EPPO may request such complementary investigations to the Office. In cases where the EPPO does not request it, such a complementary investigation should also be possible on the initiative of the Office, under certain specific conditions , after consultation with the EPPO . In particular, the EPPO should be able to object to the opening or continuation of an investigation by the Office, or to the performance of specific acts of investigation by it. The reasons for this objection should be based on the need to protect the effectiveness of the EPPO's investigation and should be proportionate to this aim. The Office should refrain from performing the action on which the EPPO raised an objection. If the EPPO does not object agrees to the request , the Office investigation should be conducted in close consultation with the EPPO. [Am. 6] |
(11) |
The Office should actively support the EPPO in its investigations. In this regard, the EPPO may request the Office to support or complement its criminal investigations through the exercise of powers under this Regulation. In these cases the Office should perform these operations within the limits of its powers and within the framework provided for in this Regulation. |
(12) |
To ensure effective coordination, cooperation and transparency between the Office and the EPPO, information should be exchanged between them on a continuous basis. The exchange of information in the stages prior to the opening of investigations by the Office and the EPPO is particularly relevant to ensure proper coordination between the respective actions to guarantee complementarity and avoid duplication. For this purpose, the Office and the EPPO should make use of the hit/no hit functions of their respective case management systems . The Office and the EPPO should specify the modalities and conditions of this exchange of information in their working arrangements. [Am. 7] |
(13) |
The Commission Report on Evaluation of the application of Regulation (EU, Euratom) No 883/2013 (6), adopted on 2 October 2017, concluded that the 2013 changes to the legal framework brought clear improvements, as regards the conduct of investigations, cooperation with partners and the rights of persons concerned. At the same time, the evaluation has highlighted some shortcomings which impact on the effectiveness and efficiency of investigations. |
(14) |
It is necessary to address the most unambiguous findings of the Commission evaluation through the amendment of Regulation (EU, Euratom) No 883/2013. These are essential changes necessary in the short term to strengthen the framework for the Office's investigations, in order to maintain a strong and fully-functioning Office that complements the EPPO's criminal law approach with administrative investigations, but which do not entail a change to the mandate or powers. They primarily concern areas where, today, the lack of clarity of the Regulation hinders the effective conduct of investigations by the Office, such as the conduct of on-the spot checks, the possibility of access to bank account information, or the admissibility as evidence of the case reports drawn up by the Office. The Commission should submit a new, comprehensive proposal no later than two years after the evaluation of both the EPPO and the Office, and of their cooperation. [Am. 8] |
(15) |
These changes do not affect the procedural guarantees applicable in the framework of investigations. The Office is bound to apply the procedural guarantees of Regulation (EU, Euratom) No 883/2013, Council Regulation (Euratom, EC) No 2185/96 (7) and those contained in the Charter of Fundamental Rights of the Union. This framework requires that the Office conducts its investigations objectively, impartially and confidentially, seeking evidence for and against the person concerned, and carries out investigative acts on the basis of a written authorisation and following a legality check. The Office must ensure the respect of the rights of persons concerned by its investigations, including the presumption of innocence and the right to avoid self-incrimination. When interviewed, persons concerned have inter alia the rights to be assisted by a person of choice, to approve the record of the interview, and to use any of the official languages of the Union. Persons concerned also have the right to comment on the facts of the case before conclusions are drawn. |
(16) |
The Office conducts on-the-spot checks and inspections, which allow it to access premises and documentation of economic operators in the framework of its investigations into suspected fraud, corruption or other illegal conduct affecting the financial interests of the Union. These are carried out in accordance with this Regulation and with Regulation (Euratom, EC) No 2185/96, which in some instances make the application of these powers subject to conditions of national law. The Commission evaluation has found that the extent to which national law should apply is not always specified, and as a result hinders the effectiveness of the Office's investigative activities. |
(17) |
It is therefore appropriate to clarify the instances in which national law should apply in the course of investigations by the Office, without however changing the powers available to the Office or changing the way the Regulation operates in relation to the Member States. This clarification reflects the recent ruling of the General Court in case T-48/16, Sigma Orionis SA v European Commission. |
(18) |
The conduct by the Office of on-the-spot checks and inspections, in situations where the economic operator concerned submits to the check, should be subject to Union law alone. This should allow it to exercise its investigative powers in an effective and coherent manner in all Member States, with a view to contributing to a high level of protection of the Union's financial interests across the Union, as required by Article 325 of the Treaty on the Functioning of the European Union (TFEU). |
(19) |
In situations where the Office needs to rely on the assistance of the national competent authorities, particularly in cases where an economic operator opposes an on-the-spot check and inspection, Member States should ensure that the Office's action is effective, and should provide the necessary assistance in accordance with the relevant rules of national procedural law. |
(20) |
A duty for economic operators to cooperate with the Office should be introduced in Regulation (EU, Euratom) No 883/2013. This is in line with their obligation under Regulation (Euratom, EC) No 2185/96 to grant access for the carrying out of on-the-spot checks and inspections to premises, land, means of transport or other areas, used for business purposes, and with the obligation in Article 129 (8) of the Financial Regulation that any person or entity receiving Union funds shall fully cooperate in the protection of the financial interests of the Union, including in the context of investigations by the Office. |
(21) |
As part of this duty of cooperation, the Office should be able to require economic operators who may have been involved in the matter under investigation, or who might hold relevant information, to supply relevant information. When complying with such requests, economic operators are not obliged to admit that they have committed an illegal activity, but they are obliged to answer factual questions and to provide documents, even if this information may be used to establish against them or against another operator the existence of an illegal activity. |
(22) |
Economic operators should have the possibility to use any of the official languages of the Member State where the check takes place, and the right to be assisted by a person of their choice, including by external legal counsel, during on-the-spot checks and inspections. The presence of a legal counsel should not, however, represent a legal condition for the validity of on-the-spot checks and inspections. To ensure the effectiveness of the on-the-spot checks and inspections, in particular as regards the risk of evidence disappearing, the Office should be able to access to the premises, land, means of transportation or other areas used for business purposes without waiting for the operator to consult its legal counsel. It should only accept a short reasonable delay pending consultation of the legal counsel before starting the conduct of the check. Any such delay must be kept to the strict minimum. |
(23) |
To ensure transparency, when carrying out on-the-spot checks and inspections the Office should provide economic operators with appropriate information on their duty to cooperate and the consequences of a refusal to do so, and the procedure applicable to the check, including the applicable procedural safeguards. |
(24) |
In internal investigations and, where necessary, in external investigations the Office has access to any relevant information held by the institutions, bodies, offices and agencies. It is necessary, as suggested by the Commission evaluation, to clarify that this access should be possible irrespective of the type of medium on which this information or data is stored, in order to reflect evolving technological progress. [Am. 9] |
(25) |
For a more coherent framework for the investigations of the Office, the rules applicable to internal and external investigations should be further aligned, in order to address certain inconsistencies identified by the Commission evaluation, where divergent rules are not justified. This should be the case, for instance, to provide that reports and recommendations drawn up following an external investigation may be sent to the institution, body, office or agency concerned for it to take appropriate action, as is the case in internal investigations. Where possible in acordance with its mandate, the Office should support the institution, body, office or agency concerned in the follow-up to its recommendations. To further ensure cooperation between the Office and institutions, bodies, offices and agencies, the Office should inform, where necessary, the Union institution, body, office or agency concerned when it decides not to open an external investigation, for instance when a Union institution, body, office or agency was the source of the initial information. |
(26) |
The Office should dispose of the necessary means to follow the money trail in order to uncover the modus operandi typical of many fraudulent conducts. Today, it is able to obtain banking information relevant for its investigative activity held by credit institutions in a number of Member States, through cooperation with and assistance by the national authorities. To ensure an effective approach throughout the Union, the Regulation should specify the duty of competent national authorities to provide information on bank and payments accounts to the Office, as part of their general duty to assist it. This cooperation should, as a rule, take place through the Financial Intelligence Units in the Member States. When giving this assistance to the Office, the national authorities should act in compliance with the relevant provisions of procedural law provided for in the national legislation of the Member State concerned. |
(26a) |
In order to pay attention to the protection and respect of procedural rights and guarantees, the Office should create an internal function in the form of the controller of procedural guarantees, and provide him or her with adequate resources. The controller of procedural guarantees should have access to all information necessary to fulfil his or her duties. [Am. 10] |
(26b) |
This Regulation shall establish a complaints mechanism for the Office in cooperation with the Controller of procedural guarantees, to safeguard the respect for procedural rights and guarantees in all the activities of the Office. This should be an administrative mechanism whereby the Controller should be responsible for handling complaints received by the Office in accordance with the right to good administration. The mechanism should be effective, ensuring that complaints are properly followed up. In order to increase transparency and accountability, the Office should report on the complaints mechanism in its annual report. It should cover in particular the number of complaints it has received, the types of procedural rights and guarantees violations involved, the activities concerned and, where possible, the follow-up measures taken by the Office. [Am. 11] |
(27) |
The early transmission of information by the Office for the purpose of adopting precautionary measures is an essential tool for the protection of the Union's financial interests. In order to ensure close cooperation in this regard between the Office and the institutions, offices, bodies and agencies of the Union, it is appropriate that the latter have the possibility to consult at any time the Office with a view to deciding on any appropriate precautionary measures, including measures for the safeguarding of evidence. |
(28) |
Reports drawn up by the Office constitute today admissible evidence in administrative or judicial proceedings in the same way and under the same conditions as administrative reports drawn up by national administrative inspectors. The Commission evaluation found that in some Member States this rule does not sufficiently ensure the effectiveness of the Office’s activities. To increase the effectiveness and the consistent use of reports of the Office, the Regulation should provide for the admissibility of such reports in judicial proceedings of a non-criminal nature before national courts, as well as in administrative proceedings in the Member States. The rule providing for equivalence with the reports of national administrative inspectors should continue to apply in the case of national judicial proceedings of a criminal nature. The Regulation should also provide for the admissibility of the reports drawn up by the Office in administrative and judicial proceedings at Union level. |
(29) |
The mandate of the Office includes the protection of revenues to the Union budget arising from VAT own resources. In this field, the Office should be able to support and complement the activities of the Member States through investigations conducted in accordance with its mandate, the coordination of national competent authorities in complex, transnational cases, and the support and assistance to Member States and to the EPPO. To this end, the Office should be able to exchange information through the Eurofisc network established by Council Regulation (EU) No 904/2010 (9) , bearing in mind the provisions of Regulation (EU) 2018/1725 of the European Parliament and of the Council (10) in order to promote and facilitate cooperation in the fight against VAT fraud. [Am. 12] |
(30) |
The anti-fraud coordination services of the Member States were introduced by Regulation (EU, Euratom) No 883/2013 to facilitate an effective cooperation and exchange of information, including information of an operational nature, between the office and the Member States. The evaluation concluded they have positively contributed to the work of the Office. It also identified the need to further clarify their role in order to ensure that the Office is provided with the necessary assistance to ensure that its investigations are effective, while leaving the organisation and powers of the anti-fraud coordination services to each Member State. In this regard, the anti-fraud coordination services should be able to provide, obtain or coordinate the necessary assistance to the Office to carry out its tasks effectively, before, during or at the end of an external or internal investigation. |
(31) |
The duty of the Office to provide the Member States with assistance in order to coordinate their action for the protection of the financial interests of the Union is a key element of its mandate to support cross-border cooperation among the Member States. More detailed rules should be laid down in order to facilitate the coordinating activities of the Office and its cooperation in this context with Member States' authorities, third countries and international organisations. These rules should be without prejudice to the exercise by the Office of powers conferred on the Commission in specific provisions governing mutual assistance between Member States' administrative authorities and cooperation between those authorities and the Commission, in particular to Council Regulation (EC) No 515/97 (11). |
(32) |
Furthermore, it should be possible for the Office to request the assistance of the anti-fraud coordination services in the context of coordination activities, as well as for the anti-fraud coordination services to cooperate among themselves, in order to further reinforce the available mechanisms for cooperation in the fight against fraud. |
(32a) |
The competent authorities of the Member States shall give the necessary assistance to the Office to fulfil their tasks. When the Office makes judicial recommendations to the national prosecution authorities of a Member State and no follow-up is made, the Member State should justify its decision to the Office. Once a year, the Office should draw up a report in order to give an account of the assistance provided by the Member States and on the follow-up of the judicial recommendations. [Am. 13] |
(32b) |
In order to supplement the procedural rules on the conduct of investigations set out in this Regulation, the Office should lay down the procedural code for investigations to be followed by the staff of the Office. Therefore, the power to adopt acts in accordance with Article 290 TFEU should be delegated to the Commission concerning the establishment of such a procedural code, without prejudice to the Office's independence in the exercise of its competences. Those delegated acts should cover, in particular, the practices to be observed in implementing the mandate and statute of the Office; detailed rules governing investigation procedures as well as the investigation acts permitted; the legitimate rights of the persons concerned; procedural guarantees; provisions relating to data protection and policies on communication and access to documents; provisions on the legality check and the means of redress open to the persons concerned; relations with the EPPO. It is of particular importance that the Office carry out appropriate consultations during its preparatory work, including at expert level. The Commission should ensure a simultaneous, timely and appropriate transmission of relevant documents to the European Parliament and to the Council. [Am. 14] |
(32c) |
No later than five years after the date determined in accordance with the second subparagraph of Article 120(2) of Regulation (EU) 2017/1939, the Commission should evaluate the application of this Regulation and in particular the efficiency of the cooperation between the Office and the EPPO. [Am. 15] |
(33) |
Since the objective of this Regulation to strengthen the protection of the financial interests of the Union by adapting the operation of the Office to the establishment of the EPPO and by enhancing the effectiveness of the investigations by the Office cannot be sufficiently achieved by the Member States, but can rather be better achieved at Union level through the adoption of rules governing the relationship between two Union offices and increasing the effectiveness in the conduct of investigations by the Office across the Union, the Union may adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty on European Union. In accordance with the principle of proportionality, as set out in that Article, this Regulation does not go beyond what is necessary in order to step up the fight against fraud, corruption and any other illegal activity affecting the financial interests of the Union. |
(34) |
This Regulation does not modify the powers and responsibilities of the Member States to take measures to combat fraud, corruption and any other illegal activity affecting the financial interests of the Union. |
(35) |
The European Data Protection Supervisor was consulted in accordance with Article 28(2) of Regulation (EC) No 45/2001 of the European Parliament and of the Council (12) and delivered an opinion on … (13). |
(36) |
Regulation (EU, Euratom) No 883/2013 should therefore be amended accordingly, |
HAVE ADOPTED THIS REGULATION:
Article 1
Regulation (EU, Euratom) No 883/2013 is amended as follows:
(-1) |
in Article 1, the introductory part of paragraph 1 is replaced by the following: ‘1. In order to step up the fight against fraud, corruption and any other illegal activity or irregularity affecting the financial interests of the European Union and of the European Atomic Energy Community (hereinafter referred to collectively, when the context so requires, as “the Union”), the European Anti-Fraud Office established by Decision 1999/352/EC, ECSC, Euratom (“the Office”) shall exercise the powers of investigation conferred on the Commission by:’ [Am. 16] |
(-1a) |
in Article 1, paragraph 2 is replaced by the following: ‘2. The Office shall provide the Member States with assistance from the Commission in organising close and regular cooperation between their competent authorities in order to coordinate their action aimed at protecting the financial interests of the Union against fraud. The Office shall contribute to the design and development of methods of preventing and combating fraud, corruption and any other illegal activity or irregularity affecting the financial interests of the Union. The Office shall promote and coordinate, with and among the Member States, the sharing of operational experience and best procedural practices in the field of the protection of the financial interests of the Union, and shall support joint anti-fraud actions undertaken by Member States on a voluntary basis.’ [Am. 17] |
(-1b) |
in Article 1, point d of paragraph 3 is replaced by the following:
|
(-1c) |
in Article 1, point da is added to paragraph 3:
|
(-1d) |
in Article 1, paragraph 4 is replaced by the following: ‘4. Within the institutions, bodies, offices and agencies established by, or on the basis of, the Treaties (“institutions, bodies, offices and agencies”), and without prejudice to Article 12d, the Office shall conduct administrative investigations for the purpose of fighting fraud, corruption and any other illegal activity or irregularity affecting the financial interests of the Union. To that end, it shall investigate serious matters relating to the discharge of professional duties constituting a dereliction of the obligations of officials and other servants of the Union liable to result in disciplinary or, as the case may be, criminal proceedings, or an equivalent failure to discharge obligations on the part of members of institutions and bodies, heads of offices and agencies or staff members of institutions, bodies, offices or agencies not subject to the Staff Regulations (hereinafter collectively referred to as “officials, other servants, members of institutions or bodies, heads of offices or agencies, or staff members”).’ [Am. 20] |
(1) |
in Article 1, the following paragraph is inserted: ‘4a. The Office shall establish and maintain a close relationship with the European Public Prosecutor's Office (“the EPPO”) established in enhanced cooperation by Council Regulation (EU) 2017/1939 (14). This relationship shall be based on mutual cooperation , complementarity, avoidance of duplication and on information exchange. It shall aim in particular to ensure that all available means are used to protect the Union’s financial interests through the complementarity of their respective mandates and the support provided by the Office to the EPPO. [Am. 21] Cooperation between the Office and the EPPO shall be governed by Articles 12c to 12f’. |
(1a) |
in Article 1, paragraph 5 is replaced by the following: ‘5. For the application of this Regulation, competent authorities of the Member States and institutions, bodies, offices or agencies may establish administrative arrangements with the Office. Those administrative arrangements may concern, in particular, the transmission of information, the conduct and the follow-up of investigations.’ [Am. 22] |
(1b) |
in Article 2, point (2) is replaced by the following: ‘(2) “irregularity” shall mean “irregularity” as defined in Article 1(2) of Regulation (EC, Euratom) No 2988/95, including infringements affecting revenue from value-added tax;’ [Am. 23] |
(1c) |
in Article 2, point (3) is replaced by the following: ‘(3) “fraud, corruption and any other illegal activity or irregularity affecting the financial interests of the Union” shall have the meaning applied to those words in the relevant Union acts;’ [Am. 24] |
(2) |
in Article 2, point (4) is replaced by the following: ‘(4) “administrative investigations” (“investigations”) shall mean any inspection, check or other measure undertaken by the Office in accordance with Articles 3 and 4, with a view to achieving the objectives set out in Article 1 and to establishing, where necessary, the irregular nature of the activities under investigation; those investigations shall not affect the powers of the EPPO or of the competent authorities of the Member States to initiate criminal proceedings.’; |
(2a) |
in Article 2, point (5) is replaced by the following: ‘(5) “person concerned” shall mean any person or economic operator suspected of having committed fraud, corruption or any other illegal activity or irregularity affecting the financial interests of the Union and who is therefore subject to investigation by the Office;’ [Am. 25] |
(2b) |
in Article 2, the following point is inserted: ‘(7a) “member of an institution” means a member of the European Parliament, a member of the European Council, a representative of a Member State at ministerial level in the Council, a member of the European Commission, a member of the Court of Justice of the European Union, a member of the Governing Council of the European Central Bank or a member of the Court of Auditors, as appropriate.’ [Am. 26] |
(2c) |
in Article 2, the following point is inserted: ‘(7b) “the same facts” means that material facts are identical, with material facts being understood in the sense of the existence of a set of concrete circumstances which are inextricably linked together and which in their totality may establish elements of a delict investigation which is in competence of the Office or the EPPO.’ [Am. 27] |
(3) |
Article 3 is replaced by the following: ‘Article 3 External investigations On-the-spot checks and inspections in the Member States and third countries [Am. 28] 1. Within the scope defined in Article 1 and points (1) and (3) of Article 2, the Office shall carry out on-the-spot checks and inspections in the Member States and, in accordance with the cooperation and mutual assistance agreements and any other legal instrument in force, in third countries and on the premises of international organisations. [Am. 29] 2. On-the-spot checks and inspections shall be conducted in accordance with this Regulation and, to the extent that a matter is not covered by this Regulation, with Regulation (Euratom, EC) No 2185/96. 3. Economic operators shall cooperate with the Office in the course of its investigations. The Office may request oral information, including through interviews, and written information from economic operators in accordance with point (b) of Article 4(2) . [Am. 30] 4. The Office shall conduct on-the-spot checks and inspections upon production of a written authorisation, as provided for in Article 7(2) of this Regulation and Article 6(1) of Regulation (Euratom, EC) No 2185/1996. It shall inform the economic operator concerned of the procedure applicable to the check, including the applicable procedural safeguards, and the duty to cooperate of the economic operator concerned. 5. In the exercise of these powers, the Office shall comply with the procedural guarantees provided for in this Regulation and in Regulation (Euratom, EC) No 2185/96. In the conduct of an on-the-spot check and inspection, the economic operator concerned shall have the right not to make self-incriminating statements and to be assisted by a person of choice. When making statements during the on the spot checks, the economic operator shall be provided with the possibility to use any of the official languages of the Member State where he is located. The right to be assisted by a person of choice shall not prevent access by the Office to the premises of the economic operator, and shall not unduly delay the start of the check. 6. At the request of the Office, the competent authority of the Member State concerned shall , without undue delay, provide the staff of the Office with the assistance needed in order to carry out their tasks effectively, as specified in the written authorisation referred to in Article 7(2). [Am. 31] The Member State concerned shall ensure, in accordance with Regulation (Euratom, EC) No 2185/96, that the staff of the Office are allowed access to all information, and documents and data relating to the matter under investigation which prove necessary in order for the on-the-spot checks and inspection to be carried out effectively and efficiently, and that they are able to assume custody of documents or data to ensure that there is no danger of their disappearance. Where privately owned devices are used for work purposes, those devices shall be subject to investigations by the Office only if the Office has good grounds to suspect that their content may be relevant for the investigation. [Am. 32] 7. Where the economic operator concerned submits to an on-the-spot check and inspection authorised pursuant to this Regulation, Article 2(4) of Regulation (Euratom, EC) No 2988/95 and the third subparagraph of Article 6(1) and Article 7(1) of Regulation (Euratom, EC) No 2185/96 shall not apply, insofar as those provisions require compliance with national law and may restrict access to information and documentation by the Office to the conditions applying to national administrative inspectors. Where the staff of the Office finds that an economic operator resists an on-the-spot check or inspection authorised pursuant to this Regulation, the Member State concerned shall afford them the necessary assistance of law enforcement authorities so as to enable the Office to conduct its on-the-spot check or inspection effectively and without undue delay. When providing assistance in accordance with this paragraph or with paragraph 6, the competent national authorities shall act in conformity with national procedural rules applicable to the competent national authority concerned. If that assistance requires authorisation from a judicial authority in accordance with national law, such authorisation shall be applied for. 7a. Where it is demonstrated that a Member State does not comply with its duty to cooperate pursuant to paragraphs 6 and 7, the Union shall have the right to recover the amount related to the on-the-spot-check or inspection in question. [Am. 33] 8. As part of its investigative function, the Office shall carry out the checks and inspections provided for in Article 9(1) of Regulation (EC, Euratom) No 2988/95 and in the sectoral rules referred to in Article 9(2) of that Regulation in the Member States and, in accordance with the cooperation and mutual assistance agreements and any other legal instrument in force, in third countries and on the premises of international organisations. 9. During an external investigation, the Office may have access to any relevant information and data, irrespective of the medium on which it is stored, held by the institutions, bodies, offices and agencies, connected with the matter under investigation, where necessary in order to establish whether there has been fraud, corruption or any other illegal activity affecting the financial interests of the Union. For that purpose Article 4(2) and (4) shall apply. [Am. 34] 10. Without prejudice to Article 12c(1), where, before a decision has been taken whether or not to open an external investigation, the Office handles information which suggests that there has been fraud, corruption or any other illegal activity affecting the financial interests of the Union, it may inform the competent authorities of the Member States concerned and, where necessary, the institutions, bodies, offices and agencies concerned. Without prejudice to the sectoral rules referred to in Article 9(2) of Regulation (EC, Euratom) No 2988/95, the competent authorities of the Member States concerned shall ensure that appropriate action is taken, in which the Office may take part, in compliance with national law. Upon request, the competent authorities of the Member States concerned shall inform the Office of the action taken and of their findings on the basis of information as referred to in the first subparagraph of this paragraph.’; [Am. 35] |
(4) |
Article 4 is amended as follows:
|
(5) |
Article 5 is amended as follows:
|
(6) |
Article 7 is amended as follows:
|
(7) |
Article 8 is amended as follows:
|
(8) |
Article 9 is amended as follows:
|
(8a) |
Article 9a is inserted: ‘Article 9a Controller of procedural guarantees 1. A Controller of procedural guarantees (“the Controller”) shall be appointed by the Commission, in accordance with the procedure specified in paragraph 2, for a non-renewable term of five years. On expiry of his term, he shall remain in office until he is replaced. 2. Following a call for applications in the Official Journal of the European Union, the Commission shall draw up a list of suitably qualified candidates for the positions of the Controller. After consultation with the European Parliament and the Council, the Commission shall appoint the Controller. 3. The Controller shall have the necessary qualifications and experience in the field of procedural rights and guarantees. 4. The Controller shall exercise his functions in complete independence and shall neither seek nor take instructions from anyone in the performance of his duties. 5. The Controller shall monitor the Office's compliance with procedural rights and guarantees. He shall be responsible of handling the complaint received by the Office. 6. The Controller shall report on the exercise of this function on an annual basis, to the European Parliament, the Council, the Commission, the Supervisory Committee and the Office. He shall not refer to individual cases under investigation and shall ensure the confidentiality of investigations even after their closure.’ [Am. 76] |
(8b) |
Article 9b is inserted: ‘Article 9b Complaints mechanism 1. The Office shall, in cooperation with the Controller, take the necessary measures to set up a complaints mechanism to monitor and ensure the respect for procedural guarantees in all the activities of the Office. 2. Any person concerned by an investigation by the Office shall be entitled to lodge a complaint with the Controller regarding the Office’s compliance with the procedural guarantees set out in Article 9. The lodging of a complaint shall have no suspensive effect on the conduct of the investigation under way. 3. Complaints may be lodged at the latest one month after the complainant becomes aware of the relevant facts that constitute the alleged violation of his procedural guarantees. No complaint may be filed later than one month after the closure of the investigation. Complaints related to the notice period referred to in Article 9(2) and (4) shall be filed before the expiry of the notice period laid down in those provisions. 4. Upon receipt of a complaint, the Controller shall inform the Director-General of the Office immediately and give the Office the possibility to resolve the issue raised by the complainant within 15 working days. 5. Without prejudice to Article 10 of this Regulation, the Office shall transmit to the Controller all information that may be necessary for the Controller to issue a recommendation. 6. The Controller shall issue a recommendation on the complaint without delay, but at the latest within two months of the Office informing the Controller of the action it has taken to remedy the issue or after expiry of the period referred to in paragraph 3. The recommendation shall be submitted to the Office and communicated to the complainant. In exceptional cases the Controller may decide to extend the period for issuing the recommendation by a further 15 days. The Controller shall inform the Director-General of the reasons for the extension by letter. In the absence of a recommendation by the Controller within the time limits set out in this paragraph, the Controller shall be deemed to have dismissed the complaint without a recommendation. 7. Without interfering with the conduct of the investigation under way, the Controller shall examine the complaint in an adversarial procedure. With their consent, the Controller may ask witnesses to provide written or oral explanations he or she considers relevant to ascertaining the facts. 8. The Director-General shall follow the Controller's recommendation on the issue, save in duly justified cases in which he or she may deviate from it. If the Director-General deviates from the Controller's recommendation, he or she shall communicate to the complainant and to the Controller the main reasons for that decision, inasmuch as doing so does not affect the on-going investigation. He or she shall state the reasons for not following the Controller's recommendation in a note to be attached to the final investigation report. 9. The Director-General may request the opinion of the Controller on any matter related to the respect of procedural guarantees in the Controller’s mandate, including on the decision to defer information of the person concerned referred to in Article 9(3). The Director-General shall indicate in any such request the time limit within which the Controller is to respond. 10. Without prejudice to the time limits provided for in Article 90a of the Staff Regulations, where a complaint has been lodged with the Director-General by an official or other servant of the Union in accordance with Article 90a of the Staff Regulations and the official or other servant has lodged a complaint with the Controller related to the same issue, the Director-General shall await the recommendation of the Controller before replying to the complaint.’ [Am. 77] |
(9) |
Article 10 is amended as follows:
|
(10) |
Article 11 is amended as follows:
|
(10a) |
After Article 11, a new article is inserted: ‘Article 11a Action before the General Court Any person concerned may bring an action against the Commission for annulment of the investigation report transmitted to the national authorities or to the institutions under Article 11(3) on the grounds of lack of competence, infringement of an essential procedural requirement, infringement of the Treaties, including violation of the Charter, or misuse of powers.’ [Am. 94] |
(11) |
Article 12 is amended as follows:
|
(12) |
the following Articles are inserted: ‘Article 12a Anti-fraud coordination services in the Member States 1. Member States shall, for the purposes of this Regulation, designate a service (“the anti-fraud coordination service”) to facilitate effective cooperation and exchange of information, including information of an operational nature, with the Office. Where appropriate, in accordance with national law, the anti-fraud coordination service may be regarded as a competent authority for the purposes of this Regulation. 2. Upon request of the Office, before a decision has been taken as to whether or not to open an investigation, as well as during or after an investigation, the anti-fraud coordination services shall provide, obtain or coordinate the necessary assistance for the Office to carry out its tasks effectively. That assistance shall include in particular the assistance from the national competent authorities provided in accordance with Article 3(6) and (7), Article 7(3) and Article 8(2) and (3). 3. The Office may request the assistance of the anti-fraud coordination services when conducting coordination activities in accordance with Article 12b, including, where appropriate, horizontal cooperation and exchange of information between anti-fraud coordination services. Article 12b Coordination activities 1. Pursuant to Article 1(2), the Office may organise and facilitate cooperation between the competent authorities of the Member States, institutions, bodies, offices and agencies, as well as, in accordance with the cooperation and mutual assistance agreements and any other legal instrument in force, third countries' authorities and international organisations. To this end, the participating authorities and the Office may collect, analyse and exchange information, including operational information. The staff of the Office may accompany competent authorities carrying out investigative activities upon request of those authorities. Article 6, Article 7(6) and (7), Article 8(3) and Article 10 shall apply. 2. The Office may draw up a report on the coordination activities conducted and transmit it, where appropriate, to the competent national authorities and institutions, bodies, offices and agencies concerned. 3. This Article shall apply without prejudice to the exercise by the Office of powers conferred on the Commission in specific provisions governing mutual assistance between Member States' administrative authorities and cooperation between those authorities and the Commission. 3a. The obligations of mutual administrative assistance pursuant to Council Regulation (EC) No 515/97 (18) and Regulation (EU) No 608/2013 (19) shall also apply to coordination activities relating to the European Structural and Investment Funds in accordance with this Article. [Am. 99] 4. The Office may participate in joint investigation teams established in accordance with applicable Union law and exchange in this framework operational information acquired pursuant to this Regulation. Article 12c Reporting to the EPPO of any criminal conduct on which it could exercise its competence 1. The Office shall report to the EPPO without undue delay any criminal conduct in respect of which the EPPO could exercise its competence in accordance with Article 22 and Article 25(2) and (3) Chapter IV of Regulation (EU) 2017/1939. The report shall be sent at any stage as early as possible before or during an investigation of the Office. [Am. 100] 2. The report shall contain, as a minimum, a description of the facts and information known by the office , including an assessment of the damage caused or likely to be caused , where the Office has such information, the possible legal qualification and any available information about potential victims, suspects and any other involved persons. Together with the report, the Office shall transmit to the EPPO any other relevant information on the case in its possession. [Am. 101] 3. The Office shall not be bound to report to the EPPO manifestly unsubstantiated allegations. In cases where the information received by the Office does not include the elements set out in paragraph 2, and there is no investigation of the Office ongoing, the Office may conduct a preliminary evaluation of the allegations. The evaluation shall be carried out expeditiously without delay , and in any case within two months of receipt of the information. In the course of this evaluation, Article 6 and Article 8(2) shall apply. The Office shall refrain from performing any measures that may jeopardise any possible future investigations of the EPPO. [Am. 102] Following this preliminary evaluation, the Office shall report to the EPPO if the conditions set out in paragraph 1 are met. 4. Where the conduct referred to in paragraph 1 comes to light during an investigation by the Office, and the EPPO opens an investigation following the report, the Office shall not continue its investigation into the same facts other than in accordance with Articles 12e or 12f. For the purpose of applying the first subparagraph, the Office shall verify in accordance with Article 12 g(2) via the EPPO's case management system whether the EPPO is conducting an investigation. The Office may request further information from the EPPO. The EPPO shall reply to such a request within 10 working days. 5. The institutions, bodies, offices and agencies may request the Office to conduct a preliminary evaluation of allegations reported to them. For the purposes of those requests, paragraph 3 paragraphs 1 to 4 shall apply mutatis mutandis . The Office shall inform the institution, body, office or agency concerned of the results of the preliminary evaluation, unless providing such information could jeopardise an investigation conducted by the Office or the EPPO. [Am. 103] 6. Where, following the report to the EPPO in accordance with this Article, the Office closes its investigation, Article 9(4) and Article 11 shall not apply. Article 12d Non-duplication of investigations 1. The Director-General shall not open an investigation in accordance with Article 5 , and shall discontinue an ongoing investigation, if the EPPO is conducting an investigation into the same facts, other than in accordance with Articles 12e or 12f. The Director-General shall inform the EPPO about each decision on not opening or discontinuation taken on such grounds. [Am. 104] For the purpose of applying the first subparagraph, the Office shall verify in accordance with Article 12 g(2) via the EPPO's case management system whether the EPPO is conducting an investigation. The Office may request further information from the EPPO. The EPPO shall reply to such a request within 10 working days. This deadline may be extended in exceptional cases subject to modalities to be set out in the working arrangements referred to in Article 12 g(1). [Am. 105] Where the Office closes its investigation in accordance with the first subparagraph, Article 9(4) and Article 11 shall not apply. [Am. 106] 1a. Upon request by the EPPO, the Office shall refrain from performing certain acts or measures which could jeopardise an investigation or prosecution conducted by the EPPO. The EPPO shall notify the Office without undue delay when the grounds for such a request cease to apply. [Am. 107] 1b. Where the EPPO closes or discontinues an investigation on which it had received information from the Director-General pursuant to paragraph 1 and which is relevant to the exercise of the Office's mandate, it shall inform the Office without undue delay and may make recommendations regarding follow-up administrative investigations. [Am. 108] Article 12e The Office's support to the EPPO 1. In the course of an investigation by the EPPO, and at the request of the EPPO in accordance with Article 101(3) of Regulation (EU) 2017/1939, the Office shall, in conformity with its mandate, support or complement the EPPO's activity in particular by:
2. A request pursuant to paragraph 1, a request shall be transmitted in writing and shall specify at least:
Where necessary, the Office may request additional information. [Am. 109] 2a. In order to protect the admissibility of evidence as well as fundamental rights and procedural guarantees, where the Office performs supporting or complementary measures at the request of the EPPO pursuant to this Article, the EPPO may instruct the Office to apply higher standards of fundamental rights, procedural guarantees and data protection than provided for in this Regulation. In doing so, it shall specify in detail the formal requirements and procedures to be applied. In the absence of any such specific instructions by the EPPO, Chapter VI (procedural safeguards) and Chapter VIII (data protection) of Regulation (EU) 2017/1939 shall apply mutatis mutandis to measures performed by the Office pursuant to this Article. [Am. 110] Article 12f Complementary investigations 1. In duly justified cases where the EPPO is conducting an investigation, where the Director-General considers that an investigation should be opened or continued in accordance with the mandate of the Office with a view to facilitating the adoption of precautionary measures or of financial, disciplinary or administrative action, the Office shall inform the EPPO in writing, specifying the nature and purpose of the investigation , and seeking the EPPO’s written consent to the opening of a complementary investigation. [Am. 111] Within 30 20 working days after receipt of this information the EPPO may shall either give its consent or object to the opening or continuation of an investigation or to the performance of any certain acts act pertaining to the investigation, where necessary to avoid jeopardising its own investigation or prosecution, and for as long as these grounds persist. The In duly justified situations, the EPPO may extend the deadline by an additional 10 working days. It shall inform the Office thereof. In the event that the EPPO objects, the Office shall not open a complementary investigation. In that case, the EPPO shall notify to the Office without undue delay when the grounds for the objection cease to apply. [Am. 112] In the event that the EPPO does not object within the time period of the previous subparagraph gives its consent , the Office may open or continue an investigation, and it shall conduct it in close consultation with the EPPO. [Am. 113] If the EPPO does not reply within the deadline in the second subparagraph, the Office may enter into consultations with the EPPO so as to take a decision within 10 days. [Am. 114] The Office shall suspend or discontinue its investigation, or refrain from performing certain acts pertaining to the investigation, if the EPPO subsequently objects to it, on the same grounds as referred to in the second subparagraph. 2. Where the EPPO informs the Office that it is not conducting an investigation in reply to a request for information submitted in accordance with Article 12d and subsequently opens an investigation into the same facts, it shall inform the Office without delay. If, following receipt of this information, the Director-General considers that the investigation opened by the Office should be continued with a view to facilitating the adoption of precautionary measures or of financial, disciplinary or administrative action, paragraph (1) shall apply. Article 12 g Working arrangements and exchange of information with the EPPO 1. Where necessary to facilitate the cooperation with the EPPO as set out in Article 1(4a), the Office shall agree with the EPPO on administrative arrangements. Such working arrangements may establish practical details for the exchange of information, including personal data, operational, strategic or technical information and classified information , as well as the setting up of information technology platforms, including a common approach to upgrades and compatibility of software. They shall include detailed arrangements on the continuous exchange of information during the receipt and verification of allegations for the purpose of determining competences over investigations conducted by both offices. They shall also include arrangements on the transfer of evidence between the Office and the EPPO, as well as arrangements on the division of expenses. Prior to the adoption of the working arrangements with the EPPO, the Director-General shall send the draft to the European Data Protection Supervisor, the Supervisory Committee and the European Parliament for information. The European Data Protection Supervisor and the Supervisory Committee shall deliver their opinions without delay. [Am. 115] 2. The Office shall have indirect access to information in the EPPO's case management system on the basis of a hit/no hit system. Whenever a match is found between data entered into the case management system by the Office and data held by the EPPO, the fact that there is a match shall be communicated to both the EPPO and the Office. The Office shall take appropriate measures to enable the EPPO to have access to information in its case management system on the basis of a hit/no-hit system. Each indirect access to information in the EPPO’s case management system by the Office shall be carried out only in so far as necessary for the performance of the Office’s functions as defined under this Regulation and shall be duly justified and validated via an internal procedure set up by the Office. The Office shall keep a log of all instances of access to the EPPO’s case management system. [Am. 116] 2a. The Director-General of the Office and the European Chief Public Prosecutor shall meet at least once per year to discuss matters of common interest. ’; [Am. 117] |
(12a) |
Article 15 is amended as follows:
|
(13) |
Article 16 is amended as follows:
|
(14) |
Article 17 is amended as follows:
|
(14a) |
Article 19 is replaced by the following: ‘Article 19 Evaluation report and revision No later than five years after the date determined in accordance with the second subparagraph of Article 120(2) of Regulation (EU) 2017/1939, the Commission shall submit to the European Parliament and the Council an evaluation report on the application and impact of this Regulation, in particular as regards the effectiveness and efficiency of the cooperation between the Office and the EPPO. That report shall be accompanied by an opinion of the Supervisory Committee. No later than two years after the submission of the evaluation report pursuant to the first subparagraph, the Commission shall submit a legislative proposal to the European Parliament and the Council to modernise the Office’s framework, including additional or more detailed rules on the setting up of the Office, its functions or the procedures applicable to its activities, with particular regard to its co-operation with the EPPO, cross-border investigations and investigations in Member States not participating in the EPPO.’ [Am. 139] |
(14b) |
A new Article 19a is inserted: ‘Article 19a Exercise of the delegation 1. The power to adopt delegated acts is conferred on the Commission subject to the conditions laid down in this Article. 2. The power to adopt delegated acts referred to in Article 17(8) shall be conferred on the Commission for a period of four years from … (date of entry into force of this Regulation). The Commission shall draw up a report in respect of the delegation of power not later than nine months before the end of the four-year period. The delegation of power shall be tacitly extended for periods of an identical duration, unless the European Parliament or the Council opposes such extension not later than three months before the end of each period. 3. The delegation of power referred to in Article 17(8) may be revoked at any time by the European Parliament or by the Council. A decision to revoke shall put an end to the delegation of the power specified in that decision. It shall take effect the day following the publication of the decision in the Official Journal of the European Union or at a later date specified therein. It shall not affect the validity of any delegated acts already in force. 4. As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the European Parliament and to the Council. 5. A delegated act adopted pursuant to Article 17(8) shall enter into force only if no objection has been expressed either by the European Parliament or the Council within a period of two months of notification of that act to the European Parliament and the Council or if, before the expiry of that period, the European Parliament and the Council have both informed the Commission that they will not object. That period shall be extended by two months at the initiative of the European Parliament or of the Council.’ [Am. 140] |
Article 2
1. This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.
2. Articles 12c to 12f referred to in point 12 in Article 1 shall apply from the date determined in accordance with the second subparagraph of Article 120(2) of Regulation (EU) 2017/1939.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at
For the European Parliament
The President
For the Council
The President
(2) Position of the European Parliament of 16 April 2019.
(3) Directive (EU) 2017/1371 of the European Parliament and of the Council of 5 July 2017 on the fight against fraud to the Union's financial interests by means of criminal law (OJ L 198, 28.7.2017, p. 29).
(4) Council Regulation (EU) 2017/1939 of 12 October 2017 implementing enhanced cooperation on the establishment of the European Public Prosecutor’s Office (‘the EPPO’) (OJ L 283, 31.10.2017, p. 1).
(5) Regulation (EU, Euratom) No 883/2013 of the European Parliament and of the Council of 11 September 2013 concerning investigations conducted by the European Anti-Fraud Office (OLAF) and repealing Regulation (EC) No 1073/1999 of the European Parliament and of the Council and Council Regulation (Euratom) No 1074/1999 (OJ L 248, 18.9.2013, p. 1).
(6) COM(2017)0589. The report was accompanied by an evaluation Staff Working Document, SWD(2017)0332, and an Opinion of the Office's Supervisory Committee, Opinion 2/2017.
(7) Council Regulation (Euratom, EC) No 2185/96 of 11 November 1996 concerning on-the-spot checks and inspections carried out by the Commission in order to protect the European Communities' financial interests against fraud and other irregularities, OJ L 292, 15.11.1996, p. 2
(8) Article 129 will be inserted in Regulation (EU) 2018/XX of the European Parliament and the Council (new Financial Regulation), on which a political agreement has been reached and which is expected to be adopted in the coming months.
(9) Council Regulation (EU) No 904/2010 of 7 October 2010 on administrative cooperation and combating fraud in the field of value added tax, OJ L 268, 12.10.2010, p. 1.
(10) Regulation (EU) 2018/1725 of the European Parliament and of the Council of 23 October 2018 on the protection of natural persons with regard to the processing of personal data by the Union institutions, bodies, offices and agencies and on the free movement of such data, and repealing Regulation (EC) No 45/2001 and Decision No 1247/2002/EC (OJ L 295, 21.11.2018, p. 39).
(11) Council Regulation (EC) No 515/97 of 13 March 1997 on mutual assistance between the administrative authorities of the Member States and cooperation between the latter and the Commission to ensure the correct application of the law on customs and agricultural matters, OJ L 82, 22.3.1997, p. 1.
(12) Regulation (EC) No 45/2001 of the European Parliament and of the Council of 18 December 2000 on the protection of individuals with regard to the processing of personal data by the Community institutions and bodies and on the free movement of such data (OJ L 8, 12.1.2001, p. 1).
(13) OJ C ….
(14) Council Regulation (EU) 2017/1939 of 12 October 2017 implementing enhanced cooperation on the establishment of the European Public Prosecutor’s Office (“the EPPO”) (OJ L 283, 31.10.2017, p. 1).
(15) Directive (EU) 2015/849 of the European Parliament and of the Council of 20 May 2015 on the prevention of the use of the financial system for the purposes of money laundering or terrorist financing, amending Regulation (EU) No 648/2012 of the European Parliament and of the Council, and repealing Directive 2005/60/EC of the European Parliament and of the Council and Commission Directive 2006/70/EC (OJ L 141, 5.6.2015, p. 73).
(16) Article 32a(3) will be inserted in Directive (EU) 2015/849 by Directive (EU) 2018/XX of the European Parliament and of the Council amending Directive (EU) 2015/849, on which a political agreement has been reached on 19 December 2017 and which is expected to be adopted in the coming months.
(17) Council Regulation (EU) No 904/2010 of 7 October 2010 on administrative cooperation and combating fraud in the field of value added tax (OJ L 268, 12.10.2010, p. 1).
(18) Council Regulation (EC) No 515/97 of 13 March 1997 on mutual assistance between the administrative authorities of the Member States and cooperation between the latter and the Commission to ensure the correct application of the law on customs and agricultural matters (OJ L 082, 22.3.1997, p. 1).
(19) Regulation (EU) No 608/2013 of the European Parliament and of the Council of 12 June 2013 concerning customs enforcement of intellectual property rights and repealing Council Regulation (EC) No 1383/2003 (OJ L 181, 29.6.2013, p. 15).
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/133 |
P8_TA(2019)0384
Establishing the instrument for financial support for customs control equipment ***I
European Parliament legislative resolution of 16 April 2019 on the proposal for a regulation of the European Parliament and of the Council establishing, as part of the Integrated Border Management Fund, the instrument for financial support for customs control equipment (COM(2018)0474 — C8-0273/2018 — 2018/0258(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/33)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2018)0474), |
— |
having regard to Article 294(2) and Article 33, Article 114 and Article 207 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0273/2018), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
having regard to the opinion of the European Economic and Social Committee of 17 October 2018 (1), |
— |
having regard to Rule 59 of its Rules of Procedure, |
— |
having regard to the report of the Committee on the Internal Market and Consumer Protection and the opinions of the Committee on Budgets, the Committee on Budgetary Control and the Committee on Civil Liberties, Justice and Home Affairs (A8-0460/2018), |
1. |
Adopts its position at first reading hereinafter set out (2); |
2. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
3. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
(1) OJ C 62, 15.2.2019, p. 67.
(2) This position corresponds to the amendments adopted on 15 January 2019 (Texts adopted, P8_TA(2019)0001).
P8_TC1-COD(2018)0258
Position of the European Parliament adopted at first reading on 16 April 2019 with a view to the adoption of Regulation (EU) …/… of the European Parliament and of the Council establishing, as part of the Integrated Border Management Fund, the instrument for financial support for customs control equipment
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on the Functioning of the European Union, and in particular Articles 33, 114 and 207 thereof,
Having regard to the proposal from the European Commission,
After transmission of the draft legislative act to the national parliaments,
Having regard to the opinion of the European Economic and Social Committee (1),
Acting in accordance with the ordinary legislative procedure (2),
Whereas:
(1) |
The 2 140 customs offices (3) that are present over the external borders of the European Union need to be properly equipped to ensure the efficient and effective operation of the customs union. The need for adequate and equivalent customs controls is ever more pressing not only by reason of the traditional function of customs to collect revenue but also increasingly by the necessity to significantly reinforce the control of goods entering and exiting Union’s external borders in order to ensure both safety and security. However, at the same time, those controls on the movement of goods across the external borders should not impair but rather facilitate legitimate trade with third countries , in compliance with the safety and security conditions . [Am. 1] |
(1a) |
The customs union is a cornerstone of the European Union, which is one of the largest trading blocks in the world, and is essential for the proper functioning of the single market for the benefit of both businesses and citizens. In its resolution of 14 March 2018 (4) , the European Parliament expressed particular concern regarding customs fraud, which has created a significant loss of income for the Union's budget. The European Parliament reiterated that a stronger and a more ambitious Europe can only be achieved if it is provided with reinforced financial means and called, therefore, for providing continuous support to existing policies, for increasing resources to the Union’ flagship programmes, and for additional responsibilities to be matched with additional financial means. [Am. 2] |
(2) |
There is currently an imbalance in the performance of customs control by Member States. This imbalance is due both to geographic differences between Member States and in their respective capacities and resources , as well as to a lack of standardised customs controls . The ability of Member States to react to challenges generated by the constantly evolving global business models and supply chains depend not only on the human component but also on the availability and proper functioning of modern and reliable customs control equipment . Other challenges, such as the surge of e-commerce, the digitalisation of the controls and inspections records, resilience to cyber-attacks, sabotage, industrial espionage and misuse of data, will also increase demand for better functioning of customs procedures . The provision of equivalent customs control equipment is therefore an important element in addressing the existing imbalance. It will improve equivalence in the performance of customs controls throughout Member States and thereby avoid the diversion of the flows of goods towards the weakest points. All the goods entering the customs territory of the Union should be subject to thorough controls in order to avoid ‘port-shopping’ by custom fraudsters. To ensure that the overall strength is increased as well as convergence in the performance of customs control by Member States, a clear strategy related to the weakest points is required. [Am. 3] |
(3) |
A number of Member States have repeatedly expressed the need for financial support and requested an in-depth analysis of the equipment needed. In its conclusions (5) on customs funding on 23 March 2017, the Council invited the Commission to ‘evaluate the possibility of funding technical equipment needs from future Commission financial programmes and improve coordination and (…) cooperation between Customs Authorities and other law enforcement authorities for funding purposes’. [Am. 4] |
(4) |
Under Regulation (EU) No 952/2013 of the European Parliament and of the Council (6), customs controls are to be understood not only as the supervision of customs legislation but also other legislation governing the entry, exit, transit, movement, storage and end-use of goods moved between the customs territory of the Union and countries or territories outside that territory, and the presence and movement within the customs territory of the Union of non-Union goods and goods placed under the end-use procedure. Such other legislation empowering customs authorities with specific tasks of control includes provisions on taxation, in particular as regards excise duties and value added tax, on the external aspects of the internal market, on the common trade policy and other common Union policies having a bearing on trade, on the overall supply chain security and on the protection of the financial and economic interests of the Union and its Member States. |
(5) |
Supporting the creation of an adequate and equivalent level of customs controls at the Union’s external borders allows maximising the benefits of the customs union. A dedicated Union intervention for customs control equipment correcting current imbalances would moreover contribute to the overall cohesion between Member States. In view of the challenges facing the world, in particular the continued need to protect the financial and economic interests of the Union and its Member States while easing the flow of legitimate trade, the availability of modern and reliable control equipment at the external borders is indispensable. |
(6) |
It is therefore opportune to establish a new Instrument for financial support for customs control equipment that should ensure the detection of practices, such as for example counterfeiting of goods and other illegal commercial practices . Already existing formulas of financial support should be considered. [Am. 5] |
(7) |
As customs authorities of the Member States have been taking up an increasing number of responsibilities, which often extend to the field of security and take place at the external border, ensuring equivalence in carrying out border control and customs control at the external borders needs to be addressed by providing adequate Union financial support to the Member States. It is equally important to promote inter-agency cooperation , while considering cybersecurity, at Union borders as regards controls of goods and controls of persons among the national authorities in each Member State that are responsible for border control or for other tasks carried out at the border. [Am. 6] |
(8) |
It is therefore necessary to establish an Integrated Border Management Fund (‘the Fund’). |
(9) |
Due to the legal particularities applicable to Title V of the TFEU as well as the different applicable legal bases regarding the policies on external borders and on customs control, it is not legally possible to establish the Fund as a single instrument. |
(10) |
The Fund should therefore be established as a comprehensive framework for Union financial support in the field of border management comprising the Instrument for financial support for customs control equipment (‘the Instrument’) established by this Regulation as well as the instrument for financial support for border management and visa established by Regulation (EU) No …/… of the European Parliament and of the Council (7). |
(11) |
This Regulation lays down a financial envelope for the Instrument, which is to constitute the prime reference amount, within the meaning of point 17 of the Interinstitutional Agreement of 2 December 2013 between the European Parliament, the Council and the Commission on budgetary discipline, on cooperation in budgetary matters and on sound financial management (8), for the European Parliament and the Council during the annual budgetary procedure. To secure budgetary discipline, the conditions as to how the grants will be prioritised should be clear, defined and based on needs that have been identified for the tasks performed by customs points. [Am. 7] |
(12) |
Regulation (EU, Euratom) [2018/XXX] of the European Parliament and of the Council (9) (the ‘Financial Regulation’) applies to this Instrument. It lays down rules on the implementation of the Union budget, including the rules on grants. |
(13) |
Regulation (EU) [2018/XXX] of the European Parliament and of the Council (10) establishes the ‘Customs’ programme for cooperation in the field of customs to support the customs union and customs authorities. In order to preserve the coherence and horizontal coordination of cooperation actions, it is appropriate to implement all of them under one single legal act and set of rules. Therefore, only the purchase, maintenance and upgrade of the eligible customs control equipment should be supported under this Instrument while the Customs programme for cooperation in the field of customs should support related actions, such as cooperation actions for the assessment of needs or training relating to the equipment concerned. |
(13a) |
Customs control equipment financed under this Instrument should meet optimal security, including cybersecurity, safety, environmental and health standards. [Am. 8] |
(13b) |
Data produced by customs control equipment financed under this Instrument should be accessed and processed only by duly authorised staff of the authorities, and should be adequately protected against unauthorised access or communication. Member States should be in full control of that data. [Am. 9] |
(13c) |
Customs control equipment financed under this Instrument should contribute to providing optimal customs risk management. [Am. 10] |
(13d) |
When replacing old customs control equipment by the means of this Instrument, Member States should be responsible for environment friendly disposal of old customs control equipment. [Am. 11] |
(14) |
In addition, and where appropriate, the Instrument should also support the purchase or upgrade of customs control equipment for testing new pieces or new functionalities in operational conditions before Member States start large-scale purchases of such new equipment. Testing in operational conditions should follow up in particular on the outcomes of research of customs control equipment in the framework of Regulation (EU) [2018/XXX] (11). |
(15) |
Most customs control equipment may be equally or incidentally fit for controls of compliance with other legislation, such as provisions on border management, visa or police cooperation. The Integrated Border Management Fund has therefore been conceived as two complementary instruments with distinct but coherent scopes for the purchase of equipment. On the one hand, the instrument for border management and visa established by Regulation [2018/XXX] (12) will exclude equipment that can be used for both border management and customs control. On the other hand, the instrument for financial support for customs control equipment established by this Regulation will not only support financially equipment with customs controls as the main purpose but will also allow its use as well for additional related purposes such as border controls , safety, and security. This distribution of roles will foster inter-agency cooperation as a component of the European integrated border management approach, as referred to in Article 4(e) of Regulation (EU) 2016/1624 (13), thereby enabling customs and border authorities to work together and maximising the impact of the Union budget through co-sharing and inter-operability of control equipment. To ensure that any instrument or equipment financed by the fund is in the permanent custody of the designated customs point that owns the equipment, the act of co-sharing and interoperability between customs and border authorities should be defined as being non-systematic and non-regular. [Am. 12] |
(16) |
By way of derogation from the Financial Regulation, funding of an action by several Union programmes or instruments should be possible in order to allow and support, where appropriate, cooperation and interoperability across domains. However, in such cases, the contributions may not cover the same costs in accordance with the principle of prohibition of double funding established by the Financial Regulation. If a Member State has already been awarded or has received contributions from another Union programme or support from a Union fund for the acquisition of the same equipment, that contribution or support should be listed in the application. [Am. 13] |
(16a) |
The Commission should incentivise joint procurement and testing of customs control equipment between Member States. [Am. 14] |
(17) |
In view of the rapid evolution of customs priorities, threats and technologies, work programmes should not span over long periods of time. At the same time, the need to establish annual work programmes increases the administrative burden for both the Commission and Member States without it being necessary for the implementation of the Instrument. Against that backdrop, work programmes should in principle cover more than one budgetary year. Moreover, to ensure that the integrity of the Union's strategic interests are preserved, Member States are encouraged to consider carefully cybersecurity and the risks to potential exposure of sensitive data outside the Union when tendering for new customs control equipment. [Am. 15] |
(18) |
In order to ensure uniform conditions for the implementation of the work programme under this Regulation, implementing powers should be conferred on the Commission. Those powers should be exercised in accordance with Regulation (EU) No 182/2011 of the European Parliament and of the Council (14). [Am. 16] |
(19) |
Although central implementation is indispensable in order to achieve the specific objective of ensuring equivalent customs controls, given the technical nature of this Instrument, preparatory work is required at technical level. Therefore, implementation should be supported by individual assessments of needs that are dependent on national expertise and experience through the involvement of customs administrations of the Member States. Those assessments of needs should be based on a clear methodology including a minimum number of steps ensuring the collection of the required relevant information. [Am. 17] |
(20) |
To ensure regular monitoring and reporting, a proper framework for monitoring the results achieved by the Instrument and actions under it should be put in place. Such monitoring and reporting should be based on quantitative and qualitative indicators measuring the effects of the actions under the Instrument. Member States should ensure a transparent and clear procurement procedure. Reporting requirements should include some detailed information on customs control equipment and procurement procedure beyond a certain cost threshold , and a justification of the expenses . [Am. 18] |
(21) |
Pursuant to paragraph 22 and 23 of the Inter-institutional agreement for Better Law-Making of 13 April 2016 (15), there is a need to evaluate this Instrument on the basis of information collected through specific monitoring requirements, while avoiding overregulation and administrative burdens, in particular on Member States. These requirements, where appropriate, can include measurable indicators, as a basis for evaluating the effects of the Instrument on the ground. |
(22) |
In order to respond appropriately to evolving policy priorities, threats and technologies, the power to adopt acts in accordance with Article 290 of the Treaty on the Functioning of the European Union should be delegated to the Commission in respect of amending this Regulation in order to lay down work programmes, amending the customs control purposes for actions eligible under the Instrument and the list of indicators to measure the achievement of the specific objectives. It is of particular importance that the Commission carries out appropriate and fully transparent consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. [Am. 19] |
(23) |
In accordance with the Financial Regulation, Regulation (EU, Euratom) No 883/2013 of the European Parliament and of the Council (16), Council Regulation (Euratom, EC) No2988/95 (17), Council Regulation (Euratom, EC) No 2185/96 (18) and Regulation (EU) 2017/1939 (19), the financial interests of the Union are to be protected through proportionate measures, including the prevention, detection, correction and investigation of irregularities and fraud, the recovery of funds lost, wrongly paid or incorrectly used and, where appropriate, the imposition of administrative sanctions. In particular, in accordance with Regulation (EU, Euratom) No 883/2013 and Regulation (Euratom, EC) No 2185/96, the European Anti-Fraud Office (OLAF) may carry out administrative investigations, including on-the-spot checks and inspections, with a view to establishing whether there has been fraud, corruption or any other criminal offences affecting the financial interests of the Union. In accordance with Regulation (EU) 2017/1939, the European Public Prosecutor's Office (EPPO) may investigate and prosecute fraud and other illegal activities affecting the financial interests of the Union as provided for in Directive (EU) 2017/1371 of the European Parliament and of the Council (20). In accordance with the Financial Regulation, any person or entity receiving Union funds is to fully cooperate in the protection of the Union’s financial interests, to grant the necessary rights and access to the Commission, OLAF, the EPPO and the European Court of Auditors and to ensure that any third parties involved in the implementation of Union funds grant equivalent rights. |
(24) |
Horizontal financial rules adopted by the European Parliament and the Council on the basis of Article 322 of the Treaty on the Functioning of the European Union apply to this Regulation. These rules are laid down in the Financial Regulation and determine in particular the procedure for establishing and implementing the budget through grants, procurement, prizes, indirect implementation, and provide for checks on the responsibility of financial actors. Rules adopted on the basis of Article 322 TFEU also concern the protection of the Union's budget in case of generalised deficiencies as regards the rule of law in the Member States, as the respect for the rule of law is an essential precondition for sound financial management and effective EU funding. Funding under this Instrument should respect the principles of transparency, proportionality, equal treatment and non-discrimination. [Am. 20] |
(25) |
The types of financing and the methods of implementation under this Regulation should be chosen on the basis of their ability to achieve the specific objective of the actions and to deliver results, taking into account, in particular, the costs of controls, the administrative burden, and the expected risk of non-compliance. This should include consideration of the use of lump sums, flat rates and unit costs, as well as financing not linked to costs as referred to in Article 125(1) of the Financial Regulation. Improving the implementation and quality of spending should constitute guiding principles for the achievement of the objectives of the Instrument while ensuring optimal use of financial resources. [Am. 21] |
(26) |
Since the objective of this Regulation, which is to establish a Instrument that supports the customs union and customs authorities, cannot be sufficiently achieved by the Member States alone further to objective imbalances existing at geographical level amongst them, but can rather, by reason of the equivalent level and quality of custom control that a coordinated approach and a centralised funding will help providing, be better achieved at Union level, the Union may adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty on European Union. In accordance with the principle of proportionality as set out in that Article, this Regulation does not go beyond what is necessary in order to achieve that objective, |
HAVE ADOPTED THIS REGULATION:
CHAPTER I
GENERAL PROVISIONS
Article 1
Subject matter
1. This Regulation establishes the Instrument for financial support for customs control equipment (‘the Instrument’), as part of the Integrated Border Management Fund (‘the Fund’) to provide financial support for the purchase, maintenance and upgrade of customs control equipment.
2. Jointly with Regulation [2018/XXX] establishing, as part of the Integrated Border Management Fund, the instrument for financial support for border management and visa (21), this Regulation establishes the Fund.
3. It lays down the objectives of the Instrument, the budget for the period 2021 — 2027, the forms of Union funding and the rules for providing such funding.
Article 2
Definitions
For the purposes of this Regulation, the following definitions shall apply:
(1) |
‘customs authorities’ means the authorities defined in point (1) of Article 5 of Regulation (EU) No 952/2013; |
(2) |
‘customs controls’ means the specific acts defined in point (3) of Article 5 of Regulation (EU) No 952/2013; |
(3) |
‘customs control equipment’ means equipment intended primarily for performing customs controls; |
(4) |
‘mobile customs control equipment’ means any means of transport that, beyond its mobile capacities, is intended itself to be a piece of customs control equipment or is fully equipped with customs control equipment; |
(5) |
‘maintenance’ means preventive, corrective and predictive interventions, including operational and functional checks, servicing, repair and overhaul but excluding upgrading, necessary for retaining or restoring a piece of customs control equipment to its specified operable condition to achieve its maximum useful life; |
(6) |
‘upgrade’ means evolutive interventions necessary for bringing an existing piece of customs control equipment from an outdated to a state-of-the-art specified operable condition. |
Article 3
Instrument objectives
1. As part of the Integrated Border Management Fund and with a view to the long-term aim that all customs controls in the Union are standardised , the Instrument has the general objective to support the customs union and customs authorities to protect the financial and economic interests of the Union and its Member States to promote inter-agency cooperation at Union borders as regards controls of goods and persons , to ensure security and safety within the Union and to protect the Union from unfair and illegal trade while facilitating legitimate business activity. [Am. 22]
2. The Instrument has the specific objective of contributing to adequate and equivalent customs controls through the fully transparent purchase, maintenance and upgrade of relevant, state-of-the-art , secure, cyber-resilient, safe, environmental-friendly and reliable customs control equipment. An additional objective is to improve the quality of customs controls throughout Member States to avoid the diversion of goods towards weaker points in the Union. [Am. 23]
2a. The Instrument shall contribute to the implementation of the European Integrated Border Management by supporting interagency cooperation, co-sharing and interoperability of new equipment acquired through the Instrument. [Am. 24]
Article 4
Budget
1. The financial envelope for the implementation of the Instrument for the period 2021 — 2027 shall be EUR 1 149 175 000 in 2018 prices (EUR 1 300 000 000 in current prices). [Am. 25]
2. The amount referred to in paragraph 1 may also cover legitimate and verified expenses for preparation, monitoring, control, audit, evaluation and other activities for managing the Instrument and evaluating its performance and the achievement of its objectives. It may moreover cover likewise legitimate and verified expenses relating to the studies, meetings of experts, information and communication actions, exchange of data between involved Member States in so far as they are related to the specific objectives of the Instrument in support of the general objective , as well as expenses linked to information technology networks focusing on information processing and exchange, including corporate information technology tools and other technical and administrative assistance needed in connection with the management of the Instrument. [Am. 26]
Article 5
Implementation and forms of EU funding
1. The Instrument shall be implemented in direct management in accordance with the Financial Regulation.
1a. When the action supported involves the purchase or upgrade of equipment, the Commission shall set up adequate safeguards and contingency measures to ensure that all the equipment purchased with the support of Union programmes and instruments is put to use by the relevant customs authorities in all relevant cases. [Am. 27]
2. The Instrument may provide funding in any of the forms laid down in the Financial Regulation and in particular by means of grants.
3. When the action supported involves the purchase or upgrade of equipment, the Commission shall set up a coordination mechanism ensuring efficiency and interoperability between all the equipment purchased with the support of Union programmes and instruments , which shall allow for the consultation and participation of relevant Union agencies, in particular the European Border and Coast Guard Agency . The coordination mechanism shall include the participation and consultation of the European Border and Coast Guard Agency to maximise the Union added value in the field of border management. [Am. 28]
3a. When the action supported involves the purchase or upgrade of equipment, the Commission shall set up adequate safeguards and contingency measures to ensure that all the equipment purchased with the support of Union programmes and instruments meets agreed standards on regular maintenance. [Am. 29]
CHAPTER II
ELIGIBILITY
Article 6
Eligible actions
1. In order for actions to be eligible for funding under this Instrument, the actions must comply with the following requirements:
(a) |
implement the objectives referred to in Article 3; |
(b) |
support the purchase, maintenance and upgrade of customs controls equipment that has one or more of the following customs control purposes:
|
Annex 1 lays down an indicative list of customs control equipment that may be used to achieve the customs control purposes referred to in points (1) to (6).
2. By way of derogation from paragraph 1, in duly justified cases, the actions may also cover the fully transparent purchase, maintenance and upgrade of customs controls equipment for testing new pieces or new functionalities in operational conditions. [Am. 30]
3. The Commission is empowered to adopt delegated acts in accordance with Article 14 to amend the customs control purposes set out in point (b) of paragraph 1 as well as Annex 1 where such review is considered necessary and in order to stay up to date with technological developments, changing patterns in smuggling of goods and with new, smart and innovative solutions for customs control purposes . [Am. 31]
4. Customs control equipment financed under this Instrument should primarily be used for customs controls, but may be used for purposes additional to customs controls, including for control of persons in support of the national border management authorities and investigation to comply with the Instrument's general and specific objectives set out in Article 3 . [Am. 32]
4a. The Commission shall incentivise joint procurement and testing of customs control equipment between Member States. [Am. 33]
Article 7
Eligible entities
By way of derogation from Article 197 of the Financial Regulation, the eligible entities shall be the customs authorities of Member States where they provide the information necessary for the assessments of needs as set out in Article 11(3).
Article 8
Co-financing rate
1. The Instrument may finance up to 80 % of the total eligible costs of an action.
2. Any funding in excess of that ceiling shall only be granted in duly justified exceptional circumstances.
2a. Funding in excess of that ceiling may be granted in cases of joint procurement and testing of customs control equipment between Member States. [Am. 34]
2b. The exceptional circumstances referred to in paragraph 2 may include purchasing of new customs control equipment and submitting it to the technical equipment pool of the European Border and Coast Guard. Admissibility of the customs control equipment to the technical equipment pool shall be ascertained in accordance with Article 5(3). [Am. 35]
Article 9
Eligible costs
All the following costs shall not be related to actions referred to in Article 6 shall be eligible for funding under the Instrument , with the exception of : [Am. 36]
(a) |
costs related to the purchase of land; |
(aa) |
costs relating to training or the upgrading of skills necessary for the use of the equipment; [Am. 37] |
(b) |
costs relating to infrastructure, such as buildings or outdoor facilities, as well as to furniture; |
(c) |
costs associated with electronic systems, with the exception of software and software updates directly necessary to use the customs control equipment and with the exception of the electronic software and programming necessary to inter-link existing software with the customs control equipment ; [Am. 38] |
(d) |
costs of networks, such as secured or unsecured communication channels, or subscriptions , with the exception of networks or subscriptions directly necessary to use the customs control equipment ; [Am. 39] |
(e) |
costs of transport means, such as vehicles, aircrafts or ships, with the exception of mobile customs control equipment; |
(f) |
costs of consumables, including reference or calibration material, for customs control equipment; |
(g) |
costs relating to personal protective equipment. |
CHAPTER III
GRANTS
Article 10
Award, complementarity and combined funding
1. Grants under the Instrument shall be awarded and managed in accordance with Title VIII of the Financial Regulation.
2. In accordance with Article 195(f) of the Financial Regulation, grants shall be awarded without a call for proposals to the eligible entities referred to in Article 7.
3. By way of derogation from Article 191 of the Financial Regulation, an action that has received a contribution from the Customs programme for cooperation in the field of customs established by Regulation (EU) [2018/XXX] (22) or from any other Union programme may also receive a contribution under the Instrument, provided that the contributions do not cover the same costs. The rules of each contributing Union programme shall apply to its respective contribution to the action. The cumulative funding shall not exceed the total eligible costs of the action and the support from the different Union programmes may be calculated on a pro-rata basis in accordance with the documents setting out the conditions for support.
CHAPTER IV
PROGRAMMING, MONITORING AND EVALUATION
Article 11
Work programme
1. The Instrument shall be implemented by work programmes referred to in Article 110(2) of the Financial Regulation.
2. The work programmes shall be adopted by The Commission by means of an implementing act. That implementing act shall be adopted is empowered to adopt delegated acts in accordance with the examination procedure referred to in Article 15 14, amending Annex 2a in order to lay down work programmes . [Am. 40]
3. The preparation of the work programmes referred to in paragraph 1 shall be supported by an individual assessment of needs, which shall consist of the following at a minimum: [Am. 41]
(a) |
a common categorisation of border crossing points; |
(b) |
an exhaustive inventory of available and functional customs control equipment; [Am. 42] |
(c) |
a common definition of a minimum and an optimal technical standard of customs control equipment by reference to the category of border crossing points; and [Am. 43] |
(ca) |
an assessment of an optimal level of customs control equipment by reference to the category of border crossing points; and [Am. 44] |
(d) |
a detailed estimate of financial needs depending on the size of customs operations and the relative workload . [Am. 45] |
The assessment of needs shall result from actions carried out under the Customs 2020 programme established by Regulation (EU) No 1294/2013 of the European Parliament and of the Council (23) or under the Customs programme for cooperation in the field of customs established by Regulation (EU) [2018/XXX] (24) and shall be updated regularly and at a minimum every 3 years.
Article 12
Monitoring and reporting
1. Indicators to report on In compliance with its reporting requirement pursuant to point (e)(i) of Article 38(3) of the Financial Regulation, the Commission shall present to the European Parliament and the Council information on the performance of the Programme. The Commission’s reporting on performance shall include information on both progress of the Instrument towards the achievement of the general and specific objectives set out in Article 3 are set out in Annex 2 and shortfalls . [Am. 46]
2. Indicators to report on the progress of the Instrument towards the achievement of the general and specific objectives in Article 3 are set out in Annex 2. To ensure effective assessment of progress of the Instrument towards the achievement of its objectives, the Commission is empowered to adopt delegated acts in accordance with Article 14 to amend Annex 2 to review or complement the indicators where considered necessary and to supplement this Regulation with provisions on the establishment of a monitoring and evaluation framework in order to provide the European Parliament and the Council with updated qualitative as well as quantitative information on performance of the Programme . [Am. 47]
3. The performance reporting system shall ensure that data for monitoring the implementation and results of the Instrument are comparable and complete as well as collected efficiently, effectively, and in a timely manner. To that end, proportionate reporting requirements shall be imposed on recipients of Union funds. The Commission shall provide the European Parliament and the Council with reliable information on the quality of the performance data used. [Am. 48]
4. The reporting requirements referred to in paragraph 3 shall include at least the annual communication to the Commission of the following information where the cost of a piece of customs control equipment exceeds EUR 10 000 exclusive of taxes:
(a) |
commissioning and decommissioning dates of the customs control equipment; |
(b) |
statistics on the use of the customs control equipment; |
(c) |
information on results from the use of the customs control equipment. |
(ca) |
the presence and condition five years after commissioning of items of equipment funded from the Union budget; [Am. 49] |
(cb) |
information on instances of maintenance of the customs control equipment; [Am. 50] |
(cc) |
information on the procurement procedure; [Am. 51] |
(cd) |
justification of the expenses. [Am. 52] |
Article 13
Evaluation
1. Evaluations of actions funded under the Instrument and referred to in Article 6 shall assess the Instrument's results, impact and effectiveness, and shall be carried out in a timely manner to feed into ensure their efficient use in the decision-making process. [Am. 53]
2. The interim evaluation of the Instrument shall be performed once there is sufficient information available about the implementation of the Instrument, but no later than four three years after the start of the implementation of the Instrument. [Am. 54]
The interim evaluation shall present findings necessary to make a decision about a follow-up to the Programme beyond 2027 and its objectives. [Am. 55]
3. At the end of the implementation of the Instrument, but no later than four three years after the end of the period specified in Article 1, a final evaluation of the Instrument shall be carried out by the Commission. [Am. 56]
4. The Commission shall communicate the conclusions of the evaluations, accompanied by its observations and lessons learned , to the European Parliament, the Council, the European Economic and Social Committee and the Committee of the Regions. [Am. 57]
4a. The Commission shall include annual partial evaluations in its report ‘Protection of the European Union's financial interests — Fight against fraud’. [Am. 58]
CHAPTER V
EXERCISE OF THE DELEGATION AND COMMITTEE PROCEDURE
Article 14
Exercise of the delegation
1. The power to adopt delegated acts is conferred on the Commission subject to the conditions laid down in this Article.
2. The power to adopt delegated acts referred to in Articles 6(3) , 11(2) and 12(2) shall be conferred on the Commission until 31 December 2028. [Am. 59]
3. The delegation of power referred to in Articles 6(3) , 11(2) and 12(2) may be revoked at any time by the European Parliament or by the Council. A decision to revoke shall put an end to the delegation of power specified in that decision. It shall take effect the day following the publication of the decision in the Official Journal of the European Union or at a later date specified therein. It shall not affect the validity of any delegated acts already in force. [Am. 60]
4. Before adopting a delegated act, the Commission shall consult experts designated by each Member State in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016.
5. As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the European Parliament and to the Council.
6. A delegated act adopted pursuant to Articles 6(3) , 11(2) and 12(2) shall enter into force if no objection has been expressed either by the European Parliament or by the Council within a period of two months of notification of that act to the European Parliament and the Council or if, before the expiry of that period, the European Parliament and the Council have both informed the Commission that they will not object. That period shall be extended by two months at the initiative of the European Parliament or of the Council. [Am. 61]
Article 15
Committee procedure
1. The Commission shall be assisted by the ‘Customs Programme Committee’ referred to in Article 18 of Regulation (EU) [2018/XXX] (25).
2. Where reference is made to this paragraph, Article 5 of Regulation (EU) No 182/2011 shall apply. [Am. 62]
CHAPTER VI
TRANSITIONAL AND FINAL PROVISIONS
Article 16
Information, communication and publicity
1. The recipients of Union funding shall acknowledge the origin and ensure the visibility of the Union funding (in particular when promoting the actions and their results) by providing coherent, effective and proportionate targeted information to multiple audiences, including the media and the public , thereby showing the Union added value and aiding the data gathering efforts of the Commission in order to enhance budgetary transparency . [Am. 63]
2. In order to ensure transparency, the Commission shall implement regularly provide information and communication actions to the public relating to the Instrument, and its actions and results,. Financial resources allocated to the Instrument shall also contribute to the corporate communication of the political priorities of the Union, as far as they are related to the objectives referred to referring to, inter alia, the work programmes referred to in Article 3 11 . [Am. 64]
Article 17
Transitional provisions
If necessary, appropriations may be entered in the budget beyond 2027 to cover the expenses provided for in Article 4(2), to enable the management of actions not completed by 31 December 2027.
Article 18
Entry into force
This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at …,
For the European Parliament
The President
For the Council
The President
(1) OJ C 62, 15.2.2019, p. 67.
(2) Position of the European Parliament of 16 April 2019.
(3) Annex of the Annual 2016 Report of the Customs Union Performance available on: https://ec.europa.eu/info/publications/annual-activity-report-2016-taxation-and-customs-union_en.
(4) P8_TA(2018)0075: The next MFF: Preparing the Parliament’s position on the MFF post-2020
(5) https://www.consilium.europa.eu/media/22301/st09581en17-vf.pdf and http://data.consilium.europa.eu/doc/document/ST-7586-2017-INIT/en/pdf.
(6) Regulation (EU) No 952/2013 of the European Parliament and of the Council of 9 October 2013 laying down the Union Customs Code (OJ L 269, 10.10.2013, p. 1).
(7) COM(2018)0473.
(8) Interinstitutional Agreement of 2 December 2013 between the European Parliament, the Council and the Commission on budgetary discipline, on cooperation in budgetary matters and on sound financial management (OJ C 373, 20.12.2013, p. 1).
(9) COM(2016)0605.
(10) COM(2018)0442.
(11) COM(2018)0435.
(12) COM(2018)0473.
(13) Regulation (EU) 2016/1624 of the European Parliament and of the Council of 14 September 2016 on the European Border and Coast Guard and amending Regulation (EU) 2016/399 of the European Parliament and of the Council and repealing Regulation (EC) No 863/2007 of the European Parliament and of the Council, Council Regulation (EC) No 2007/2004 and Council Decision 2005/267/EC (OJ L 251, 16.9.2016, p. 1).
(14) Regulation (EU) No 182/2011 of the European Parliament and of the Council of 16 February 2011 laying down the rules and general principles concerning mechanisms for control by Member States of the Commission’s exercise of implementing powers (OJ L 55, 28.2.2011, p. 13).
(15) Interinstitutional Agreement between the European Parliament, the Council of the European Union and the European Commission on Better Law-Making of 13 April 2016 (OJ L 123, 12.5.2016, p. 1).
(16) Regulation (EU, Euratom) No 883/2013 of the European Parliament and of the Council of 11 September 2013 concerning investigations conducted by the European Anti-Fraud Office (OLAF) and repealing Regulation (EC) No 1073/1999 of the European Parliament and of the Council and Council Regulation (Euratom) No 1074/1999 (OJ L 248, 18.9.2013, p. 1).
(17) Council Regulation (EC, Euratom) No 2988/95 of 18 December 1995 on the protection of the European Communities financial interests (OJ L 312, 23.12.1995, p. 1).
(18) Council Regulation (Euratom, EC) No 2185/96 of 11 November 1996 concerning on-the-spot checks and inspections carried out by the Commission in order to protect the European Communities' financial interests against fraud and other irregularities (OJ L 292, 15.11.1996, p. 2).
(19) Council Regulation (EU) 2017/1939 of 12 October 2017 implementing enhanced cooperation on the establishment of the European Public Prosecutor’s Office (‘the EPPO’) (OJ L 283, 31.10.2017, p. 1).
(20) Directive (EU) 2017/1371 of the European Parliament and of the Council of 5 July 2017 on the fight against fraud to the Union's financial interests by means of criminal law (OJ L 198, 28.7.2017, p. 29).
(21) COM(2018)0473.
(22) COM(2018)0442.
(23) Regulation (EU) No 1294/2013 of the European Parliament and of the Council of 11 December 2013 establishing an action programme for customs in the European Union for the period 2014-2020 (Customs 2020) and repealing Decision No 624/2007/EC (OJ L 347, 20.12.2013, p. 209).
(24) COM(2018)0442.
(25) COM(2018)0442.
ANNEX 1
Indicative list of customs control equipment in relation to customs control purpose referred to in Article 6(1)(b)
CUSTOMS CONTROL PURPOSE |
CUSTOMS CONTROL EQUIPMENT |
|
CATEGORY |
APPLICATION |
|
Non-intrusive inspection |
X-Ray scanner — High energy |
Containers, trucks, rail wagons and vehicles |
X-ray scanner — Low energy |
Pallets, boxes and parcels |
|
Passenger baggage |
||
Vehicles |
||
X-ray backscatter |
Containers |
|
Trucks |
||
Vehicles |
||
Other |
Automatic Number Plate / Container Recognition Systems |
|
Vehicle weighting scales |
||
Forklifts and similar mobile customs control equipment |
||
Indication of hidden objects on humans (1) |
X-ray based backscatter portal |
Mainly used in airports to detect hidden objects on humans (drugs, explosives, cash) |
Body scanner |
||
Millimetre wave-based security scanner |
||
Radiation detection and nuclide identification |
Radiological and Nuclear Detection |
Personal Radiation Monitor/detector (PRM) |
Handheld Radiation detector |
||
Isotope Identification Device (RIID) |
||
Radiation Portal Monitor (RPM) |
||
Spectrometric Portal Monitor for isotope identification (SPM) |
||
Analysis of samples in laboratories |
Identification, quantification and verification of all possible goods |
Gas and liquid chromatography (GC, LC, HPLC…) |
Spectrometry and techniques combined with spectrometry (IR, Raman, UV-VIS, Fluorescence, GC-MS…) |
||
X-Ray equipment (XRF…) |
||
NMR spectrometry and Stable isotope analyses |
||
Other laboratory equipment (AAS, Distillation Analyser, DSC, Electrophoresis, Microscope, LSC, Smoking machine…) |
[Ams. 65, 66, 67 and 68]
CUSTOMS CONTROL PURPOSE |
CUSTOMS CONTROL EQUIPMENT |
|
CATEGORY |
APPLICATION |
|
Sampling and field analysis of samples |
Trace detection based on Ion Mobility Spectrometry (IMS) |
Portable equipment to screen traces of specific threat materials |
Canine trace detection |
Applied to a range of risks on small and larger objects |
|
Sampling |
Tools to take samples, fume hood, glovebox |
|
Mobile laboratories |
Vehicle fully housing equipment for field analysis of samples |
|
[Analysis of organic materials, metals and alloys] Handheld detectors |
Chemical colorimetric tests |
|
Raman spectroscopy |
||
Infrared spectroscopy |
||
X-ray fluorescence |
||
Gas detectors for containers |
||
Handheld search |
Personal hand tools |
Pocket tools |
Mechanics tool kit |
||
Telescoping mirror |
||
Devices |
Endoscope |
|
Stationary or handed metal detector |
||
Cameras to check the under-side of vehicles |
||
Ultrasonic device |
||
Density meter |
||
Other |
Underwater search |
(1) Subject to applicable legislative provisions and other recommendations as regards the protection of health and the respect of privacy.
ANNEX 2
Indicators
Specific objective: Contribute to equivalent and adequate customs controls through the purchase, maintenance and upgrade of relevant, state-of-the-art and reliable customs control equipment
1. Equipment available
(a) |
Availability at land Border Crossing Points of customs control equipment meeting agreed standards (by type of equipment) |
(b) |
Availability at sea Border Crossing Points of customs control equipment meeting agreed standards (by type of equipment) |
(c) |
Availability at air Border Crossing Points of customs control equipment meeting agreed standards (by type of equipment |
(d) |
Availability at postal Border Crossing Points of customs control equipment meeting agreed standards (by type of equipment) |
(e) |
Availability at rail Border Crossing Points of customs control equipment meeting agreed standards (by type of equipment) |
1a. Security and Safety
(a) |
Degree of compliance with security standards of customs control equipment at all Border Crossing Points, including cybersecurity |
(b) |
Degree of compliance with safety standards of customs control equipment at all Border Crossing Points [Am. 69] |
1b. Health and Environment
(a) |
Degree of compliance with health standards of customs control equipment at all Border Crossing Points |
(b) |
Degree of compliance with environmental standards of customs control equipment at all Border Crossing Points [Am. 70] |
ANNEX 2a
Work programmes [Am. 71]
ANNEX 2b
Exceptional circumstances for excess funding [Am. 72]
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/153 |
P8_TA(2019)0385
Establishing the ‘Customs’ programme for cooperation in the field of customs ***I
European Parliament legislative resolution of 16 April 2019 on the proposal for a regulation of the European Parliament and of the Council establishing the ‘Customs’ programme for cooperation in the field of customs (COM(2018)0442 — C8-0261/2018 — 2018/0232(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/34)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2018)0442), |
— |
having regard to Article 294(2) and Articles 33, 114 and 207 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0261/2018), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
having regard to the opinion of the European Economic and Social Committee of 17 October 2018 (1), |
— |
having regard to Rule 59 of its Rules of Procedure, |
— |
having regard to the report of the Committee on the Internal Market and Consumer Protection and the opinions of the Committee on Budgets and the Committee on Budgetary Control (A8-0464/2018), |
1. |
Adopts its position at first reading hereinafter set out (2); |
2. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
3. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
(1) OJ C 62, 15.2.2019, p. 45.
(2) This position replaces the amendments adopted on 15 January 2019 (Texts adopted, P8_TA(2019)0008).
P8_TC1-COD(2018)0232
Position of the European Parliament adopted at first reading on 16 April 2019 with a view to the adoption of Regulation (EU) …/… of the European Parliament and of the Council establishing the ‘Customs’ programme for cooperation in the field of customs
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on the Functioning of the European Union, and in particular Articles 33, 114 and 207 thereof,
Having regard to the proposal from the European Commission,
After transmission of the draft legislative act to the national parliaments,
Having regard to the opinion of the European Economic and Social Committee (1),
Acting in accordance with the ordinary legislative procedure (2),
Whereas:
(1) |
The Customs 2020 programme set up under , established by Regulation (EU) No 1294/2013 (3) and its predecessors have contributed significantly contributed to facilitating and enhancing strengthening customs cooperation. Many of the customs activities in the customs area are of a cross-border nature, involving and affecting all Member States, and therefore they cannot be effectively and efficiently delivered by individual implemented by each Member States. A State alone. A Union-wide customs programme at Union level, implemented by the Commission, offers provides Member States with a Union framework at Union level to develop those cooperation such cooperative activities, which is more cost-efficient cost-effective than if each Member State were to set up an individual cooperation frameworks on a framework at bilateral or multilateral basis level. The customs programme also plays an essential role in safeguarding the financial interests of the Union and of the Member States by ensuring the effective collection of customs duties and thus representing an important source of revenue for the Union and national budgets, also by focusing on IT capacity building and increased cooperation in the field of customs. Furthermore, harmonised and standardised controls are necessary in order to track illegal cross-border flows of goods and fight fraud . It is therefore appropriate and in the interest of efficiency to ensure the continuity of Union the Union's financing of activities in the field of customs cooperation by establishing a new programme in the same area field , the ‘Customs’ programme (‘the Programme’) . [Am. 1] |
(1a) |
For 50 years, the customs union, implemented by national customs authorities, has been a cornerstone of the Union, one of the largest trading blocks in the world. The customs union is a significant example of successful Union integration, and is essential for the proper functioning of the single market for the benefit of both businesses and citizens. The European Parliament, in its resolution adopted on 14 March 2018, entitled ‘The next MFF: Preparing the Parliament’s position on the MFF post-2020’, expressed particular concern regarding customs fraud. A stronger and a more ambitious Union can only be achieved if it is provided with reinforced financial means, continuous support for existing policies, and increased resources. [Am. 2] |
(2) |
The customs union has evolved considerably over the last fifty 50 years and customs administrations are now successfully perform fulfilling a wide variety of range of border tasks at borders. Acting Working together, they work strive to facilitate ethical and fair trade and reduce red tape bureaucracy , collect revenues revenue for national and Union budgets, and help to protect the public population against terrorist, health, and environmental and threats, as well as other threats. In particular, with the introduction of an EU-wide by introducing a common Risk Management Framework (4) and framework (5) for customs control of movements of risk management at Union level and by controlling large amounts of cash flows to combat money laundering and terrorist financing, the customs assume a front line position authorities take a leading role in the fight against terrorism and organised crime and unfair competition. Given that broad their extensive mandate, the customs is now effectively the lead authority authorities are now in reality the main authorities for the control of goods at the Union’s external borders. Against that backdrop In this context , the Customs programme should not only cover customs cooperation but extend its also provide support to the mission of for the wider customs authorities at large, as set out mission as provided for in Article 3 of Regulation (EU) No 952/2013, i.e. the supervision namely the supervision of the Union's international trade, the implementation of the external aspects of the internal market, of the common commercial trade policy and of the other Union common Union policies having a bearing on an influence on trade, as well as and the security of the supply chain. The legal basis will of this Regulation should therefore cover customs cooperation (Article 33 TFEU), the internal market (Article 114 TFEU) and commercial policy (Article 207 TFEU). [Am. 3] |
(3) |
In The Programme should, as a general objective, assist the Member States and the Commission by providing a framework for actions that has as objective aims to support the customs union and customs authorities, the Programme should with the long-term objective that all customs administrations in the Union work together as closely as possible; contribute to protecting the financial and economic interests of the Union and its Member States; protecting protect the Union from unfair and illegal trade unlawful commercial practices, while supporting encouraging legitimate business activity; ensuring activities, guaranteeing the security and safety of the Union and its residents; , thereby enhancing consumer protection and facilitating facilitate legitimate trade, so that businesses and citizens can benefit from the full potential of the internal market and of global world trade. [Am. 4] |
(3a) |
As it has become evident that some of the systems referred to in Article 278 of the Union Customs Code can only be partially deployed by 31 December 2020, which implies that non-electronic systems will continue in use beyond that date, and in the absence of legislative amendments that extend that deadline, companies and customs authorities will be unable to perform their duties and legal obligations as regards customs operations, one of the primary specific objectives of the Programme should be to assist the Member States and the Commission to set up such electronic systems. [Am. 5] |
(3b) |
Customs management and control is a dynamic policy area, facing new challenges generated by constantly evolving global business models and supply chains, as well as changing consumption patterns and digitalisation, such as e-commerce, including the internet of things, data analytics, artificial intelligence and block chain technology. The Programme should support customs management in such situations and enable the use of innovative solutions. Such challenges further underline the need to enforce cooperation between customs authorities and the need for a uniform interpretation and implementation of the customs legislation. When public finances are under pressure, the volume of world trade increases and fraud and smuggling are a growing concern; the Programme should contribute to tackling those challenges. [Am. 6] |
(3c) |
In order to ensure maximum efficiency and to avoid overlaps, the Commission should coordinate the implementation of the Programme with related Union programmes and funds. This includes in particular the Fiscalis Programme, the EU anti-fraud Programme and Single Market Programme, as well as with the Internal Security Fund and Integrated Border Management Fund, the Reform Support Programme, the Digital Europe Programme, the Connecting Europe Facility and the Council Decision on the system of Own Resources of the European Union, as well as the implementing regulations and measures. [Am. 7] |
(3d) |
With regard to the potential withdrawal of the United Kingdom from the Union, the financial envelope of the Programme does not take into account the costs resulting from the signing of the withdrawal agreement and the potential future relationship between the United Kingdom and the Union. The signing of that agreement, the disengagement of the United Kingdom from all existing customs systems and cooperation, and the lapsing of its legal obligations in this area, could lead to additional costs, which cannot be precisely estimated at the time of establishment of the Programme. The Commission should therefore consider reserving sufficient resources to prepare for those potential costs. However, those costs should not be covered by the envelope of the Programme, as the budget provided for in the Programme will only be sufficient to cover the costs which could realistically be foreseen at the time of establishment of the Programme. [Am. 8] |
(4) |
This Regulation lays down a financial envelope for the Programme, which is to constitute the prime reference amount, within the meaning of point 17 of the Interinstitutional Agreement of 2 December 2013 between the European Parliament, the Council and the Commission on budgetary discipline, on cooperation in budgetary matters and on sound financial management (6), for the European Parliament and the Council during the annual budgetary procedure. |
(5) |
In order to support the process of accession and association by of third countries, the Programme should be open to the participation of acceding and candidate countries as well as potential candidates and partner countries of the European Neighbourhood Policy, if certain all conditions are fulfilled met . It may also be open to other third countries, in accordance with under the conditions laid down provided for in specific agreements between the Union and those the countries covering their concerned on the participation to of those countries in any Union programme , if that participation is of interest to the Union and if it has a positive impact on the internal market without affecting consumer protection . [Am. 9] |
(6) |
The Programme should be covered by Regulation (EU, Euratom) [2018/XXX] 2018/1046 of the European Parliament and of the Council (7) ( hereinafter referred to as the ‘Financial Regulation’) applies to this Programme. It lays down . The Financial Regulation provides for the rules on for the implementation of the Union budget, including the rules on grants, prizes, procurement and reimbursement of external experts. [Am. 10] |
(7) |
The actions which applied under the Customs 2020 programme and have proven to be adequate and should therefore be maintained , while others that have proven to be inadequate should be terminated . In order to provide more greater simplicity and flexibility in the execution of the Programme and thereby better deliver on its objectives, the actions should be defined only in terms of overall categories with a list of illustrative examples of concrete activities. Through cooperation and capacity building, the Customs programme Programme should also promote and support the uptake and leverage of innovation to further improve the capabilities to deliver on the core priorities of customs. [Am. 11] |
(8) |
Regulation [2018/XXX] establishes, as part of the Integrated Border Management Fund, a Customs Control Equipment Instrument (8) (‘CCE Instrument’). In order to preserve the coherence and horizontal coordination of all cooperation actions relating to customs and customs control equipment, it is appropriate to implement all of them under one single legal act and set of rules, that act and those rules being this Regulation. Therefore, the CCE Instrument should only support the purchase, maintenance and upgrade of the eligible equipment while this Programme should support all other related actions, such as cooperation actions for the assessment of equipment needs or, where appropriate, training in relation to the equipment purchased. [Am. 12] |
(9) |
Exchanges of customs and related information are key for a proper functioning of customs and they extend well beyond the exchanges within the customs union. Adaptations or extensions of European electronic systems to third countries not associated to the Programme and international organisations could indeed have an interest for the Union or the Member States. Therefore, when duly justified by such an interest, adaptations of or extensions to European electronic systems for cooperation with third countries and international organisations should be eligible costs under the Programme. |
(10) |
Considering the importance of globalisation, the Programme should continue to provide for the possibility of involving external experts within the meaning of Article 238 of the Financial Regulation. Those external experts should mainly be representatives of governmental authorities, including from non-associated third countries, as well as academics and representatives of international organisations, economic operators or civil society. [Am. 13] |
(11) |
In line with the Commission's commitment to ensure the coherence and simplification of funding programmes, set out in its Communication of 19 October 2010 entitled ‘The EU Budget Review (9)’, resources should be shared with other Union funding instruments if the envisaged actions under the Programme pursue objectives that are common to various funding instruments , taking into account that the amount allocated to the Programme is calculated without taking into account that there could be unforeseen expenses , excluding however double financing. Actions under the Programme should ensure coherence in the use of the Union's resources supporting the customs union and customs authorities. [Am. 14] |
(11a) |
The purchase of software that is needed to perform tight border controls should be eligible for funding under the Programme. Furthermore, the purchase of software that can be used in all Member States should be encouraged in order to facilitate exchange of data. [Am. 15] |
(12) |
Information Technology (IT) capacity building actions are set to attract the greatest a greater part of the budget under the Programme. Specific provisions should describe, respectively, the common and national components of the European electronic systems. Moreover, the scope of actions and the responsibilities of the Commission and the Member States should be clearly defined. In order to ensure coherence and coordination of IT capacity-building actions, the Programme should provide that the Commission develops and updates a Multiannual Strategic Customs Plan (‘MASP-C’), with the aim of creating an electronic environment which ensures consistency and interoperability of the customs systems in the Union. [Am. 16] |
(13) |
Decision No 70/2008/EC of the European Parliament and of the Council (10) requests the Commission to draw up a Multi-Annual Strategic Plan for Customs for creating a coherent and interoperable electronic customs environment for the Union. The development and operation of the electronic systems included in the Multi-Annual Strategic Plan are mainly funded by the Programme. In order to ensure coherence and coordination between the Programme and the Multi-Annual Strategic Plan, the relevant provisions of the Decision should be included in this Regulation. As all relevant provisions of Decision No 70/2008/EC are now taken over either by Regulation (EU) No 952/2013 or by this Regulation, Decision No 70/2008/EC should be repealed. |
(14) |
This Regulation The Commission should be implemented by means of adopt work programmes for the purposes of this Regulation . In view of the mid- to long-term nature of the objectives pursued and building on experience gained over time, work programmes should be able to cover several years. The shift from annual to multiannual work programmes will reduce the administrative burden for both the Commission and Member States. [Am. 62] |
(14a) |
In line with the findings contained on the two special reports adopted recently by the European Court of Auditors in the field of customs, namely special report No 19/2017 of 5 December 2017 entitled ‘Import procedures: shortcomings in the legal framework and an ineffective implementation impact the financial interests of the EU’, and special report No 26/2018 of 10 October 2018 entitled ‘A series of delays in Customs IT systems: what went wrong?’, the actions undertaken within the ‘Customs’ programme for cooperation in the field of customs should aim at tackling the shortcomings signalled. [Am. 17] |
(14b) |
On 4 October 2018 the European Parliament adopted a resolution on the fight against customs fraud and the protection of the Union’s own resources. The conclusions contained in that resolution should be taken into account during the actions implemented in the framework of the Programme. [Am. 18] |
(15) |
In order to ensure uniform conditions for the implementation of this Regulation, implementing powers should be conferred to the Commission. Those powers should be exercised in accordance with Regulation (EU) No 182/2011 of the European Parliament and of the Council (11). [Am. 63] |
(16) |
Pursuant to paragraph 22 and 23 of the Inter-institutional agreement for Better Law-Making of 13 April 2016 (12), there is a need to evaluate this programme on the basis of information collected through specific monitoring requirements, while avoiding overregulation and administrative burdens, in particular on Member States. These requirements, where appropriate, can include measurable indicators, as a basis for evaluating the effects of the Instrument on the ground. |
(17) |
In order to respond appropriately to changes in policy priorities, the power to adopt acts in accordance with Article 290 of the Treaty on the Functioning of the European Union should be delegated to the Commission in respect of amending the list of indicators to measure the achievement of the specific objectives of the Programme , in respect of establishing and updating the Multi-Annual Strategic Plan for the customs field and in respect of the establishment of the multiannual work programmes . It is of particular importance that the Commission carries out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016 (13). In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. [Am. 64] |
(18) |
In accordance with the Financial Regulation, Regulation (EU, Euratom) No 883/2013 of the European Parliament and of the Council (14), Council Regulation (Euratom, EC) No 2988/95 (15), Council Regulation (Euratom, EC) No 2185/96 (16) and Council Regulation (EU) 2017/1939 (17), the financial interests of the Union are to be protected through proportionate measures, including the prevention, detection, correction and investigation of irregularities and fraud, the recovery of funds lost, wrongly paid or incorrectly used and, where appropriate, the imposition of administrative sanctions. In particular, in accordance with Regulation (EU, Euratom) No 883/2013 and Regulation (Euratom, EC) No 2185/96, the European Anti-Fraud Office (OLAF) may carry out administrative investigations, including on-the-spot checks and inspections, with a view to establishing whether there has been fraud, corruption or any other illegal activity affecting the financial interests of the Union. In accordance with Regulation (EU) 2017/1939, the European Public Prosecutor's Office (EPPO) may investigate and prosecute fraud and other criminal offences affecting the financial interests of the Union, as provided for in Directive (EU) 2017/1371 of the European Parliament and of the Council (18). In accordance with the Financial Regulation, any person or entity receiving Union funds is to fully cooperate in the protection of the Union’s financial interests, to grant the necessary rights and access to the Commission, OLAF, the EPPO and the European Court of Auditors and to ensure that any third parties involved in the implementation of Union funds grant equivalent rights. |
(19) |
Horizontal financial rules adopted by the European Parliament and the Council on the basis of Article 322 of the Treaty on the Functioning of the European Union apply to this Regulation. These rules are laid down in the Financial Regulation and determine in particular the procedure for establishing and implementing the budget through grants, procurement, prizes, indirect implementation, and provide for checks on the responsibility of financial actors. Rules adopted on the basis of Article 322 TFEU also concern the protection of the Union's budget in case of generalised deficiencies as regards the rule of law in the Member States, as the respect for the rule of law is an essential precondition for sound financial management and effective EU funding. |
(20) |
The types of financing and the methods of implementation under this Regulation should be chosen on the basis of their ability to achieve the specific objectives of the actions and to deliver the best results, taking into account, in particular, the costs of controls, the administrative burden, and the expected risk of non-compliance. This should include consideration of the use of lump sums, flat rates and unit costs, as well as financing not linked to costs as referred to in Article 125(1) of the Financial Regulation. [Am. 19] |
(21) |
Since the objective of this Regulation cannot be sufficiently achieved by the individual Member States but can rather, by reason of its scale and effects, be better achieved at Union level, the Union may adopt measures, in accordance with the principle of subsidiarity, as set out in Article 5 of the Treaty on European Union. In accordance with the principle of proportionality as set out in that Article, this Regulation does not go beyond what is necessary in order to achieve that objective. |
(22) |
This Regulation replaces Regulation (EU) No 1294/2013 of the European Parliament and of the Council, which should therefore be repealed, |
HAVE ADOPTED THIS REGULATION:
CHAPTER I
GENERAL PROVISIONS
Article 1
Subject matter
1. This Regulation establishes the ‘Customs’ programme for cooperation in the field of customs (‘Programme’).
2. It lays down the objectives of the Programme, the budget for the period 2021 — 2027, the forms of Union funding and the rules for providing such funding.
Article 2
Definitions
For the purposes of this Regulation, the following definitions shall apply:
(1) |
‘customs authorities’ means the authorities defined in point (1) of Article 5 of Regulation (EU) No 952/2013; |
(2) |
‘European electronic systems’ means electronic systems necessary for the customs union and for the execution of the mission of customs authorities |
(3) |
‘third country’ means a country that is not member of the Union. |
Article 3
Programme objectives
1. With a view to achieving the long-term aim that all customs administrations in the Union work together as closely as possible, and in order to guarantee the security and safety of the Member States and to protect the Union against fraud, unfair and unlawful commercial practices, and at the same time, promote legitimate business activities and a high level of consumer protection, the general objective of the Programme has the general objective is to support the customs union and the customs authorities to protect in protecting the financial and economic interests of the Union and its Member States, to ensure security and safety within the Union and to protect the Union from unfair and illegal trade, while facilitating legitimate business activity. [Am. 20]
2. The Programme has the following specific objective objectives:
(1) |
to support the preparation and uniform implementation of customs legislation and policy as well as customs cooperation; |
(2) |
and administrative to assist with IT capacity building, including human competency and the development and operation of European which consists in developing, maintaining and operating the electronic systems as referred to in Article 278 of the Union Customs Code, and enabling a smooth transition to a paperless environment and trade in line with Article 12 of this Regulation . |
(3) |
to finance joint actions, which consist in cooperation mechanisms enabling officials to carry out joint operational activities under their core responsibilities, share experience in the customs field and join efforts to deliver on customs policy; |
(4) |
to enhance human competencies, supporting the professional skills of customs officials and empowering them to fulfil their role on a uniform basis; |
(5) |
to support innovation in the area of customs policy.[Am. 21] |
2a. The Programme shall be consistent with and exploit any synergies with other Union action programmes and funds with similar objectives in related fields. [Am. 22]
2b. The implementation of the Programme shall respect the principles of transparency, proportionality, equal treatment and non-discrimination. [Am. 23]
2c. The Programme shall also support the continuous evaluation and monitoring of the cooperation between customs authorities with a view to identifying weaknesses and possible improvements. [Am. 24]
Article 4
Budget
1. The financial envelope for the implementation of the Programme for the period 2021 — 2027 shall be EUR 842 844 000 in 2018 prices (EUR 950 000 000 in current prices). [Am. 25]
2. When necessary and duly justified, the amount referred to in paragraph 1 may also cover expenses for preparation, monitoring, control, audit, evaluation and other activities for managing the Programme and evaluating its performance and the achievement of its objectives. It may moreover cover expenses relating to studies, meetings of experts, information and communication actions by the Commission addressed to Member States and economic operators , in so far as they are related to the objectives of the Programme, as well as expenses linked to information technology networks focusing on information processing and exchange, including corporate information technology tools and other technical and administrative assistance needed in connection with the management of the Programme , in so far as such activities are required for the achievement of the objectives of the Programme . [Am. 26]
2a. The Programme shall not be used to cover costs relating to the potential withdrawal of the United Kingdom from the Union. The Commission shall reserve upon its own assessment resources in order to cover the costs relating to the disengagement of the United Kingdom from all Union customs systems and cooperation, and the lapsing of its legal obligations in this area.
Before reserving those resources, the Commission shall make an estimate of the potential costs, and shall inform the European Parliament once data relevant for that estimate become available. [Am. 27]
Article 5
Third countries associated to the Programme
The Programme shall be open to the following third countries:
(a) |
acceding countries, candidate countries and potential candidates, in accordance with the general principles and general terms and conditions for the participation of those countries in Union programmes established in the respective framework agreements and Association Council decisions, or similar agreements, and in accordance with the specific conditions laid down in agreements between the Union and those countries; |
(b) |
countries covered by the European Neighbourhood Policy, in accordance with the general principles and general terms and conditions for the participation of those countries in Union programmes established in the respective framework agreements and association Council decisions, or similar agreements, and in accordance with the specific conditions laid down in agreements between the Union and those countries, provided that those countries have reached a sufficient level of approximation of the relevant legislation and administrative methods to those of the Union; |
(c) |
other third countries, in accordance with under the conditions laid down in a specific agreement covering on the participation of the a third country to in any Union programme, provided that the agreement: [Am. 28]
|
Article 6
Implementation and forms of EU funding
1. The Programme shall be implemented in direct management in accordance with the Financial Regulation.
2. The Programme may provide funding in any of the forms laid down in the Financial Regulation, in particular grants, prizes, procurement and reimbursement of travel and subsistence expenses incurred by external experts.
CHAPTER II
ELIGIBILITY
Article 7
Eligible actions
1. Only actions implementing the objectives referred to in Article 3 shall be eligible for funding.
2. Actions complementing or supporting the actions implementing the objectives referred to in Article 3 of Regulation (EU) [2018/XXX] [CCE instrument] and/or complementing or supporting the actions implementing the objectives referred to in Article 2 of Regulation (EU) [2018/XXX] [Anti-Fraud Programme] shall also be eligible for funding under this Programme. [Am. 30]
3. Actions referred to in paragraphs 1 and 2 shall include the following:
(a) |
meetings and similar ad-hoc events; |
(b) |
project-based structured collaboration , such as collaborative IT development by a group of Member States ; [Am. 31 |
(c) |
IT capacity building actions, in particular the development and operation of European electronic systems; |
(d) |
human competency and capacity building actions , including training and exchange of best practices ; [Am. 32] |
(e) |
support and other actions, including:
|
Possible forms of actions referred to in points (a), (b) and (d) are presented in a non-exhaustive list in Annex 1.
4. Actions consisting in the development , deployment, maintenance and operation of adaptations or extensions to the common components of the European electronic systems for cooperation with third countries not associated to the Programme or international organisations shall be eligible for funding when they are of interest to the Union. The Commission shall put in place the necessary administrative arrangements, which may provide for a financial contribution from the third parties concerned to these actions. [Am. 34]
5. Where an IT capacity building action referred to in point (c) of paragraph 3 concerns the development and operation of a European electronic system, only the costs related to the responsibilities entrusted to the Commission pursuant to Article 11(2) shall be eligible for funding under the Programme. Member States shall bear the costs related to the responsibilities entrusted to them pursuant to Article 11(3).
Article 8
External experts
1. Wherever beneficial for the achievement of the actions implementing the objectives referred to in Article 3, representatives of governmental authorities, including those from third countries not associated to the programme Programme pursuant to Article 5, academics and representatives of international and other relevant organisations, of economic operators and organisations representing economic operators and of civil society may take part as external experts to actions organised under the Programme. [Am. 35]
2. Costs incurred by the external experts referred to in paragraph 1 shall be eligible for reimbursement under the Programme in accordance with the provisions of Article 238 of the Financial Regulation.
3. The External experts shall be selected by the Commission based on the basis of their skills competence , experience and in the field of application of this Regulation and their relevant knowledge relevant to of the specific action being taken , avoiding any potential conflict of interest. The selection shall strike a balance between business representatives and other civil society experts, as well as take into account the principle of gender equality. The list of external experts shall be regularly updated and made accessible to the public. [Am. 36]
CHAPTER III
GRANTS
Article 9
Award, complementarity and combined funding
1. Grants under the Programme shall be awarded and managed in accordance with Title VIII of the Financial Regulation , and specifically with the principles of sound financial management, transparency, proportionality, non-discrimination and equal treatment . [Am. 37]
2. An action that has received a contribution from another Union programme may also receive a contribution under the Programme, provided that the contribution do not cover the same costs. The rules of each contributing Union programme shall apply to its respective contribution to the action. The cumulative funding shall not exceed the total eligible costs of the action and the support from the different Union programmes may be calculated on a pro-rata basis in accordance with the documents setting out the conditions for support.
3. In accordance with Article 198(f) of the Financial Regulation, the grants shall be awarded without a call for proposals where the eligible entities are customs authorities of the Member States and of the third countries associated to the Programme as referred to in Article 5 of this Regulation, provided that the conditions set out in that Article are met.
Article 10
Co-financing rate
1. By way of derogation to from Article 190 of the Financial Regulation, the Programme may finance up to 100 % of the eligible costs of an action according to the relevance of the action and the estimated impact . [Am. 38]
2. The applicable co-financing rate where actions require the awarding of grants shall be set out in the multiannual work programmes referred to in Article 13.
CHAPTER IV
SPECIFIC PROVISIONS FOR IT CAPACITY BUILDING ACTIONS
Article 11
Responsibilities
1. The Commission and the Member States shall ensure jointly ensure the development and operation of the European electronic systems listed in the Multi-Annual Strategic Plan for Customs referred to in Article 12 , including the its design, specification, conformance testing, deployment, maintenance, evolution, modernisation, security, quality assurance and quality control, of the European electronic systems listed in the Multi-Annual Strategic Plan for Customs referred to in Article 12. [Am. 39]
2. The Commission shall, in particular, ensure the following:
(a) |
the development and operation of common components as established under the Multi-Annual Strategic Plan for Customs provided for in Article 12; |
(b) |
the overall coordination of the development and operation of European electronic systems with a view to their operability, cyber-resilience, interconnectivity and continuous improvement and their synchronised implementation; [Am. 40] |
(c) |
the coordination at Union level of European electronic systems with a view to their promotion and implementation at national level; |
(d) |
the coordination of the development and operation of European electronic systems as regards their interactions with third parties, excluding actions designed to meet national requirements; |
(e) |
the coordination of European electronic systems with other relevant actions relating to e-Government at Union level. |
(ea) |
an efficient and swift communication with and between Member States with a view to streamlining the governance of the Union’s electronic systems; [Am. 41] |
(eb) |
a timely and transparent communication with the stakeholders concerned with the implementation of IT systems at Union and Member States level, in particular about delays in the implementation of and spending relating to Union and national components. [Am. 42] |
3. The Member States shall, in particular, ensure the following:
(a) |
the development and operation of national components as established under the Multi-annual Strategic Plan for Customs provided for in Article 12; |
(b) |
the coordination of the development and operation of the national components of European electronic systems at national level; |
(c) |
the coordination of European electronic systems with other relevant actions relating to e-Government at national level; |
(d) |
the regular provision to providing the Commission of with regular information regarding on the measures taken to enable their respective the authorities or economic operators concerned to make full and effective use of the European electronic systems; [Am. 43] |
(e) |
the implementation at national level of European electronic systems. |
Article 12
Multi-Annual Strategic Plan for Customs (MASP-C)
1. The Commission shall draw up and keep updated adopt delegated acts in accordance with Article 17, supplementing this Regulation by establishing and updating a Multi-Annual Strategic Plan for the customs field listing all the tasks relevant for the development and operation of European electronic systems and classifying each system, or part thereof, of a system as: [Am. 65]
(a) |
a common component: a component of the European electronic systems developed at Union level, which is available for all Member States or identified as common by the Commission as being common for reasons of efficiency, security and of rationalisation and reliability ; [Am. 45] |
(b) |
a national component: a component of the European electronic systems developed at national level, which is available in the Member State that created such a component or contributed to its joint creation , for instance as part of a collaborative IT development project by a group of Member States [Am. 46]; |
(c) |
or a combination of both. |
2. The Multi-Annual Strategic Plan for Customs shall also include innovation and pilot actions as well as the supporting methodologies and tools related to the European electronic systems.
3. Member States shall notify the Commission of the completion of each task allocated to them under the Multi-Annual Strategic Plan for Customs referred to in paragraph 1. They shall also regularly report to the Commission on progress with their tasks and where applicable about foreseeable delays in their implementation . [Am. 47]
4. No later than 31 March of each year, the Member States shall submit to the Commission annual progress reports on the implementation of the Multi-Annual Strategic Plan for Customs referred to in paragraph 1 covering the period 1 January to 31 December of the preceding year. Those annual reports shall be based on a pre-established format.
5. No later than 31 October of each year, the Commission shall, on the basis of the annual reports referred to in paragraph 4, establish a consolidated report assessing the progress made by Member States and the Commission in the implementation of the plan referred to in paragraph 1 , including information on necessary adaptations of or delays with the plan, and make that report public. [Am. 48]
CHAPTER V
PROGRAMMING, MONITORING, EVALUATION AND CONTROL
Article 13
Work programme
1. The Programme shall be implemented by Multiannual work programmes as referred to in Article 108 110 of the Financial Regulation shall be adopted for the purposes of the Programme . The multiannual work programmes shall in particular set out the objectives to be pursued, the expected results, the method of implementation and the total amount of the financing plan. They shall also set out in detail a description of the actions to be financed, an indication of the amount allocated to each action and an indicative implementation timetable. [Am. 66]
2. The Commission shall adopt delegated acts in accordance with Article 17, supplementing this Regulation by establishing the multiannual work programmes shall be adopted by the Commission by means of implementing acts. Those implementing acts shall be adopted in accordance with the procedure referred to in Article 18(2). [Am. 67]
2a. The multiannual work programmes shall build on lessons learned from previous programmes. [Am. 51]
Article 14
Monitoring and reporting
1. Indicators to report on progress In compliance with its reporting requirements pursuant to point (h) of Article 41(3) of the Financial Regulation, the Commission shall present to the European Parliament and the Council information on the performance of the Programme towards the achievement of the specific objectives set out in Article 3 are set in Annex 2 . Reporting on performance shall include information on both progress and shortfalls . [Am. 52]
2. Indicators for reporting on the performance of the Programme towards the achievement of the specific objectives provided for in Article 3 are set out in Annex 2. To ensure effective assessment of progress of the Programme towards the achievement of its objectives, the Commission is empowered to adopt delegated acts in accordance with Article 17 to amend Annex 2 to review or complement the indicators where considered necessary and to supplement this Regulation with provisions on the establishment of a monitoring and evaluation framework in order to provide the European Parliament and the Council with updated qualitative as well as quantitative information on the performance of the Programme . [Am. 53]
3. The performance reporting system shall ensure that the data for the monitoring programme of the implementation and the results of the Programme are comparable and complete as well as collected efficiently, effectively, and in a in an efficient, effective and timely manner. To that this end, proportionate and relevant reporting requirements shall be imposed on the recipients of Union funds. The Commission shall provide the European Parliament and the Council with reliable information on the quality of the performance data used. [Am. 54]
Article 15
Evaluation
1. Evaluations shall be carried out in a timely manner to feed into the decision-making process.
2. The interim evaluation of the Programme shall be performed once there is carried out as soon as sufficient information available about the on its implementation of the Programme is available , but no later than four three years after the start of the programme implementation. [Am. 55]
2a. The interim evaluation shall present findings necessary to make a decision about a follow-up to the Programme beyond 2027 and its objectives. [Am. 56]
3. At the end of the implementation of the Programme, but no later than four three years after the end of the period specified referred to in Article 1, the Commission shall carry out a final evaluation of the Programme shall be carried out by the Commission. [Am. 57]
4. The Commission shall present and communicate the conclusions of the evaluations, accompanied by its observations and lessons learned , to the European Parliament, the Council, the European Economic and Social Committee and the Committee of the Regions. [Am. 58]
Article 16
Audits and investigations
Where a third country participates in the programme by a decision under an international agreement or by virtue of any other legal instrument, the third country shall grant the necessary rights and access required for the authorizing officer responsible, the European Anti-Fraud Office (OLAF), the European Court of Auditors and the European Public Prosecutor's Office (EPPO) to comprehensively exert their respective competences. In the case of OLAF and the EPPO , such rights shall include the right to carry out investigations, including on-the-spot checks and inspections, provided for in Regulation (EU, Euratom) No 883/2013concerning investigations conducted by the European Anti-Fraud Office (OLAF) and in Council Regulation (EU) 2017/1939 (19). [Am. 59]
CHAPTER VI
EXERCISE OF THE DELEGATION AND COMMITTEE PROCEDURE
Article 17
Exercise of the delegation
1. The power to adopt delegated acts is conferred on the Commission subject to the conditions laid down in this Article.
2. The power to adopt delegated acts referred to in Article Articles 12(1), 13(2) and 14(2) shall be conferred on the Commission until 31 December 2028. [Am. 68]
3. The delegation of power referred to in Article Articles 12(1), 13(2) and 14(2) may be revoked at any time by the European Parliament or by the Council. A decision to revoke shall put an end to the delegation of power specified in that decision. It shall take effect the day following the publication of the decision in the Official Journal of the European Union or at a later date specified therein. It shall not affect the validity of any delegated acts already in force. [Am. 69]
4. Before adopting a delegated act, the Commission shall consult experts designated by each Member State in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016.
5. As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the European Parliament and to the Council.
6. A delegated act adopted pursuant to Article Articles 12(1), 13(2) and 14(2) shall enter into force if no objection has been expressed either by the European Parliament or by the Council within a period of two months of notification of that act to the European Parliament and the Council or if, before the expiry of that period, the European Parliament and the Council have both informed the Commission that they will not object. That period shall be extended by two months at the initiative of the European Parliament or of the Council. [Am. 70]
Article 18
Committee procedure
1. The Commission shall be assisted by a committee referred to as the ‘Customs Programme Committee’. That committee shall be a committee within the meaning of Regulation (EU) No 182/2011.
2. Where reference is made to this paragraph, Article 5 of Regulation (EU) No 182/2011 shall apply. [Am. 71]
CHAPTER VII
TRANSITIONAL AND FINAL PROVISIONS
Article 19
Information, communication and publicity
1. The recipients of Union funding shall acknowledge the origin and ensure the maximum visibility of the Union funding (in particular when promoting the actions and their results) by providing coherent, effective and proportionate targeted information to multiple audiences, including the media and the public. [Am. 60]
2. The Commission shall implement information and communication actions relating to the Programme, and its on the Programme, on the actions financed under the Programme and on the results achieved by those financed actions . The financial resources allocated to the Programme shall also contribute to the corporate institutional communication of the Union's political priorities of the Union, as in so far as they are related linked to the objectives referred to set out in Article 3. [Am. 61]
Article 20
Repeal
1. Regulation (EU) No 1294/2013 is repealed with effect from 1 January 2021.
2. Decision No 70/2008/EC is repealed with effect from 1 January 2021.
Article 21
Transitional provisions
1. This Regulation shall not affect the continuation or modification of the actions concerned, until their closure, under Regulation (EU) No 1294/2013, which shall continue to apply to the actions concerned until their closure.
2. The financial envelope for the Programme may also cover technical and administrative assistance expenses necessary to ensure the transition between the Programme and the measures adopted under its predecessor, the Regulation (EU) No 1294/2013.
3. If necessary, appropriations may be entered in the budget beyond 2027 to cover the expenses provided for in Article 4(2), to enable the management of actions not completed by 31 December 2027.
Article 22
Entry into force
This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at …,
For the European Parliament
The President
For the Council
The President
(1) OJ C 62, 15.2.2019, p. 45.
(2) Position of the European Parliament of 16 April 2019.
(3) Regulation (EU) No 1294/2013 of the European Parliament and of the Council of 11 December 2013 establishing an action programme for customs in the European Union for the period 2014-2020 (Customs 2020) and repealing Decision No 624/2007/EC, OJ L 347, 20.12.2013, p. 209.
(4) https://ec.europa.eu/taxation_customs/general-information-customs/customs-risk-management/measures-customs-risk-management-framework-crmf_en
(5) https://ec.europa.eu/taxation_customs/general-information-customs/customs-risk-management/measures-customs-risk-management-framework-crmf_en
(6) OJ C 373, 20.12.2013, p. 1
(7) COM(2016)0605 final Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council of 18 July 2018 on the financial rules applicable to the general budget of the Union, amending Regulations (EU) No 1296/2013, (EU) No 1301/2013, (EU) No 1303/2013, (EU) No 1304/2013, (EU) No 1309/2013, (EU) No 1316/2013, (EU) No 223/2014, (EU) No 283/2014, and Decision No 541/2014/EU and repealing Regulation (EU, Euratom) No 966/2012 (OJ L 193, 30.7.2018, p. 1).
(8) Proposal for a Regulation of the European Parliament and of the Council establishing, as part of the Integrated Border Management Fund, the instrument for financial support for customs control equipment
(9) COM(2010)0700
(10) Decision No 70/2008/EC of the European Parliament and of the Council of 15 January 2008 on a paperless environment for customs and trade (OJ L 23, 26.1.2008, p. 21).
(11) Regulation (EU) No 182/2011 of the European Parliament and of the Council of 16 February 2011 laying down the rules and general principles concerning mechanisms for control by the Member States of the Commission's exercise of implementing powers (OJ L 55, 28.2.2011, p. 13)
(12) Interinstitutional Agreement between the European Parliament, the Council of the European Union and the European Commission on Better Law-Making of 13 April 2016; OJ L 123, 12.5.2016, p. 1.
(13) OJ L 123, 12.5.2016, p. 1.
(14) Regulation (EU, Euratom) No 883/2013 of the European Parliament and of the Council of 11 September 2013 concerning investigations conducted by the European Anti-Fraud Office (OLAF) and repealing Regulation (EC) No 1073/1999 of the European Parliament and of the Council and Council Regulation (Euratom) No 1074/1999 (OJ L 248, 18.9.2013, p. 1).
(15) Council Regulation (EC, Euratom) No 2988/95 of 18 December 1995 on the protection of the European Communities financial interests (OJ L 312, 23.12.1995, p. 1).
(16) Council Regulation (Euratom, EC) No 2185/96 of 11 November 1996 concerning on-the-spot checks and inspections carried out by the Commission in order to protect the European Communities' financial interests against fraud and other irregularities (OJ L 292, 15.11.1996, p. 2).
(17) Council Regulation (EU) 2017/1939 of 12 October 2017 implementing enhanced cooperation on the establishment of the European Public Prosecutor’s Office (‘the EPPO’) (OJ L 283, 31.10.2017, p. 1).
(18) Directive (EU) 2017/1371 of the European Parliament and of the Council of 5 July 2017 on the fight against fraud to the Union's financial interests by means of criminal law (OJ L 198, 28.7.2017, p. 29).
(19) Council Regulation (EU) 2017/1939 of 12 October 2017 implementing enhanced cooperation on the establishment of the European Public Prosecutor’s Office (‘the EPPO’) (OJ L 283, 31.10.2017, p. 1.)
ANNEX 1
Non-exhaustive list of possible forms of actions referred to in points (a), (b) and (d) of the first sub-paragraph of Article 7(3)
Actions referred to in points (a), (b) and (d) of the first sub-paragraph of Article 7(3) may take the forms, among others, of:
(a) |
As regards meetings and similar ad-hoc events:
|
(b) |
As regards project-based structured collaboration:
|
(c) |
As regards human competency and capacity building actions:
|
ANNEX 2
Indicators
Specific objective: Support the preparation and uniform implementation of customs legislation and policy as well as customs cooperation and administrative capacity building, including human competency and the development and operation of the European electronic systems for customs.
1. Capacity Building (administrative, human and IT capacity):
1. |
Union Law and Policy Application and Implementation Index (Number of actions under the Programme organised in this area and recommendations issued following those actions) |
2. |
Learning Index (Learning modules used; number of officials trained; quality score by participants) |
3. |
Availability of European electronic systems (in time percentage terms) |
4. |
Availability of the Common Communication Network (in time percentage terms) |
5. |
Use of key European electronic systems aimed at increasing interconnectivity and moving to a paper-free Customs Union (number of messages exchanged and consultations carried out) |
6. |
UCC completion rate (percentage of milestones reached for implementing UCC systems) |
2. Knowledge sharing and networking:
1. |
Collaboration Robustness Index (degree of networking generated, number of face-to-face meetings, number of on-line collaboration groups) |
2. |
Best Practices and Guideline Index (number of actions under the Programme organised in this area; percentage of participants that made use of a working practice/guideline developed with the support of the Programme) |
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/170 |
P8_TA(2019)0386
Marketing and use of explosives precursors ***I
European Parliament legislative resolution of 16 April 2019 on the proposal for a regulation of the European Parliament and of the Council on the marketing and use of explosives precursors, amending Annex XVII to Regulation (EC) No 1907/2006 and repealing Regulation (EU) No 98/2013 on the marketing and use of explosives precursors (COM(2018)0209 — C8-0151/2018 — 2018/0103(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/35)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2018)0209), |
— |
having regard to Article 294(2) and Article 114 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0151/2018), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
having regard to the opinion of the European Economic and Social Committee of 11 July 2018 (1), |
— |
having regard to the provisional agreement approved by the committee responsible under Rule 69f(4) of its Rules of Procedure and the undertaking given by the Council representative by letter of 14 February 2019 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
— |
having regard to Rule 59 of its Rules of Procedure, |
— |
having regard to the report of the Committee on Civil Liberties, Justice and Home Affairs (A8-0473/2018), |
1. |
Adopts its position at first reading hereinafter set out; |
2. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
3. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
P8_TC1-COD(2018)0103
Position of the European Parliament adopted at first reading on 16 April 2019 with a view to the adoption of Regulation (EU) 2019/… of the European Parliament and of the Council on the marketing and use of explosives precursors, amending Regulation (EC) No 1907/2006 and repealing Regulation (EU) No 98/2013
(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) 2019/1148.)
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/171 |
P8_TA(2019)0387
Common framework for European statistics relating to persons and households ***I
European Parliament legislative resolution of 16 April 2019 on the proposal for a regulation of the European Parliament and of the Council establishing a common framework for European statistics relating to persons and households, based on data at individual level collected from samples (COM(2016)0551 — C8-0345/2016 — 2016/0264(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/36)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2016)0551), |
— |
having regard to Article 294(2) and Article 338(1) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0345/2016), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
having regard to the reasoned opinion submitted, within the framework of Protocol No 2 on the application of the principles of subsidiarity and proportionality, by the Swedish Parliament, asserting that the draft legislative act does not comply with the principle of subsidiarity, |
— |
having regard to the provisional agreement approved by the committee responsible under Rule 69f(4) of its Rules of Procedure and the undertaking given by the Council representative by letter of 29 March 2019 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
— |
having regard to Rule 59 of its Rules of Procedure, |
— |
having regard to the report of the Committee on Employment and Social Affairs (A8-0247/2017), |
1. |
Adopts its position at first reading hereinafter set out; |
2. |
Takes note of the Commission statement annexed to this resolution; |
3. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
4. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
P8_TC1-COD(2016)0264
Position of the European Parliament adopted at first reading on 16 April 2019 with a view to the adoption of Regulation (EU) 2019/… of the European Parliament and of the Council establishing a common framework for European statistics relating to persons and households, based on data at individual level collected from samples, amending Regulations (EC) No 808/2004, (EC) No 452/2008 and (EC) No 1338/2008 of the European Parliament and of the Council, and repealing Regulation (EC) No 1177/2003 of the European Parliament and of the Council and Council Regulation (EC) No 577/98
(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) 2019/1700.)
ANNEX TO THE LEGISLATIVE RESOLUTION
Statement by the Commission with respect to Article 14(2) concerning the cooperation with the Union Agencies
To ensure coherence and comparability of European social statistics, the Commission will reinforce cooperation with Union Agencies in line with Article 14(2) and the related recitals (12 and 33). This will include reinforced cooperation on statistical techniques, methodology, quality, new instruments and data sources.
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/174 |
P8_TA(2019)0388
Interoperability between EU information systems in the field of borders and visa ***I
European Parliament legislative resolution of 16 April 2019 on the amended proposal for a regulation of the European Parliament and of the Council on establishing a framework for interoperability between EU information systems (borders and visa) and amending Council Decision 2004/512/EC, Regulation (EC) No 767/2008, Council Decision 2008/633/JHA, Regulation (EU) 2016/399, Regulation (EU) 2017/2226, Regulation (EU) 2018/XX [the ETIAS Regulation], Regulation (EU) 2018/XX [the Regulation on SIS in the field of border checks] and Regulation (EU) 2018/XX [the eu-LISA Regulation] (COM(2018)0478 — C8-0294/2018 — 2017/0351(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/37)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2017)0793) and the amended proposal (COM(2018)0478), |
— |
having regard to Article 294(2) and Article 16(2), Article 74 and points (a), (b), (d) and (e) of Article 77(2) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0294/2018), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
having regard to the opinion of the European Economic and Social Committee of 23 May 2018 (1), |
— |
after consulting the Committee of the Regions, |
— |
having regard to the provisional agreement approved by the committee responsible under Rule 69f(4) of its Rules of Procedure and the undertaking given by the Council representative by letter of 13 February 2019 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
— |
having regard to Rule 59 of its Rules of Procedure, |
— |
having regard to the report of the Committee on Civil Liberties, Justice and Home Affairs and the opinion of the Committee on Budgets (A8-0347/2018), |
1. |
Adopts its position at first reading hereinafter set out; |
2. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
3. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
P8_TC1-COD(2017)0351
Position of the European Parliament adopted at first reading on 16 April 2019 with a view to the adoption of Regulation (EU) 2019/… of the European Parliament and of the Council on establishing a framework for interoperability between EU information systems in the field of borders and visa and amending Regulations (EC) No 767/2008, (EU) 2016/399, (EU) 2017/2226, (EU) 2018/1240, (EU) 2018/1726 and (EU) 2018/1861 of the European Parliament and of the Council and Council Decisions 2004/512/EC and 2008/633/JHA
(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) 2019/817.)
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/176 |
P8_TA(2019)0389
Interoperability between EU information systems in the field of police and judicial cooperation, asylum and migration ***I
European Parliament legislative resolution of 16 April 2019 on the amended proposal for a regulation of the European Parliament and of the Council on establishing a framework for interoperability between EU information systems (police and judicial cooperation, asylum and migration) and amending [Regulation (EU) 2018/XX [the Eurodac Regulation]], Regulation (EU) 2018/XX [the Regulation on SIS in the field of law enforcement], Regulation (EU) 2018/XX [the ECRIS-TCN Regulation] and Regulation (EU) 2018/XX [the eu-LISA Regulation] (COM(2018)0480 — C8-0293/2018 — 2017/0352(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/38)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2017)0794) and the amended proposal (COM(2018)0480), |
— |
having regard to Article 294(2) and Article 16(2), Article 74, point (e) of Article 78(2), point (c) of Article 79(2), point (d) of Article 82(1), Article 85(1), point (a) of Article 87(2) and Article 88(2) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0293/2018), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
having regard to the opinion of the European Economic and Social Committee of 23 May 2018 (1), |
— |
after consulting the Committee of the Regions, |
— |
having regard to the provisional agreement approved by the committee responsible under Rule 69f(4) of its Rules of Procedure and the undertaking given by the Council representative by letter of 13 February 2019 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
— |
having regard to Rule 59 of its Rules of Procedure, |
— |
having regard to the report of the Committee on Civil Liberties, Justice and Home Affairs and the opinion of the Committee on Budgets (A8-0348/2018), |
1. |
Adopts its position at first reading hereinafter set out; |
2. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
3. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
P8_TC1-COD(2017)0352
Position of the European Parliament adopted at first reading on 16 April 2019 with a view to the adoption of Regulation (EU) 2019/… of the European Parliament and of the Council on establishing a framework for interoperability between EU information systems in the field of police and judicial cooperation, asylum and migration and amending Regulations (EU) 2018/1726, (EU) 2018/1862 and (EU) 2019/816
(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) 2019/818.)
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/178 |
P8_TA(2019)0390
European network of immigration liaison officers ***I
European Parliament legislative resolution of 16 April 2019 on the proposal for a regulation of the European Parliament and of the Council on the creation of a European network of immigration liaison officers (recast) (COM(2018)0303 — C8-0184/2018 — 2018/0153(COD))
(Ordinary legislative procedure — recast)
(2021/C 158/39)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2018)0303), |
— |
having regard to Article 294(2) and Articles 74 and 79(2) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0184/2018), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
having regard to the Interinstitutional Agreement of 28 November 2001 on a more structured use of the recasting technique for legal acts (1), |
— |
having regard to the letter of 28 November 2018 sent by the Committee on Legal Affairs to the Committee on Civil Liberties Justice and Home Affairs in accordance with Rule 104(3) of its Rules of Procedure, |
— |
having regard to the provisional agreement approved by the committee responsible under Rule 69f(4) of its Rules of Procedure and the undertaking given by the Council representative by letter of 27 February 2019 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
— |
having regard to Rules 104 and 59 of its Rules of Procedure, |
— |
having regard to the report of the Committee on Civil Liberties, Justice and Home Affairs (A8-0040/2019), |
A. |
whereas, according to the Consultative Working Party of the legal services of the European Parliament, the Council and the Commission, the Commission proposal does not include any substantive amendments other than those identified as such in the proposal and whereas, as regards the codification of the unchanged provisions of the earlier acts together with those amendments, the proposal contains a straightforward codification of the existing texts, without any change in their substance; |
1. |
Adopts its position at first reading hereinafter set out, taking into account the recommendations of the Consultative Working Party of the legal services of the European Parliament, the Council and the Commission; |
2. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
3. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
P8_TC1-COD(2018)0153
Position of the European Parliament adopted at first reading on 16 April 2019 with a view to the adoption of Regulation (EU) 2019/… of the European Parliament and of the Council on the creation of a European network of immigration liaison officers (recast)
(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) 2019/1240.)
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/180 |
P8_TA(2019)0391
Type-approval requirements for motor vehicles as regards general safety ***I
European Parliament legislative resolution of 16 April 2019 on the proposal for a regulation of the European Parliament and of the Council on type-approval requirements for motor vehicles and their trailers, and systems, components and separate technical units intended for such vehicles, as regards their general safety and the protection of vehicle occupants and vulnerable road users, amending Regulation (EU) 2018/… and repealing Regulations (EC) No 78/2009, (EC) No 79/2009 and (EC) No 661/2009 (COM(2018)0286 — C8-0194/2018 — 2018/0145(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/40)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2018)0286), |
— |
having regard to Article 294(2) and Article114 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0194/2018), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
having regard to the opinion of the European Economic and Social Committee of 19 September 2018 (1), |
— |
after consulting the Committee of the Regions, |
— |
having regard to the provisional agreement approved by the committee responsible under Rule 69f(4) of its Rules of Procedure and the undertaking given by the Council representative by letter of 29 March 2019 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
— |
having regard to Rule 59 of its Rules of Procedure, |
— |
having regard to the report of the Committee on the Internal Market and Consumer Protection and the opinions of the Committee on the Environment, Public Health and Food Safety and the Committee on Transport and Tourism (A8-0151/2019), |
1. |
Adopts its position at first reading hereinafter set out; |
2. |
Takes note of the statement by the Commission annexed to this resolution, which will be published in the L series of the Official Journal of the European Union together with the final legislative act; |
3. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
4. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
P8_TC1-COD(2018)0145
Position of the European Parliament adopted at first reading on 16 April 2019 with a view to the adoption of Regulation (EU) 2019/… of the European Parliament and of the Council on type-approval requirements for motor vehicles and their trailers, and systems, components and separate technical units intended for such vehicles, as regards their general safety and the protection of vehicle occupants and vulnerable road users, amending Regulation (EU) 2018/858 of the European Parliament and of the Council and repealing Regulations (EC) No 78/2009, (EC) No 79/2009 and (EC) No 661/2009 of the European Parliament and of the Council and Commission Regulations (EC) No 631/2009, (EU) No 406/2010, (EU) No 672/2010, (EU) No 1003/2010, (EU) No 1005/2010, (EU) No 1008/2010, (EU) No 1009/2010, (EU) No 19/2011, (EU) No 109/2011, (EU) No 458/2011, (EU) No 65/2012, (EU) No 130/2012, (EU) No 347/2012, (EU) No 351/2012, (EU) No 1230/2012 and (EU) 2015/166
(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) 2019/2144.)
ANNEX TO THE LEGISLATIVE RESOLUTION
Statement by the Commission on worn tyres
The Commission is of the opinion that, in view of road safety, consumer protection, reduction of waste and the circular economy, it is important that tyres are not only tested in new, but also in worn condition. To this effect, the Commission will support the development of appropriate testing protocols in the context of the United Nations world forum for the harmonization of vehicle regulations. If this process is however not finalised by July 2023, the Commission intends to propose EU legislation that specifically covers testing of tyres in worn condition.
Wednesday 17 April 2019
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/183 |
P8_TA(2019)0394
Protocol to the EC-Denmark Agreement on the criteria and mechanisms for establishing the State responsible for examining a request for asylum and ‘Eurodac’ ***
European Parliament legislative resolution of 17 April 2019 on the draft Council decision on the conclusion of the Protocol to the Agreement between the European Community and the Kingdom of Denmark on the criteria and mechanisms for establishing the State responsible for examining a request for asylum lodged in Denmark or any other Member State of the European Union and ‘Eurodac’ for the comparison of fingerprints for the effective application of the Dublin Convention regarding access to Eurodac for law enforcement purposes (15822/2018 — C8-0151/2019 — 2018/0423(NLE))
(Consent)
(2021/C 158/41)
The European Parliament,
— |
having regard to the draft Council decision (15822/2018), |
— |
having regard to the draft Protocol to the Agreement between the European Community and the Kingdom of Denmark on the criteria and mechanisms for establishing the State responsible for examining a request for asylum lodged in Denmark or any other Member State of the European Union and ‘Eurodac’ for the comparison of fingerprints for the effective application of the Dublin Convention regarding access to Eurodac for law enforcement purposes (15823/2018), |
— |
having regard to the request for consent submitted by the Council in accordance with Article 87(2)(a), Article 88(2), first subparagraph, point (a) and Article 218(6), second subparagraph, point (a) of the Treaty on the Functioning of the European Union (C8-0151/2019), |
— |
having regard to Rule 99(1) and (4) and Rule 108(7) of its Rules of Procedure, |
— |
having regard to the recommendation of the Committee on Civil Liberties, Justice and Home Affairs (A8-0196/2019), |
1. |
Gives its consent to conclusion of the protocol; |
2. |
Instructs its President to forward its position to the Council, the Commission and the governments and parliaments of the Kingdom of Denmark and of the other Member States. |
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/184 |
P8_TA(2019)0395
Establishing Horizon Europe — laying down its rules for participation and dissemination ***I
European Parliament legislative resolution of 17 April 2019 on the proposal for a regulation of the European Parliament and of the Council establishing Horizon Europe — the Framework Programme for Research and Innovation, laying down its rules for participation and dissemination (COM(2018)0435 — C8-0252/2018 — 2018/0224(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/42)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2018)0435), |
— |
having regard to Article 294(2) and Articles 173(3), 182(1), 183 and 188 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0252/2018), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
having regard to the letter from its President to the committee chairs of 25 January 2019 outlining the Parliament's approach to the Multiannual Financial Framework (MFF) post-2020 sectorial programmes, |
— |
having regard to the letter from the Council to the President of the European Parliament of 1 April 2019 confirming the common understanding reached between the co-legislators during negotiations, |
— |
having regard to Rule 59 of its Rules of Procedure, |
— |
having regard to the report of the Committee on Industry, Research and Energy and the opinions of the Committee on Development, the Committee on Budgets, the Committee on Budgetary Control, the Committee on the Environment, Public Health and Food Safety, the Committee on Transport and Tourism, the Committee on Regional Development, the Committee on Agriculture and Rural Development and the Committee on Culture and Education (A8-0401/2018), |
1. |
Adopts its position at first reading hereinafter set out (1); |
2. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
3. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
(1) This position replaces the amendments adopted on 12 December 2018 (Texts adopted, P8_TA(2018)0509).
P8_TC1-COD(2018)0224
Position of the European Parliament adopted at first reading on 17 April 2019 with a view to the adoption of Regulation (EU) …/… of the European Parliament and of the Council establishing Horizon Europe — the Framework Programme for Research and Innovation, laying down its rules for participation and dissemination
(Text with EEA relevance)
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on the Functioning of the European Union, and in particular Article 173(3), Article 182(1), Article 183, and the second paragraph of Article 188 thereof,
Having regard to the proposal from the European Commission,
After transmission of the draft legislative act to the national parliaments,
Having regard to the opinion of the European Economic and Social Committee (1),
Having regard to the opinion of the Committee of the Regions (2),
Acting in accordance with the ordinary legislative procedure (3),
Whereas:
(1) |
It is the Union's objective to strengthen its scientific excellence and technological bases in which researchers, scientific knowledge and technology circulate freely and encourage its competitiveness, including in its industry, to strengthen the European Research Area while promoting all research and innovation activities to deliver on the Union's strategic priorities, and commitments which ultimately aim at promoting peace, the Union's values and the well-being of its peoples. |
(2) |
To deliver scientific, economic and societal impact in pursuit of this general objective and maximise the Union’s added value of its RDI investments, the Union should invest in research and innovation through Horizon Europe — a Framework Programme for Research and Innovation 2021-2027 (the ‘Programme’) to support the creation ▌ diffusion and transfer of high-quality knowledge and technologies in the Union , to strengthen the impact of research and innovation in addressing global challenges including the Sustainable Development Goals and climate change, and in developing, supporting and implementing Union policies, to support the uptake of innovative and sustainable solutions in the Union’s industry and society to create jobs and boost economic growth and industrial competitiveness; The Programme should foster all forms of innovation, ▌ strengthen market deployment of innovative solutions; and optimise the delivery of investments . |
(2a) |
The Programme should contribute to increasing public and private investment in R&I in Member States thereby helping to reach an overall investment of at least 3 % of the Union’s GDP in research and development. The achievement of the target will require Member States and the private sector to complement the Programme with their own and reinforced investment actions in research, development and innovation. |
(2b) |
In view of achieving the objectives of this Programme and whilst respecting the principle of excellence, the Programme should aim to strengthen, among others, collaborative links in Europe, thereby contributing to reducing the R&I divide. |
(3) |
The promotion of research and innovation activities deemed necessary to help realise Union policy objectives should take into account the innovation principle ▌ a key driver in turning faster and more intensively the Union’s substantial knowledge assets into innovations . |
(4) |
The continuation of ‘ Open Science, Open Innovation, Open to the World ’ while safeguarding the Union’s scientific and socio-economic interests should ensure excellence and impact of the Union's investment in research and innovation. and strengthen the R&I capacity of all Member States. That should ▌ lead to a balanced implementation of the Programme▌. |
(5) |
Open science ▌ has the potential to increase the quality, impact and benefits of science and to accelerate the advancement of knowledge by making it more reliable, more efficient and accurate, better understandable by society and responsive to societal challenges. Provisions should be laid down to ensure that beneficiaries provide open access to peer-reviewed scientific publications, research data and other research outputs in an open and non-discriminatory manner, free of charge and as early as possible in the dissemination process, and to enable their widest possible use and re-use. As far as research data is concerned, the principle should be ‘as open as possible, as closed as necessary’, thereby ensuring the possibility of exceptions taking into consideration the Union’s socio-economic interest, intellectual property rights, personal data protection and confidentiality, security concerns and other legitimate interests. More emphasis should ▌ be given to the responsible management of research data, which should comply with the FAIR principles of ‘Findability’, ‘Accessibility’, ‘Interoperability’ and ‘Reusability’, notably through the mainstreaming of Data Management Plans. Where appropriate, beneficiaries should make use of the possibilities offered by the European Open Science Cloud and the European Data Infrastructure and adhere to further open science principles and practices. Reciprocal open access should be encouraged in international S&T cooperation agreements and in relevant association agreements. |
(5a) |
SME beneficiaries are encouraged to make use of the existing instruments such as IPR SME Helpdesk that supports European Union small and medium sized enterprises to both protect and enforce their Intellectual Property (IP) rights through the provision of free information and services, in the form of confidential advice on intellectual property and related issues, plus training, materials and online resources. |
(6) |
The conception and design of the Programme should respond to the need for establishing a critical mass of supported activities, throughout the ▌ Union and through international cooperation , while encouraging the participation of all Member States in the Programme , in line with the UN Sustainable Development Goals (SDGs) and the Paris Agreement . Programme implementation should reinforce the pursuit of this aim. |
(7) |
Activities supported under the Programme should contribute towards the achievement of the Union's and the Programme’s objectives, ▌priorities and commitments , the monitoring and assessment of progress against those objectives ,▌ priorities and commitments and for the development of revised or new priorities. |
( 7a ) |
The Programme should seek alignment with already existing European research and innovation roadmaps and strategies. |
(8) |
The Programme should maintain a balanced approach between bottom-up (investigator or innovator driven) and top-down (determined by strategically defined priorities) funding, according to the nature of the research and innovation communities that are engaged across the Union , the success rates per area of intervention, the types and purpose of the activities carried out , the subsidiarity principle and the impacts that are sought. The mix of these factors should determine the choice of approach for the respective parts of the Programme, all of which contribute to all of the Programme’s general and specific objectives. |
(8-a) |
The overall budget for the Widening participation and spreading excellence strand of the ‘Widening participation and strengthening the European Research Area’ part of Horizon Europe should be at least 3,3 % of the overall Horizon Europe budget. This budget should mainly benefit legal entities in the widening countries. |
(8-b) |
Excellence Initiatives should aim to strengthen research and innovation excellence in the eligible countries, including for instance supporting training to improve R&I managerial skills, prizes, strengthening innovation ecosystems as well as the creation of R&I networks, including on the basis of research infrastructures financed by the EU. Applicants need to clearly show that projects are linked with national and/or regional R&I strategies to be able to apply for funding under the widening participation and spreading excellence of the ‘Widening participation and strengthening the European Research Area’ part of Horizon Europe. |
(8 a ) |
A number of research and innovation actions should apply a Fast Track to Research and Innovation logic where time-to-grant should not exceed six months. This should allow a faster, bottom-up access to funds for small collaborative consortia covering actions from fundamental research to market application. |
(8b) |
The Programme should support all stages of research and innovation especially within collaborative projects. Fundamental research is an essential asset and an important condition for increasing the Union’s ability to attract the best scientists in order to become a global hub of excellence. The balance between basic and applied research should be ensured. Coupled with innovation, this will support the Union’s economic competitiveness, growth and jobs. |
(8c) |
In order to maximise the impact of Horizon Europe particular consideration should be given to multidisciplinary, interdisciplinary and transdisciplinary approaches as necessary elements for major scientific progress. |
(8d) |
The engagement with society is to be fostered through responsible research and innovation as a cross-cutting element with a view to build effective cooperation between science and society. It would allow all societal actors (researchers, citizens, policy makers, business, third sector organisations etc.) to work together during the whole research and innovation process in order to better align both the process and its outcomes with the values, needs and expectations of European society. |
(9) |
Research activities carried out under the pillar ‘' Excellent and Open Science’ should be determined according to the needs and opportunities of science. The research agenda should be set in close liaison with the scientific community and include emphasis on attracting new R&I talents, young researchers, while strengthening the ERA and avoiding brain drain. Research should be funded on the basis of excellence. |
(10) |
The pillar ‘Global Challenges and European Industrial Competitiveness’ should be established through clusters of research and innovation activities, in order to maximise integration across the respective work areas while securing high and sustainable levels of impact for the Union in relation to the resources that are expended. It will encourage cross-disciplinary, cross-sectoral, cross-policy and cross-border collaboration in pursuit of the UN SDGs and the Union’s commitments under the Paris Agreement and where needed to address societal challenges, and the competitiveness of the Union's industries therein. The activities under this pillar should cover the full range of research and innovation activities including R&D, piloting, demonstration, and support for public procurement, pre-normative research and standard setting, and market uptake of innovations to ensure that Europe stays at the cutting-edge of research in strategically defined priorities. |
(11) |
Full and timely engagement of industry in the Programme, at all levels from the individual entrepreneur and small and medium-sized enterprises to large scale enterprises, should ▌ specifically towards the creation of sustainable jobs and growth. ▌ |
(12) |
It is important to support the Union’s industry to stay or become world leader in innovation, digitisation and decarbonisation, notably through investments in key enabling technologies that will underpin tomorrow's business. Key Enabling Technologies (KETs) are set to play a central role in Pillar II ‘Global Challenges and European Industrial Competitiveness’ and should be further connected to the Future and Emerging Technologies (FET) Flagships to allow research projects to cover the whole innovation chain. The Programme's actions should reflect the Union’s Industrial Policy Strategy so as to address market failures or sub-optimal investment situations , to boost investments in a proportionate and transparent manner, without duplicating or crowding out private financing and have a clear European added value and public return on investments . This will ensure consistency between the actions of the programme and EU RDI State aid rules, which should be revised in order to incentivise innovation . |
(13) |
The Programme should support research and innovation in an integrated manner, respecting all relevant provisions of the World Trade Organisation. The concept of research, including experimental development should be used in accordance with the Frascati Manual developed by the OECD, whereas the concept of innovation should be used in accordance with the Oslo Manual developed by the OECD and Eurostat, following a broad approach that covers social innovation , design and creativity . The OECD definitions regarding Technological Readiness Level (TRL) should be taken into account , as in the previous Framework Programme Horizon 2020 ▌. The work programme for a given call under the pillar ‘Global Challenges and Industrial European Competitiveness’ could allow grants for large-scale product validation and market replication. |
(14) |
The Commission's Communication on the interim evaluation of Horizon 2020 (COM(2018)0002) and the European Parliament’s report on the assessment of the implementation of Horizon 2020 in view of its interim evaluation and the Framework Programme 9 proposal (2016/2147(INI)) have provided a set of recommendations for this Programme, including its Rules for participation and dissemination, building on the lessons learnt from the previous Programme as well as input from EU institutions and stakeholders. Those recommendations include to invest more ambitiously in order to reach critical mass and maximise impact; to support breakthrough innovation; to prioritise Union research and innovation (R&I) investments in areas of high added value, notably through mission-orientation, full, well-informed and timely citizen involvement and wide communication; to rationalise the Union funding landscape, in order to fully use the R&I potential of all Member States including by streamlining the range of partnership initiatives and co-funding schemes; the development of more and concrete synergies between different Union funding instruments, notably with the aim of helping to mobilise under-exploited R&I potential across the Union; to better involve research infrastructures financed by the Union — especially from ERDF — into the Programme’s projects, to strengthen international cooperation and reinforce openness to third countries' participation while safeguarding the Union interest and broadening the participation of all Member States in the Programme ; and to continue simplification based on implementation experiences from Horizon 2020. |
(15) |
Cohesion policy should continue to contribute to research and innovation. Therefore, special attention needs to be paid to the coordination and complementarity between the two Union policies. The Programme should seek alignment of rules and synergies with other Union programmes as referred to in Annex IV to this Regulation , from their design and strategic planning, to project selection, management, communication, dissemination and exploitation of results, to monitoring, auditing and governance. With a view to avoiding overlaps and duplication and increasing the leverage of Union funding, as well as decreasing administrative burden for the applicants and the beneficiaries, all types of synergies should follow the principle ‘one action follows one set of rules’:
|
(16) |
In order to achieve the greatest possible impact of Union funding and the most effective contribution to the Union's policy objectives and commitments , the Programme may enter into European Partnerships with private and/or public sector partners , on the basis of the outcome of the Strategic Planning . Such partners include public and private research and innovation stakeholders, competence centres, business incubators, science and technology parks, bodies with a public service foundations and civil society organisations and regional innovation ecosystems, where appropriate that support and/or carry out research and innovation, provided that desired impacts can be achieved more effectively in partnership than by the Union alone. |
(17) |
The Programme should strengthen cooperation between European Partnerships and private and/or public sector partners at the international level including by joining up research and innovation programmes and cross-border investment in research and innovation bringing mutual benefits to people and businesses while ensuring that the Union can uphold its |
(17a) |
‘FET Flagships’ have proven to be an effective and efficient instrument, delivering benefits for society in a joint, coordinated effort by the Union and its Member States. Activities carried out within the FET Flagships on Graphene, the Human Brain Project and Quantum Technology, which are supported under Horizon 2020, will continue being supported under Horizon Europe through calls for proposals included in the work programme. Preparatory actions supported under the FET Flagships part of Horizon 2020 will feed the Strategic Planning process under Horizon Europe and inform the work on missions, co-funded/co-programmed partnerships and regular calls for proposals. |
(18) |
The Joint Research Centre (JRC) should continue to provide Union policies with independent customer-driven scientific evidence and technical support throughout the whole policy cycle. The direct actions of the JRC should be implemented in a flexible, efficient and transparent manner, taking into account the relevant needs of the users of the JRC , the budgetary constraints and the needs of Union policies, and ensuring the protection of the financial interests of the Union. The JRC should continue to generate additional resources. |
(19) |
The pillar ‘ Innovative Europe ’ should establish a series of measures for integrated support to the needs of entrepreneurs and research-driven entrepreneurship aiming at realising and accelerating breakthrough innovation for rapid market growth as well as promoting the Union’s technological autonomy in strategic areas . It should attract innovative companies , including SMEs and start-ups, with potential for scaling up at international and at Union level and offer fast, flexible grants and co-investments, including with private investors. These objectives should be pursued through the creation of a European Innovation Council (EIC). This Pillar should also support the European Institute of Innovation and Technology (EIT)) , the EIT Regional Innovation Scheme and European innovation ecosystems at large , throughout the Union , notably through co-funding partnerships with national and regional innovation support actors , both public and private . |
(20) |
In order to address the need to support investment in higher-risk and non-linear activities such as research and innovation, it is essential that Horizon Europe, in particular the EIC, as well as the EIT with its KICs, work in synergy with the financial products to be deployed under InvestEU. In that regard, the experience gained from the financial instruments deployed under Horizon 2020 such as InnovFin and the loan guarantee for SMEs, should serve as a strong basis to deliver this targeted support EIC should develop strategic intelligence and real time evaluation activities in order to timely manage and coordinate its various actions . |
(21) |
The EIC, together with other parts of the Horizon Europe, should stimulate all forms of innovation ranging from incremental to breakthrough and disruptive innovation targeting especially market-creating innovation. The EIC through its instruments — Pathfinder and Accelerator — should aim to identify, develop and deploy high risk innovations of all kinds including incremental with a main focus on breakthrough, disruptive and deep-tech innovations that have the potential to become market-creating innovations . Through coherent and streamlined support, the EIC should fill the current vacuum in public support and private investment for breakthrough innovation. The instruments of the EIC call for dedicated legal and management features in order to reflect its objectives, in particular market deployment activities. |
(21a) |
Within the meaning of this Regulation and in particular for the activities carried out under the EIC, a start-up is an SME in the early stage in its life cycle (including university spin-offs), which aims at innovative solutions and a scalable business model, and which is autonomous within the meaning of Article 3 of the Annex of Commission Recommendation 2003/361/EC (4) ; and a ‘mid-cap’ is a company that is not a micro, small- and medium-sized enterprise as defined in Commission Recommendation 2003/361/EC and that has a number of employees between 250 and 3 000 where the staff headcount is calculated in accordance with Articles 3, 4, 5, and 6 of Title I of the Annex of that Recommendation; a small mid-cap is a mid-cap that has a number of employees up to 499 . |
(22) |
Through EIC blended finance, the EIC Accelerator should bridge the ‘valley of death’ between research, pre-mass commercialisation and the scaling-up of companies. In particular, the Accelerator should provide support to operations presenting such technological or market risks that they are not considered as bankable and cannot leverage significant investments from the market, hence complementing the InvestEU programme established by Regulation … (5). |
(22a) |
SMEs constitute a significant source of innovation and growth in Europe. Therefore, a strong participation of SMEs as defined in Commission Recommendation 2003/361/EC is needed in Horizon Europe. Building on best practices from Horizon 2020, Horizon Europe should continue to encourage SMEs participation to the Framework Programme in an integrated manner. |
(22b) |
While blended finance should be the main use of the EIC Accelerator budget, for the purpose of article 43, the grant-only support of the EIC Accelerator to SMEs, including start-ups, should correspond to that under the SME instrument budget of the previous Framework Programme Horizon 2020 established by Regulation (EU) No 1291/2013 of the European Parliament and the Council (6). |
(22c) |
In close synergy with InvestEU, the EIC Accelerator, in its blended finance and equity financial support forms, should finance SMEs, including start-ups, and, in exceptional cases, projects run by small mid-caps, which are either not yet able to generate revenues, or not yet profitable, or not yet able to attract sufficient investments to implement fully their projects' business plan. Such eligible entities will be considered as non-bankable, while a part of their investment needs could have been or could be provided by one or several investors such as a private or public bank, a family office, a venture capital fund, a business angel, etc. In this way, overcoming a market failure, the EIC Accelerator will finance promising but not yet bankable entities carrying out breakthrough market creating innovation projects. Once they will become bankable, those projects may, in a later stage of their development, be financed under InvestEU. |
(23) |
The EIT, primarily through its Knowledge and Innovation Communities (KICs) and the EIT Regional Innovation Scheme should aim at strengthening innovation ecosystems for the development of an overall Union capacity for innovation that tackle global challenges, by fostering the integration of business, research, higher education and entrepreneurship. In line with its founding act, the EIT Regulation (7) and the Strategic Innovation Agenda of the EIT (8), the EIT should foster innovation in its activities and should support the integration of higher education within the innovation ecosystem, in particular by: stimulating entrepreneurial education, fostering strong non-disciplinary collaborations between industry and academia; and identifying prospective skills for future innovators to address global challenges, which includes advanced digital and innovation skills. Support schemes provided by the EIT should benefit to EIC beneficiaries, while start-ups emerging from EIT KICs should have fast-track access to EIC actions. While the EIT’s focus on innovation ecosystems should make it naturally fit within the pillar ‘ Innovative Europe ’ , it should also support all other pillars, as appropriate , the planning of its KICs should be aligned through the strategic planning process with the pillar ‘Global Challenges and European Industrial Competitiveness’. Duplication between KICs and other instruments in the same field, in particular other Partnerships, should be avoided. |
(24) |
Ensuring and preserving a level playing field for companies that compete in a given market should be a key requirement for breakthrough or disruptive innovation to flourish thereby enabling in particular small and medium-size innovators to reap the benefits of their investment and to capture a share of the market. Similarly, a certain degree of openness in the innovation scale of funded actions — addressing a large network of beneficiaries — may contribute substantially to the building capacity of SMEs, as it provides them with the necessary means to attract investments and to thrive. |
(25) |
The Programme should promote and integrate cooperation with third countries and international organisations and initiatives based on Union’s interest, and mutual benefits and global commitments to implement the UN SDGs. International cooperation should aim to strengthen the Union's excellence in research and innovation ▌, attractiveness and economic and industrial competitiveness, to tackle global challenges, as embodied in the UN SDGs, and to support the Union's external policies. An approach of general opening for excellence in international participation and targeted international cooperation actions should be followed, ▌ appropriate eligibility criteria, considering different levels of R&I capacities, for funding of entities established in low to middle income countries need to be applied . At the same time, association of third countries to the Programme should be promoted where reciprocity is envisaged and where Union’s interest is safeguarded and increased participation of all Member States in the Programme is promoted . |
(26) |
With the aim of deepening the relationship between science and society and maximising benefits of their interactions, the Programme should engage and involve citizens and civil society organisations in co-designing and co-creating responsible research and innovation (RRI) agendas and contents, that meet citizens’ and civil society’s concerns, needs and expectations, promoting science education, making scientific knowledge publicly accessible, and facilitating participation of citizens and civil society organisations in its activities. The measures taken to improve the involvement of citizens and civil society should be monitored. |
(26a) |
Horizon Europe should support new technologies which contribute to overcoming obstacles, that prevent the access and the full participation of persons with disabilities and which consequently restrain the development of a truly inclusive society. |
(27) |
Pursuant to Article 349 of the TFEU, the Union's outermost regions are entitled to specific measures (taking into account their structural, social and economic situation) regarding access to horizontal Union programmes. The Programme should therefore take into account the specific characteristics of those regions in line with the Commission's Communication on ‘A stronger and renewed strategic partnership with the EU's outermost regions’ (COM(2017)0623) as endorsed by the Council on 12 April 2018 and where possible promote their participation in the Programme. |
(28) |
The activities developed under the Programme should aim at eliminating gender inequalities , avoiding gender bias, adequately integrating the gender dimension in research and innovation content, aiming at enhancing work-life balance, promoting equality between women and men including equal pay principles as referred to in Article 141(3) of the TFEU and in Directive 2006/54/EC on the implementation of the principle of equal opportunities and equal treatment of men and women in matters of employment and occupation, as well as ensuring accessibility of researchers with disabilities to research and innovation. ▌ |
(29) |
In light of the specificities of the defence industry sector, the detailed provisions for Union funding to defence research projects should be fixed in the Regulation … establishing the European Defence Fund (9) which defines the rules of participation for defence research. Although synergies between Horizon Europe and the European Defence Fund could be encouraged while avoiding duplication, actions under Horizon Europe should have an exclusive focus on civilian applications. |
(30) |
This Regulation lays down a financial envelope for the Programme. The amount indicated for the specific programme referred to in Article 1(3)(a) is to constitute the prime reference amount, within the meaning of [reference to be updated as appropriate according to the new inter-institutional agreement: point 17 of the Interinstitutional Agreement of 2 December 2013 between the European Parliament, the Council and the Commission on budgetary discipline, on cooperation in budgetary matters and on sound financial management (10)], for the European Parliament and the Council during the annual budgetary procedure. |
(31) |
Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council (the ‘Financial Regulation’) (11) applies to this Programme, unless otherwise specified. It lays down rules on the implementation of the Union budget, including the rules on grants, prizes, procurement, indirect implementation, financial assistance, financial instruments and budgetary guarantees. |
(31a) |
Administrative simplification, in particular the reduction of the administrative burden for beneficiaries should be continuously sought throughout the Programme. The Commission should further simplify its tools and guidance in such a way that they impose a minimal burden on beneficiaries. In particular, the Commission should consider issuing an abridged version of the guidance. |
(31b) |
In order to ensure that Europe remains at the forefront of global research and innovation in the digital field and to take account of the necessity to step up investments to benefit from the growing opportunities of digital technologies, sufficient budget should be allocated to core digital priorities. |
(32) |
In accordance with the Financial Regulation, Regulation (EU, Euratom) No 883/2013 of the European Parliament and of the Council (12), Council Regulation (Euratom, EC) No 2988/95 (13),Council Regulation (Euratom, EC) No 2185/96 (14) and Council Regulation (EU) 2017/1939 (15), the financial interests of the Union are to be protected through proportionate measures, including the prevention, detection, correction and investigation of irregularities, including fraud, the recovery of funds lost, wrongly paid or incorrectly used and, where appropriate, the imposition of administrative sanctions. In particular, in accordance with Regulation (EU, Euratom) No 883/2013 and Regulation (Euratom, EC) No 2185/96 the European Anti-Fraud Office (OLAF) may carry out administrative investigations, including on-the-spot checks and inspections, with a view to establishing whether there has been fraud, corruption or any other illegal activity affecting the financial interests of the Union. In accordance with Regulation (EU) 2017/1939, the European Public Prosecutor's Office (EPPO) may investigate and prosecute fraud and other criminal offences affecting the financial interests of the Union as provided for in Directive (EU) 2017/1371 of the European Parliament and of the Council (16). In accordance with the Financial Regulation, any person or entity receiving Union funds is to fully cooperate in the protection of the Union’s financial interests, to grant the necessary rights and access to the Commission, OLAF, the EPPO and the European Court of Auditors (ECA) and to ensure that any third parties involved in the implementation of Union funds grant equivalent rights. |
(33) |
Pursuant to [reference to be updated as appropriate according to a new decision on OCTs: Article 94 of Council Decision 2013/755/EU (17)], persons and entities established in overseas countries and territories (OCTs) are eligible for funding subject to the rules and objectives of the Programme and possible arrangements applicable to the Member State to which the relevant overseas country or territory is linked. The Programme should take due account of the specific features of those territories in order to ensure their effective participation and to support cooperation and synergies, particularly in the outermost regions as well as with third countries in their neighbourhood. |
(34) |
Pursuant to paragraph 22 and 23 of the Inter-institutional agreement for Better Law-Making of 13 April 2016, there is a need to evaluate this Programme on the basis of information collected through specific monitoring requirements, while avoiding overregulation and administrative burdens, in particular on Member States and beneficiaries under the Programme. These requirements, where appropriate, can include measurable indicators, as a basis for evaluating the effects of the Programme on the ground. |
(35) |
In order to be able to supplement or amend the impact pathway indicators, where considered necessary, the power to adopt acts in accordance with Article 290 of the Treaty on the Functioning of the European Union should be delegated to the Commission. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. |
(36) |
Coherence and synergies between Horizon Europe and the EU's Space Programme will foster a globally competitive and innovative European space sector; reinforce Europe’s autonomy in accessing and using space in a secure and safe environment; and strengthen Europe’s role as a global actor. Breakthrough solutions in Horizon Europe will be supported by data and services made available by the Space Programme. |
(36a) |
The work programme should take into account the outcome of specific previous projects and the state of science, technology and innovation at national, Union and international level and of relevant policy, market and societal developments, for a particular action to be funded. |
(37) |
The rules for participation and dissemination should adequately reflect the needs of the Programme taking into account the concerns raised and the recommendations made by various stakeholders. |
(38) |
Common rules and requirement across the Programme should ensure simplified and common implementing tools including for monitoring and reporting an a coherent framework which facilitates participation in programmes financially supported by the budget of the Programme, including participation in programmes managed by funding bodies such as the EIT, joint undertakings or any other structures under Article 187 TFEU, and participation in programmes undertaken by Member States pursuant to Article 185 TFEU. Adopting specific rules should be possible but exceptions must be limited to when strictly necessary and duly justified. |
(39) |
Actions which fall within the scope of the Programme should respect fundamental rights and observe the principles acknowledged in particular by the Charter of Fundamental Rights of the European Union. Such actions should be in conformity with any legal obligation including international law and with any relevant Commission decisions such as the Commission notice of 28 June 2013 (18), as well as with ethical principles, which include avoiding any breach of research integrity. The opinions of the European Group on Ethics in Science and New Technologies, the European Union Agency for Fundamental Rights and the European Data Protection Supervisor should be taken into account. Article 13 TFEU should also be taken into account in research activities, and the use of animals in research and testing should be reduced, with a view ultimately to replacing their use. |
(40) |
In line with the objectives of international cooperation as set out in Articles 180 and 186 TFEU, the participation of legal entities established in third countries and of international organisations should be promoted in the Union’s scientific, societal, economic and technological interests . The implementation of the Programme should be in conformity with the measures adopted in accordance with Articles 75 and 215 TFEU and should be in compliance with international law. For actions related to Union strategic assets, interests, autonomy or security, the participation to specific actions of the Programme may be limited to entities established in Member States only, or to entities established in specified associated or other third countries in addition to Member States. |
(41) |
Acknowledging climate change as one of the biggest global and societal challenges and reflecting the importance of tackling climate change in line with the Union's commitments to implement the Paris Agreement and the United Nations Sustainable Development Goals, this Programme will contribute to mainstream climate actions and to the achievement of an overall target of at least 25 % of the EU budget expenditures supporting climate objectives over the MFF 2021-2027 period, and an annual target of 30 % as soon as possible and at the latest by 2027 . Climate mainstreaming shall be adequately integrated in research and innovation content and applied at all stages of the research cycle. |
(41a) |
In the context of the impact pathway related to climate, the Commission will report on outputs, innovations and aggregated estimated effects of projects that are climate-relevant, including by Programme part and by implementation mode. In its analysis the Commission should take account of the long-term economic, societal and environmental costs and benefits to European citizen resulting from Programme activities including the uptake of innovative climate mitigation and adaptation solutions, estimated impacts on jobs and company creation, economic growth in and competitiveness, clean energy, health to well-being (including air, soil and water quality). The results of this impact analysis should be made public, assessed in the context of Europe’s climate and energy goals and feedback into the subsequent strategic planning process and future work programmes. |
(42) |
Horizontal financial rules adopted by the European Parliament and the Council on the basis of Article 322 of the Treaty on the Functioning of the European Union apply to this Regulation. These rules are laid down in the Financial Regulation and determine in particular the procedure for establishing and implementing the budget through grants, procurement, prizes, indirect implementation, and provide for checks on the responsibility of financial actors. Rules adopted on the basis of Article 322 TFEU also concern the protection of the Union's budget in case of generalised deficiencies as regards the rule of law in the Member States, as the respect for the rule of law is an essential precondition for sound financial management and effective EU funding. |
(43) |
Use of sensitive background information or access by unauthorized individuals to sensitive results and research data may have an adverse impact on the interests of the Union or of one or more of the Member States. Thus handling of confidential data and classified information should be governed by all relevant Union law, including the Institutions' internal rules, such as Commission Decision (EU, Euratom) 2015/444 (19), which lays down the provisions on security rules for protecting EU classified information. |
▌ |
|
(45) |
It is necessary to establish the terms and conditions for providing Union funding to participants in actions under the Programme. Grants will be the main type of financing within the Programme. Other types of financing should be chosen on the basis of their ability to achieve the specific objectives of the actions and to deliver results, taking into account in particular the costs of controls, the administrative burden, and the expected risk of non-compliance. For grants, this should include a consideration of the use of lump sums, flat rates and scales of unit costs as set out in the Financial Regulation ▌, with a view to further simplification. Before any new costs reimbursement system could be deemed a real simplification for the beneficiaries, it should be preceded by an extensive and positive evaluation. |
▌ |
|
(47) |
In accordance with Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council ( the ‘Financial Regulation’) (20), the Programme should provide the basis for a wider acceptance of the usual cost accounting practices of the beneficiaries as regards personnel costs and unit costs for internally invoiced goods and services (including for large research infrastructures as understood under Horizon 2020) . The use of unit costs for internally invoiced goods and services calculated in accordance with the usual accounting practices of the beneficiaries combining actual direct costs and indirect costs should be an option which could be chosen by all beneficiaries. In this respect, beneficiaries should be able to include actual indirect costs calculated on the basis of allocation keys in such unit costs for internally invoiced goods and services. |
(48) |
The current system of reimbursement of actual personnel costs should be further simplified building on the project-based remuneration approach developed under Horizon 2020 and further aligned to the Financial Regulation , aiming to reduce the remuneration gap between EU researchers involved in the Programme . |
(49) |
The participant Guarantee Fund set up under Horizon 2020 and managed by the Commission has proved to be an important safeguard mechanism which mitigates the risks associated with the amounts due and not reimbursed by defaulting participants. Therefore, the Beneficiary Guarantee Fund, renamed Mutual Insurance Mechanism (‘the Mechanism’) should be continued and enlarged to other funding bodies in particular to initiatives pursuant to Article 185 of the TFEU. The Mechanism should be opened to beneficiaries of any other directly managed Union programme. |
(50) |
Rules governing the exploitation and dissemination of results should be laid down to ensure that beneficiaries protect, exploit, disseminate and provide access to those results as appropriate. More emphasis should be given to exploiting results and the Commission should identify and help maximise opportunities for beneficiaries to exploit results, in particular in the Union. Exploitation should be in consideration of the principles of this programme, including promoting innovation in the Union and strengthening the European Research Area. |
(51) |
The key elements of the proposal evaluation and selection system of the predecessor programme Horizon 2020 with its particular focus on excellence , ‘impact’ and ‘quality and efficiency of implementation’ criteria should be maintained. Proposals should continue to be selected based on the evaluation made by independent experts stemming from as many Member States as possible. The Commission should organise anonymous evaluation where appropriate and analyse its results in order to avoid selection bias . Where relevant, the necessity to ensure the overall coherence of the portfolio of projects should be taken into account by independent experts . |
(52) |
Systematic cross-reliance on audits and assessments — ▌with other Union programmes — should be implemented in accordance with Article 127 of the Financial Regulation for all parts of the Programme, in order to reduce administrative burden for beneficiaries of Union funds. Cross reliance should be explicitly provided for by considering also other elements of assurance such as systems and processes audits. |
(53) |
Specific challenges in the areas of research and innovation should be addressed by prizes, including through common or joint prizes where appropriate, organised by the Commission or funding body with other Union bodies, third countries, international organisations or non-profit legal entities. In particular, prizes should be awarded to projects attracting scientists to widening countries as well as to successful projects to increase their visibility and allow to increase the promotion of Union funded actions. |
(54) |
▌ Financing types and the methods of implementation under this Regulation shall be chosen on the basis of their ability to achieve the specific objectives of the actions and to deliver results, taking into account, in particular, the costs of controls, the administrative burden, and the expected risk of non-compliance. This should include consideration of the use of lump sums, flat rates and scales of unit costs, |
HAVE ADOPTED THIS REGULATION:
TITLE I
GENERAL PROVISIONS
Article 1
Subject matter
1. This Regulation establishes Horizon Europe — the Framework Programme for Research and Innovation (‘the Programme’) and the rules for participation and dissemination in indirect actions under the Programme and determines the framework governing Union support to research and innovation activities .
2. It lays down the objectives of the Programme, the budget for the period 2021 — 2027, the forms of Union funding and the rules for providing such funding.
3. The Programme shall be implemented through:
(a) |
the specific programme established by Decision …/…/EU (21) ▌; |
(aa) |
a financial contribution to the EIT established by Regulation (EC) No 294/2008; |
(b) |
the specific programme on defence research established by Regulation …/…/EU Regulation of the Euopean Parliament and of the Council establishing the European Defence Fund. |
4. The terms ‘Horizon Europe’, ‘the Programme’ and ‘specific programme’ used in this Regulation address matters relevant only to the specific programme described in paragraph 3(a), unless otherwise explicitly stated.
The EIT shall implement the Programme in line with its strategic objectives for the period 2021-2027, as laid down in the Strategic Innovation Agenda of the EIT, taking into account the strategic planning.
Article 2
Definitions
For the purposes of this Regulation, the following definitions apply:
(1) |
‘research infrastructures’ mean facilities that provide resources and services for the research communities to conduct research and foster innovation in their fields. This definition includes the associated human resources, and it covers major equipment or sets of instruments; knowledge-related facilities such as collections, archives or scientific data infrastructures; computing systems, communication networks, and any other infrastructure, of a unique nature and open to external users, essential to achieve excellence in research and innovation. Where relevant, they may be used beyond research, for example for education or public services and they may be ‘single sited’, ‘virtual’ or ‘distributed’; |
(2) |
‘smart specialisation strategy’ has the same meaning as smart specialisation strategy as defined in Regulation (EU) No 1303/2013 of the European Parliament and of the Council (22) and fulfilling the enabling conditions set out in Regulation (EU) XX [Common Provisions Regulation]; |
(3) |
‘European Partnership’ means an initiative where the Union, prepared with early involvement of Member States and/or Associated Countries , together with private and/or public partners (such as industry , universities , research organisations, bodies with a public service mission at local, regional, national or international level or civil society organisations including foundations and NGOs ), commit to jointly support the development and implementation of a programme of research and innovation activities, including those related to market, regulatory or policy uptake; |
(4) |
‘open access’ means the practice of providing online access to research outputs resulting from actions funded under the Programme, ▌free of charge to the end-user, in accordance with Article 10 and 35(3) of this Regulation ; |
(4a) |
‘open science’ means an approach to the scientific process based on open cooperative work, tools and diffusing knowledge, including the elements of article 10. |
(5) |
‘mission’ means a portfolio of excellence-based and impact-driven R&I actions across disciplines and sectors, intended to:
|
(6) |
‘pre-commercial procurement’ means the procurement of research and development services involving risk-benefit sharing under market conditions, and competitive development in phases, where there is a clear separation of the research and development services procured from the deployment of commercial volumes of end-products; |
(7) |
‘public procurement of innovative solutions’ means procurement where contracting authorities act as a launch customer for innovative goods or services which are not yet available on a large-scale commercial basis, and may include conformity testing. |
(8) |
‘access rights’ means rights to use results or background under terms and conditions laid down in accordance with this Regulation; |
(9) |
‘background’ means any data, know-how or information whatever its form or nature, tangible or intangible, including any rights such as intellectual property rights, that is: (i) held by beneficiaries prior to their accession to the action; and (ii) identified by the beneficiaries in a written agreement as needed for implementing the action or for exploiting its results; |
(10) |
‘dissemination’ means the public disclosure of the results by appropriate means (other than resulting from protecting or exploiting the results), including by scientific publications in any medium; |
(11) |
‘exploitation’ means the use of results in further research and innovation activities other than those covered by the action concerned, including inter alia, commercial exploitation such as developing, creating, manufacturing and marketing a product or process, ▌creating and providing a service, or in standardisation activities; |
(12) |
‘fair and reasonable conditions’ means appropriate conditions, including possible financial terms or royalty-free conditions, taking into account the specific circumstances of the request for access, for example the actual or potential value of the results or background to which access is requested and/or the scope, duration or other characteristics of the exploitation envisaged; |
(13) |
‘funding body’ means a body or organisation, other than the Commission, as referred to in point (c) of Article 62(1) of the Financial Regulation, to which the Commission has entrusted budget implementation tasks under the Programme; |
(14) |
‘international European research organisation’ means an international organisation, the majority of whose members are Member States or associated countries, and whose principal objective is to promote scientific and technological cooperation in Europe; |
(15) |
‘legal entity’ means any natural or legal person created and recognised as such under national law, Union law or international law, which has legal personality and which may, acting in its own name, exercise rights and be subject to obligations, or an entity without a legal personality in accordance with Article 197(2)(c) of the Financial Regulation; |
(15a) |
‘widening countries’/‘low R&I performing countries’ means those countries where legal entities need to be established in order to be eligible as coordinators under ‘widening participation and spreading excellence’ strand of the Widening Participation and Strengthening ERA’ part of Horizon Europe. From the EU Member States, these countries are Bulgaria, Croatia, Cyprus, Czech Republic, Estonia, Greece, Hungary, Latvia, Lithuania, Malta, Poland, Portugal, Romania, Slovakia and Slovenia, for the whole duration of the Programme. For associated countries, the list of eligible countries will be defined based on an indicator and published in the Work Programme. On the basis of Article 349 TFEU, legal entities from Outermost Regions will be also fully eligible as coordinators under this strand. |
(16) |
‘non-profit legal entity’ means a legal entity which by its legal form is non-profit-making or which has a legal or statutory obligation not to distribute profits to its shareholders or individual members; |
(16a) |
‘SME’ means micro-, small- and medium-sized enterprise as defined in Commission Recommendation 2003/361/EC; |
(17) |
‘small mid-cap’ means an entity that is not a micro-, small- and medium-sized enterprise (‘SME’) as defined in Commission Recommendation 2003/361/EC employing up to 499 employees ▌where the staff headcount is calculated in accordance with Articles 3, 4, 5 and 6 of Title I of the Annex of that Recommendation; |
(18) |
‘results’ means any tangible or intangible effect of the action, such as data, know-how or information, whatever its form or nature, whether or not it can be protected, as well as any rights attached to it, including intellectual property rights; |
(18a) |
‘research outputs’ mean results generated by the action to which access can be given in the form of scientific publications, data or other engineered outcomes and processes such as software, algorithms, protocols and electronic notebooks; |
(19) |
‘seal of excellence’ means a certified label which shows that a proposal submitted to a call for proposals exceeded all of the evaluation thresholds set out in the work programme, but could not be funded due to lack of budget available to that call in the work programme , but which might receive support from other Union or national sources of funding; |
(19a) |
‘strategic R&I Plan’ means an implementing act laying out a strategy for realising content in the work programme covering a maximum period of four years, following a broad mandatory multi-stakeholder consultation process. It defines the priorities, suitable types of action and forms of implementation to use. |
(20) |
‘work programme’ means the document adopted by the Commission for the implementation of the specific programme (23) in accordance with its Article 12 or the equivalent document in content and structure adopted by a funding body. |
(21) |
‘reimbursable advance’ means the part of a Horizon Europe or EIC blended finance corresponding to a loan under Title X of the Financial Regulation, but that is directly awarded by the Union on a non-profit basis to cover the costs of activities corresponding to an innovation action, and to be reimbursed by the beneficiary to the Union under the conditions provided for in the contract; |
(22) |
‘contract’ means the agreement concluded between the Commission or a funding body with a legal entity implementing an innovation and market deployment action and supported by a Horizon Europe or EIC blended finance. |
(23) |
‘classified information’ means EU classified information a s defined in Article 3 of Commission Decision (EU, Euratom) 2015/444 as well as classified information of Member States, classified information of third countries with which the Union has a security agreement and classified information of international organisation with which the Union has a security agreement; |
(24) |
‘Blending operation’ means actions supported by the EU budget, including within blending facilities pursuant to Article 2(6) of the Financial Regulation, combining non-repayable forms of support and/or financial instruments from the EU budget with repayable forms of support from development or other public finance institutions, as well as from commercial finance institutions and investors. |
(25) |
‘Horizon Europe ▌blended finance’ means financial support to a programme to provide support to innovation and market deployment activities, consisting in a specific combination of a grant or a reimbursable advance with an investment in equity or any other repayable form of support ; |
(25-a) |
‘EIC blended finance’ means direct financial support delivered under the EIC to an innovation and market deployment action, consisting in a specific combination of a grant or a reimbursable advance with an investment in equity or any other repayable form of support”; |
( 25a) |
‘research and innovation action’ means an action primarily consisting of activities aiming to establish new knowledge and/or to explore the feasibility of a new or improved technology, product, process, service or solution. This may include basic and applied research, technology development and integration, testing, demonstration and validation on a small-scale prototype in a laboratory or simulated environment; |
(25b) |
‘innovation action’ means an action primarily consisting of activities directly aimed at producing plans and arrangements or designs for new, altered or improved products, processes or services, possibly including prototyping, testing, demonstrating, piloting, large-scale product validation and market replication; |
(25c) |
‘ERC frontier research (including ERC Proof of Concept)’ means principal investigator-led research actions, hosted by ERC only single or multiple beneficiaries; |
(25d) |
‘training and mobility action’ means an action geared towards the improvement of skills, knowledge and career prospects of researchers based on mobility between countries, and, if relevant, between sectors or disciplines; |
(25e) |
‘programme co-funding action’ means an action to provide multi-annual co-funding to a programme of activities established and/or implemented by entities managing and/or funding research and innovation programmes, other than Union funding bodies. Such a programme of activities may support networking and coordination, research, innovation, pilot actions, and innovation and market deployment actions, training and mobility actions, awareness raising and communication, dissemination and exploitation, any relevant financial support, such as grants, prizes, procurement, as well as Horizon Europe blended finance or a combination thereof. The programme co-fund action may be implemented by those entities directly or by third parties on their behalf; |
(25f) |
‘pre-commercial procurement action’ means an action with the primary aim of realising pre-commercial procurement implemented by beneficiaries that are contracting authorities or contracting entities; |
(25 g) |
‘public procurement of innovative solutions action’ means an action with the primary aim of realising joint or coordinated public procurement of innovative solutions implemented by beneficiaries that are contracting authorities or contracting entities; |
(25h) |
‘coordination and support action’ means an action contributing to the objectives of the Programme, excluding research and innovation activities, except when undertaken under the component ‘widening participation and spreading excellence’ of the part ‘Widening Participation and strengthening the European Research Area’; and bottom-up coordination without co-funding of research activities from the EU that allows for cooperation between legal entities from Member States and Associated Countries in order to strengthen the European Research Area; |
(25i) |
‘Inducement prize’ means a prize to spur investment in a given direction, by specifying a target prior to the performance of the work |
( 25j) |
‘Recognition prize’ in prize to reward past achievements and outstanding work after it has been performed |
(25k) |
‘Innovation and market deployment action’ means and action embedding an innovation action and other activities necessary to deploy an innovation in the market, including the scaling-up of companies, providing Horizon Europe blended finance (a mix of grant-type funding and private finance); |
( 25l) |
‘Indirect actions’ means research and innovation activities to which the Union provides financial support and which are undertaken by participants; |
( 25m) |
‘Direct actions’ means research and innovation activities undertaken by the Commission through its Joint Research Centre (JRC). |
(27) |
‘procurement’ means procurement as defined in Article 2(49) of the Financial Regulation; |
(28) |
‘affiliated entity’ means any legal entity as defined in Article 187(1) of the Financial Regulation; |
(30) |
‘innovation ecosystem’ means an ecosystem that brings together at EU level actors or entities whose functional goal is to enable technology development and innovation. They encompass relations between material resources (such as funds, equipment, and facilities), institutional entities (such as higher education institutions and support services, RTOs, companies, venture capitalists and financial intermediaries) and national, regional and local policy-making and funding entities. |
▌
Article 3
Programme objectives
1. The Programme’s general objective is to deliver scientific, technological , economic and societal impact from the Union’s investments in research and innovation so as to strengthen the scientific and technological bases of the Union and foster its competitiveness in all Member States including in its industry, deliver on the Union strategic priorities and contribute to the realisation of EU objectives and policies, contribute to tackling global challenges, including the Sustainable Development Goals by following the principles of the Agenda 2030 and the Paris Agreement, and to strengthen the European Research Area. The Programme shall thus maximise Union added value by focusing on objectives and activities that cannot be effectively realised by Member States acting alone, but in cooperation.
2. The Programme has the following specific objectives:
(a) |
to develop, promote and advance scientific excellence, support the creation and diffusion of high-quality new fundamental and applied knowledge, skills, technologies and solutions , training and mobility of researchers, attract talent at all levels and contribute to full engagement of Union's talent pool in actions supported under this Programme ; |
(b) |
to generate knowledge, strengthen the impact of research and innovation in developing, supporting and implementing Union policies and support the access to and uptake of innovative solutions in European industry , notably in SMEs, and society to address global challenges , including climate change and the Sustainable Development Goals ; |
(c) |
to foster all forms of innovation, facilitate technological development, demonstration and knowledge and technology transfer, strengthen ▌deployment and exploitation of innovative solutions; |
(d) |
to optimise the Programme's delivery for strengthening and increasing the impact and attractiveness of the European Research Area , to foster the excellence-based participations from all Member States, including low R&I performing Member States, in Horizon Europe and to facilitate collaborative links in European research and innovation. |
Article 4
Programme structure
1. The Programme is structured in the following parts contributing to the general and specific objectives set out in Article 3:
(1) |
Pillar I ‘ Excellent Science’ ▌with the following components:
|
(2) |
Pillar II ‘Global Challenges and European Industrial Competitiveness’ with the following components, taking into account that social sciences and humanities (SSH) shall play an important role across all clusters :
|
(3) |
Pillar III ‘ Innovative Europe’ with the following components:
|
(4) |
Part ‘Widening participation and strengthening the European Research Area’, ▌with the following components:
|
2. The broad lines of activities are set out in Annex I.
Article 5 (24)
Defense research and development
1. Activities to be carried out under the specific programme referred to in Article 1(3)(b) and which are laid down in Regulation establishing the European Defence Fund, shall have an exclusive focus on defence research and development , with the following objectives and broad lines of activities:
— |
activities aiming to foster the competitiveness, efficiency and innovation capacity of the European defence, technological and industrial base. |
2. ▌This Regulation does not apply to the specific programme referred to in Article 1(3)(b), with the exception of this Article, Article 1 ▌and Article 9(1).
Article 6 (25)
Strategic planning and implementation and forms of EU funding
1. The Programme shall be implemented in direct management in accordance with the Financial Regulation or in indirect management with funding bodies referred to in Article 62(1)(c) of the Financial Regulation.
2. The Programme may provide funding to indirect actions in any of the forms laid down in the Financial Regulation, in particular grants which shall be the main form of support in the programme . It may also provide financing through prizes, procurements and financial instruments within blending operations and equity support under the EIC Accelerator .
3. The rules for participation and dissemination laid down in this Regulation shall apply to indirect actions.
4. The main types of action to be used under the Programme are set out and defined in Article 2 . The forms of funding , referred to in paragraph 2, shall be used in a flexible manner across all objectives of the Programme with their use being determined on the basis of the needs and the characteristics of the particular objectives.
5. The Programme shall also support direct actions undertaken by the JRC. Where these actions contribute to initiatives established under Article 185 or Article 187 TFEU, this contribution shall not be considered as part of the financial contribution allocated to those initiatives.
6. The implementation of the specific programme and the EIT's KICs shall be supported by a transparent and strategic ▌ planning of research and innovation activities as laid down in the specific programme, in particular for the pillar ‘Global Challenges and European Industrial Competitiveness’ ▌and cover also relevant activities in other pillars and the Widening Participation and Strengthening the European Research Area part.
The Commission shall ensure early involvement of the Member States and extensive exchanges with the European Parliament, complemented by consultation with stakeholders and the public at large.
The Strategic Planning shall ensure alignment with other relevant Union programmes and consistency with EU priorities and commitments and increase complementarity and synergies with national and regional funding programmes and priorities, thereby strengthening the ERA. Areas for possible missions and areas for possible institutionalised European Partnerships shall be established in Annex Va.
6a. Where appropriate, in order to allow a faster access to funds for small collaborative consortia, a Fast Track to Research and Innovation Procedure (FTRI) may be proposed under some of the calls for proposals dedicated to select research and / or innovation actions Under the Global Challenges and European Industrial Competitiveness and the European Innovation Council Pathfinder parts of the Framework Programme.
A call under the FTRI Procedure shall have the following cumulative characteristics:
— |
bottom-up calls for proposals |
— |
a shorter time-to-grant, not exceeding 6 months; |
— |
a support provided only to small collaborative consortia composed of maximum 6 different and independent eligible legal entities; |
— |
a maximum financial support per consortium not exceeding EUR 2,5 million. |
The work programme shall identify the calls using the FTRI Procedure.
7. Horizon Europe activities shall be ▌delivered through open, competitive calls for proposals, including within missions and European Partnerships , except for the activities referred to in Article 39 on Prizes .
▌
Article 6a
Principles of the Programme
1. Research and innovation activities carried out under the specific Programme referred to in Article 1(3)(a) and under the EIT shall have an exclusive focus on civil applications. Budgetary transfers between the amount allocated to the specific programme referred to in Article 1(3)(a) and the EIT and the amount allocated to the specific programme referred to in Article 1(3)(b) shall not be allowed and unnecessary duplication between the two programmes shall be avoided.
2. Horizon Europe shall ensure a multidisciplinary approach and shall foresee, where appropriate, the integration of social sciences and humanities across all clusters and activities developed under the Programme, including specific calls on SSH related topics.
3. The collaborative parts of the Programme shall ensure a balance between lower and higher TRLs thereby covering the whole value chain.
3a. The Programme shall ensure the effective promotion and integration of cooperation with third countries and international organisations and initiatives based on mutual benefits, EU interests, international commitments and, where appropriate, reciprocity.
4. The Programme shall assist widening countries to increase participation in Horizon Europe and to promote broad geographical coverage in collaborative projects, including through spreading scientific excellence, boosting new collaborative links, stimulating brain-circulation as well as through the implementation of Articles 20(3) and 45(4). Those efforts shall be mirrored by proportional measures by Member States, including on setting attractive salaries for researchers, with the support of Union, national and regional funds. Particular attention shall be paid to geographical balance, subject to the situation in the field of research and innovation concerned, evaluation panels and in bodies such as boards and expert groups, without undermining the excellence criteria.
5. The Programme shall ensure the effective promotion of equal opportunities for all, and the implementation of gender mainstreaming, and of the gender dimension in the research and innovation content and shall aim to address the causes of gender imbalance. Particular attention shall be paid to ensuring to the extent possible gender balance, in evaluation panels and in other relevant advisory bodies such as boards and expert groups.
5a. Horizon Europe shall be implemented in synergy with other Union funding programmes while seeking maximal administrative simplification. A non-exhaustive list of synergies with other Union funding programmes is included in Annex IV.
5b. The Programme contributes to increasing public and private investment in R&I in Member States thereby helping to reach an overall investment of at least 3 % of Union gross domestic product (GDP) in research and development.
6. The Commission when implementing the programme shall aim at continuous administrative simplification and reduction of the burden for the applicants and beneficiaries.
7. As part of the general Union objective of mainstreaming climate actions into EU sectoral policies and EU funds, actions under this Programme shall contribute at least 35 % of the expenditure to climate objectives where appropriate. Climate mainstreaming shall be adequately integrated in research and innovation content.
8. The programme shall promote co-creation and co-design through engagement of citizens and civil society.
9. The programme shall ensure transparency and accountability of public funding in research and innovation projects, thereby preserving the public interest.
10. The Commission or the relevant funding body shall ensure that sufficient guidance and information is made available to all potential participants at the time of publication of the call for proposals, in particular the applicable model grant agreement.
Article 7
Missions
1. Missions shall be programmed within the pillar ‘Global Challenges and European Industrial Competitiveness’, but may also benefit from actions carried out within other parts of the Programme as well as complementary actions carried out under other Union funding programmes. Missions shall allow for competing solutions, resulting in pan-European added value and impact.
2. The missions shall be defined and implemented in accordance with the Regulation and the Specific Programme , ensuring the active and early involvement of the Member States and extensive exchanges with the European Parliament . The missions, their objectives, budget, targets, scope, indicators and milestones shall be identified in the Strategic R&I Plans or the Work Programmes as appropriate . Evaluation of proposals under the missions shall be carried out in accordance with Article 26.
2a. During the first three years of the programme, a maximum of 10 % of the annual budget of Pillar II shall be programmed through specific calls for implementing the missions. For the remaining part of the programme, and only after a positive assessment of the mission selection and management process, this percentage may be increased. The Commission shall communicate the total budgetary share of each work programme dedicated to missions.
3. Missions shall:
(a) |
using SDGs as sources for their design and implementation, have a clear research and innovation content, EU-added value, and contribute to reaching Union priorities and commitments and Horizon Europe programme objectives laid down in Article 3 ; |
(aa) |
cover areas of common European relevance, be inclusive, encourage broad engagement and active participation of various types of stakeholders from public and private sectors, including citizens and end-users, and deliver R&I results that could benefit all Member States; |
(b) |
be bold and inspirational, hence have wide , scientific, technological, societal, economic , environmental or policy relevance and impact ; |
(c) |
indicate a clear direction and objectives and be targeted, measurable, time-bound and have a clear budget frame ; |
(d) |
be selected in a transparent manner and be centered on ambitious , excellence-based and impact-driven but realistic goals and research, development and innovation activities; |
(da) |
have the necessary scope, scale and mobilization of the resources and leverage of additional public and private funds required to deliver the mission outcome; |
(e) |
stimulate activity across disciplines (including Social Sciences and Humanities) and encompassing activities from a broad range of TRLs, including lower TRLs ; |
(f) |
be open to multiple, bottom-up approaches and solutions taking into account human and societal needs and benefits and recognizing the importance of diverse contributions to achieve these missions . |
(fa) |
benefit from synergies in a transparent manner with other Union programmes as well as with national and, where relevant, regional innovation ecosystems. |
4. The Commission shall monitor and evaluate each mission in accordance with Articles 45 and 47 and Annex V to this Regulation, including progress towards short, medium and long-term targets, covering implementation, monitoring and phasing-out of the missions. An assessment of the first missions established under Horizon Europe shall take place no later than 2023 and before any decision is taken on creating new missions, continuing, terminating or redirecting ongoing missions. The results of this assessment shall be made public and shall include, but not limited to, the analysis of their selection process and of their governance, budget, focus and progress to date.
Article 7a
The European Innovation Council
1. The Commission shall establish a European Innovation Council (EIC) as a centrally-managed ‘one stop shop’ for implementing actions under Pillar III ‘Innovative Europe’ which relate to the EIC. The EIC shall mainly focus on breakthrough and disruptive innovation, targeting especially market-creating innovation, while also supporting all types of innovation, including incremental. The EIC shall operate according to the following principles: clear EU added value, autonomy, ability to take risk, efficiency, effectiveness, transparency and accountability.
2. The EIC shall be open to all types of innovators including from individuals to universities, research organisations and companies (SMEs including start-ups and, in exceptional cases, small mid-caps) and from single beneficiaries to multi-disciplinary consortia. At least 70 % of EIC budget shall be dedicated to SMEs, including start-ups.
3. The EIC Board and management features of the EIC are defined in Decision (EU)… [Specific Programme] and its annexes.
Article 8
European Partnerships
1. Parts of Horizon Europe may be implemented through European Partnerships. The involvement of the Union in European Partnerships may take any of the following forms:
(a) |
participation in partnerships set up on the basis of memoranda of understanding and/or contractual arrangements between the Commission and the partners referred to in Article 2(3), specifying the objectives of the partnership, related commitments from all involved sides for financial and/or in-kind contributions of the partners, key performance and impact indicators, outputs to be delivered and reporting modalities .They include the identification of complementary research and innovation activities that are implemented by the partners and by the Programme (Co-programmed European Partnerships); |
(b) |
participation in and financial contribution to a programme of research and innovation activities , specifying the objectives, key performance and impact indicators, and outputs to be delivered, based on the commitment of the partners for financial and/or in-kind contributions and integration of their relevant activities using a Programme co-fund action (Co-funded European Partnerships); |
(c) |
participation in and financial contribution to research and innovation programmes undertaken by several Member States in accordance with Article 185 TFEU, or by bodies established pursuant to Article 187 TFEU, such as Joint Undertakings, or by the EIT Knowledge and Innovation Communities in compliance with the EIT Regulation (Institutionalised European Partnerships) . Such partnerships shall be implemented only where other parts of the Horizon Europe programme, including other forms of European Partnerships would not achieve the objectives or would not generate the necessary expected impacts, and if justified by a long-term perspective and high degree of integration. Partnerships in accordance with Article 185 TFEU or pursuant to Article 187 TEFU shall implement a central management of all financial contributions, except in duly justified cases. In case of central financial management, project level contributions from one participating state will be made on the basis of the funding requested in proposals from entities established in that participating state, unless otherwise agreed among all participating states concerned. |
The rules for such partnerships shall specify inter alia the objectives, key performance and impact indicators, and outputs to be delivered, as well as the related commitments for financial and/or in-kind contributions of the partners.
2. European Partnerships shall:
(a) |
Be established for addressing European or global challenges only in cases where they will more effectively achieve objectives of Horizon Europe than the Union alone and when compared to other forms of support of the Framework programme. Those parts shall have an appropriate share of the budget of Horizon Europe. The majority of the budget in pillar II shall be allocated to actions outside of European partnerships ; |
(b) |
Adhere to the principles of Union added value, transparency, openness, impact within and for Europe, strong leverage effect on sufficient scale , long-term commitments of all the involved parties, flexibility in implementation , coherence, coordination and complementarity with Union, local, regional, national and , where relevant, international initiatives or other partnerships and missions ; |
(c) |
Have a clear life-cycle approach, be time limited and include conditions for phasing-out the Programme funding. |
2.a. European Partnerships according to Article 8(1)(a and b) of this Regulation shall be identified in Strategic R&I Plans before being implemented in work programmes.
Provisions and criteria for their selection, implementation, monitoring, evaluation and phasing-out are set out in Annex III.
Article 8a
Review of missions and partnership areas
No later than 2023, the Commission shall carry out a review of Annex Va as part of the overall monitoring of the programme, including missions and institutionalised European partnerships on the basis of article 185 TFEU or article 187 TFEU, and present a report on the main findings to the Council and the European Parliament.
Article 9
Budget
1. The financial envelope for the implementation of the Framework Programme for the period 2021 — 2027 shall be EUR 120 000 000 000 in 2018 prices for the specific programme referred to in Article 1(3)(a) and, in addition, the amount for the specific programme referred to in Article 1(3)(b), as laid down in Regulation establishing the European Defence Fund.
2. The indicative distribution of the amount referred to in paragraph 1, first half sentence, shall be:
(a) |
27,42 % for Pillar I ‘ Excellent and Open Science’ for the period 2021-2027, of which
|
(b) |
55,48 % for Pillar II ‘Global Challenges and European Industrial Competitiveness’ for the period 2021-2027, of which
|
(c) |
12,71 % for Pillar III ‘' Innovative Europe ’ for the period 2021-2027, of which:
|
(d) |
4,39 % for the Part ‘Strengthening the European Research Area’ with the following components:
|
3. In order to respond to unforeseen situations or to new developments and needs, the Commission may, within the annual budgetary procedure, deviate from the amounts referred to in paragraph 2 up to a maximum of 10 %, including the allocation of the contributions from associated countries .
3c. 45 % of the budget of cluster ‘Inclusive and Creative Society’ shall support research on cultural and creative sectors, including the Union’s cultural heritage, that shall include EUR 300 million to be earmarked for the creation of a European Cultural Heritage Cloud, as set out in Annex I to the Specific Programme following an impact assessment to be presented to the European Parliament.
3d. At least EUR 1 billion shall aim to be dedicated to Quantum Research under the ‘Digital, Industry and Space’ cluster under Pillar II.
4. The amount referred to in paragraph 1 for the specific programme referred to in Article 1(3)(a) and for the EIT , may also cover expenses for preparation, monitoring, control, audit, evaluation and other activities and expenditures necessary for managing and implementing the Programme, including all administrative expenditure, as well as evaluating the achievement of its objectives. The administrative expenses related to indirect actions shall not exceed 5 % of the total amount under the Programme . It may moreover cover expenses relating to the studies, meetings of experts, information and communication actions, in so far as they are related to the objectives of the Programme, as well as expenses linked to information technology networks focusing on information processing and exchange, including corporate information technology tools and other technical and administrative assistance needed in connection with the management of the Programme.
5. If necessary, appropriations may be entered in the budget beyond 2027 to cover the expenses provided for in paragraph 4, to enable the management of actions not completed by 31 December 2027.
6. Budgetary commitments for actions extending over more than one financial year may be broken down over several years into annual instalments.
7. Without prejudice to the Financial Regulation, expenditure for actions resulting from projects included in the first work programme may be eligible as from 1 January 2021.
▌
▌
Article 10
Open science
1. The programme shall encourage open science as an approach to the scientific process based on cooperative work and diffusing knowledge, in particular in line with the following elements:
— |
open access to scientific publications resulting from research funded under the Programme; |
— |
open access to research data, including those underlying scientific publications. |
These elements shall be ensured in accordance with Article 35(3) of this regulation. The latter shall also be in line with the principle ‘as open as possible, as closed as necessary’;
1a. The principle of reciprocity in open science shall be promoted and encouraged in all association and cooperation agreements with third countries, including agreements signed by funding bodies entrusted for indirect management of the Programme.
2. Responsible management of research data shall be ensured in line with the principles ‘Findability’, ‘Accessibility’, ‘Interoperability’ and ‘Reusability’ (FAIR). Attention shall also be paid to the long-term preservation of data.
3. Other open science practices ▌shall be promoted and encouraged, including for the benefit of SMEs.
Article 11
Complementary ▌ , combined and cumulative funding
1. Horizon Europe shall be implemented in synergy with other Union funding programmes while seeking maximal administrative simplification. A non-exhaustive list of synergies with other funding programmes is included in Annex IV. A The Horizon Europe single set of rules shall apply for an RDI co-funded action.
2. The Seal of Excellence shall be awarded for all parts of the Programme. Actions awarded a Seal of Excellence certification, or which comply with the following cumulative, comparative, conditions:
(a) |
they have been assessed in a call for proposals under the Programme; |
(b) |
they comply with the minimum quality requirements of that call for proposals; |
(c) |
they may not be financed under that call for proposals due to budgetary constraints, |
may receive support from national or regional funds, including from the European Regional Development Fund, the Cohesion Fund, the European Social Fund+ or the European Agricultural Fund for Rural Development, in accordance with paragraph 5 of Article [67] of Regulation (EU) XX [Common Provisions Regulation] and Article [8] or Regulation (EU) XX [Financing, management and monitoring of the Common Agricultural Policy], without requiring any further application and evaluation and provided that such actions are consistent with the objectives of the programme concerned. With the exception of state aid rules, the rules of the Fund providing support shall apply.
2a. In accordance with Article 21 of Regulation (EU) XX [… Common Provisions Regulation], the managing authority, on a voluntary basis, may request the transfer of parts of its financial allocations to Horizon Europe. Transferred resources shall be implemented in accordance with the rules of Horizon Europe. In addition, the Commission shall ensure that such transferred funds are earmarked entirely for programmes and/or projects which will be implemented in the Member State or region, as applicable, they originated from.
2b. With prior authorisation from the applicants, the Commission shall include the allocations referred to in this Article in the information system on selected projects in order to allow for a fast exchange of information and enable financing authorities to provide funding to the selected actions.
An action that has received a contribution from another Union programme may also receive a contribution under the Programme, provided that the contributions do not cover the same costs.
Article 12
Third countries associated to the Programme
1. The Programme shall be open to association of the following third countries:
(a) |
European Free Trade Association (EFTA) members which are members of the European Economic Area (EEA), in accordance with the conditions laid down in the EEA agreement; |
(b) |
acceding countries, candidate countries and potential candidates, in accordance with the general principles and general terms and conditions for the participation of those countries in Union programmes established in the respective framework agreements and Association Council decisions, or similar agreements, and in accordance with the specific conditions laid down in agreements between the Union and those countries; |
(c) |
countries covered by the European Neighbourhood Policy, in accordance with the general principles and general terms and conditions for the participation of those countries in Union programmes established in the respective framework agreements and Association Council decisions, or similar agreements, and in accordance with the specific conditions laid down in agreements between the Union and those countries; |
(d) |
third countries and territories that fulfil all of the following criteria:
|
2. The scope of association of each third country to the Programme shall take into account the objective of driving economic growth in the Union through innovation and shall avoid the brain drain from the Union . Accordingly, with the exception of EEA members, acceding countries, candidate countries and potential candidates, mono-beneficiary parts of the Programme may be excluded from an association agreement for a specific country , in particular those dedicated to private entities .
3. The association agreement shall, where appropriate, provide for and pursue reciprocal participation of legal entities established in the Union in equivalent programmes of associated countries in accordance with the conditions laid down therein.
4. The association agreement conditions determining the level of financial contribution shall ensure an automatic correction , every two years of any significant imbalance compared to the amount that entities established in the associated country receive through participation in the Programme, taking into account the costs in the management, execution and operation of the Programme.
4a. The contributions of all associated countries shall be included in the relevant parts of the Programme provided that the budget breakdown as specified in Article 9, paragraph 2 is respected. The Commission shall report to the Council and the Parliament during the annual budgetary procedure the total budget of each part of the Programme, identifying each of the associated countries, individual contributions and their financial balance.
TITLE II
RULES FOR PARTICIPATION AND DISSEMINATION
CHAPTER I
General provisions
Article 13
Funding bodies and direct actions of JRC
1. Funding bodies may depart from the rules set out in this Title , except from Articles 14, 15 and 16, in duly justified cases and only if this is provided for in the basic act setting up the funding body or entrusting budget implementation tasks to it or, for funding bodies under Article 62(1)(c)(ii), (iii) or (v) of the Financial Regulation, if it is provided for in the contribution agreement and their specific operating needs or the nature of the action so require.
2. The rules set out in this Title shall not apply to direct actions undertaken by the JRC.
Article 14
Eligible actions and ethical principles
1. Without prejudice to paragraphs 2 ▌of this Article, only actions implementing the objectives referred to in Article 3 shall be eligible for funding.
The following fields of research shall not be financed:
(a) |
activities aiming at human cloning for reproductive purposes; |
(b) |
activities intended to modify the genetic heritage of human beings which could make such changes heritable (26); |
(c) |
activities intended to create human embryos solely for the purpose of research or for the purpose of stem cell procurement, including by means of somatic cell nuclear transfer. |
2. Research on human stem cells, both adult and embryonic, may be financed, depending both on the contents of the scientific proposal and the legal framework of the Member States involved. No funding shall be granted , neither within nor outside the EU, for research activities that are prohibited in all the Member States. No activity shall be funded in a Member State where such activity is forbidden.
▌
Article 15
Ethics (27)
1. Actions carried out under the Programme shall comply with ethical principles and relevant national, Union and international legislation, including the Charter of Fundamental Rights of the European Union and the European Convention on Human Rights and its Supplementary Protocols.
Particular attention shall be paid to the principle of proportionality, the right to privacy, the right to the protection of personal data, the right to the physical and mental integrity of a person, the right to non-discrimination, the need to ensure protection of the environment and high levels of human health protection.
2. Entities participating in the action shall provide:
(a) |
an ethics self-assessment identifying and detailing all the foreseeable ethics issues related to the objective, implementation and likely impact of the activities to be funded, including a confirmation of compliance with paragraph 1, and a description of how it will be ensured; |
(b) |
a confirmation that the activities will comply with the European Code of Conduct for Research Integrity published by All European Academies and that no activities excluded from funding will be conducted; |
(c) |
for activities carried out outside the Union, a confirmation that the same activities would have been allowed in a Member State; and |
(d) |
for activities making use of human embryonic stem cells, as appropriate, details of licensing and control measures that shall be taken by the competent authorities of the Member States concerned as well as details of the ethics approvals that shall be obtained before the activities concerned start. |
3. Proposals shall be systematically screened to identify those actions raising complex or serious ethics issues and submit them to an ethics assessment. The ethics assessment shall be carried out by the Commission unless it is delegated to the funding body. For actions involving the use of human embryonic stem cells or human embryos, an ethics assessment shall be mandatory. Ethics screenings and assessments shall be carried out with the support of ethics experts. The Commission and the funding bodies shall ensure the transparency of the ethics procedures without prejudice to the confidentiality of the content of the procedure .
4. Entities participating in the action shall obtain all approvals or other mandatory documents from the relevant national, local ethics committees or other bodies such as data protection authorities before the start of the relevant activities. Those documents shall be kept on file and provided to the Commission or funding body upon request.
5. If appropriate, ethics checks shall be carried out by the Commission or funding body. For serious or complex ethics issues, the checks shall be carried out by the Commission unless it is delegated to the funding body.
Ethics checks shall be carried out with the support of ethics experts.
6. Actions which do not fulfil the ethical requirements referred to in paragraphs 1-4 and are thus not ethically acceptable and therefore shall be rejected or terminated once the ethical unacceptability has been established .
Article 16
Security
1. Actions carried out under the Programme shall comply with the applicable security rules and in particular rules on protection of classified information against unauthorised disclosure, including compliance with any relevant national and Union law. In case of research carried out outside the Union using and/or generating classified information, it is necessary that, in addition to the compliance with those requirements, a security agreement shall have to be concluded between the Union and the third country in which the research is conducted.
2. Where appropriate, proposals shall include a security self-assessment identifying any security issues and detailing how these issues will be addressed in order to meet the relevant national and Union law.
3. Where appropriate, the Commission or funding body shall carry out a security scrutiny for proposals raising security issues.
4. Where appropriate, the actions shall comply with Decision (EU, Euratom) 2015/444, and its implementing rules.
5. Entities participating in the action shall ensure the protection against unauthorised disclosure of classified information used and/or generated by the action. They shall provide proof of personal and/or facility security clearance from the relevant national security authorities, prior to the start of the activities concerned.
6. If external experts have to deal with classified information, the appropriate security clearance shall be required before those experts are appointed.
7. Where appropriate, the Commission or funding body may carry out security checks.
▌Actions which do not comply with the security rules under this Article may be rejected or terminated at any time.
CHAPTER II
Grants
Article 17
Grants
Grants under the Programme shall be awarded and managed in accordance with Title VIII of the Financial Regulation, unless otherwise specified in this Chapter.
Article 18
Entities eligible for participation
1. Any legal entity, regardless of its place of establishment, including legal entities from non-associated third countries or international organisation may participate in actions under the Programme, provided that the conditions laid down in this Regulation have been met together with any conditions laid down in the work programme or call.
2. Entities shall be part of a consortium that shall include at least three independent legal entities each established in a different Member State or associated country and with at least one of them established in a Member State, unless:
(a) |
the work programme provides otherwise, if duly justified; |
3. European Research Council (ERC) frontier research actions, European Innovation Council (EIC) actions, training and mobility actions or programme co-fund actions may be implemented by one or more legal entities, one of which must be established in a Member State or associated country on the basis of an agreement concluded in accordance with Article 12 .
4. Coordination and support actions may be implemented by one or more legal entities, which may be established in a Member State, or associated country or in another third country.
5. For actions related to Union strategic assets, interests, autonomy or security, the work programme may provide that the participation can be limited to those legal entities established in Member States only, or to those legal entities established in specified associated or other third countries in addition to Member States.
6. Where appropriate and duly justified, the work programme may provide for eligibility criteria in addition to those set out in paragraphs 2, 3, 4, and 5 according to specific policy requirements or to the nature and objectives of the action, including the number of legal entities, the type of legal entity and the place of establishment.
7. For actions benefiting from amounts under Article 11 , the participation shall be limited to a single legal entity established in the jurisdiction of the delegating Managing Authority, except if otherwise agreed with the Managing Authority and provided for in the work programme.
8. Where indicated in the work programme, the JRC may participate in actions.
9. The JRC , international European research organisations and legal entities created under Union law shall be deemed to be established in a Member State other than the ones in which other legal entities participating in the action are established.
10. For European Research Council (ERC) frontier research actions, training and mobility actions and when provided for in the work programme , international organisations with headquarters in a Member State or associated country shall be deemed to be established in this Member State or associated country.
For other parts of the Programme, international organisations other than international European research organisations shall be deemed to be established in a non-associated third country.
Article 19
Entities eligible for funding
1. Entities are eligible for funding if they are established in a Member State or associated country as referred to in Article 12 .
For actions benefiting from amounts under Article 11(3) , only entities established in the jurisdiction of the delegating Managing Authority shall be eligible for funding out of these amounts.
1b. Low to middle income countries and exceptionally for other non-associated third countries they could be eligible for funding in an action if:
(a) |
the third country is identified in the work programme; and |
(b) |
the Commission or funding body consider that its participation is essential for implementing the action; |
2. Entities established in other non-associated third country should ▌ bear the cost of their participation. R&D agreements between those non-associated third countries and the Union can be made wherever deemed useful, and co-funding mechanism similar to the ones agreed inside Horizon 2020 may be established. Those countries shall ensure reciprocal access for Union legal entities to those countries’ RDI funding programmes, as well as reciprocity in open access to scientific results and data and to fair and equitable terms for intellectual property rights.
▌
▌
3. Affiliated entities are eligible for funding in an action if they are established in a Member State, or Associated country ▌.
3a. The Commission shall report to the Parliament and the Council specifying, for each non-associated third country, the amount of the Union’s financial contributions provided to the participating entities and the amount of the financial contributions provided by the same country to Union entities participating in their activities.
Article 20
Calls for proposals
1. ▌The content of the calls for proposals for all actions shall be included in the work programme.
▌
3. If necessary to achieve their objectives, calls may , in exceptional cases, be restricted to develop additional activities or to add additional partners to existing actions. In addition, the work programme may foresee the possibility for legal entities from low R&I performing Member States to join already selected collaborative R&I actions, subject to the agreement of the respective consortium and provided that legal entities from such Member States are not yet participating in it.
4. A call for proposals is not required for coordination and support actions or programme co-fund actions which:
(a) |
are to be carried out by the JRC or legal entities identified in the work programme; and |
(b) |
do not fall within the scope of a call for proposals , in accordance with Article 195(e) of the Financial Regulation . |
5. The work programme shall specify calls for which ‘Seals of Excellence’ will be awarded. With prior authorisation from the applicant, information concerning the application and the evaluation may be shared with interested financing authorities, subject to the conclusion of confidentiality agreements.
Article 21
Joint calls
The Commission or funding body may issue a joint call for proposals with:
(a) |
third countries, including their scientific and technological organisations or agencies; |
(b) |
international organisations; |
(c) |
non-profit legal entities. |
In the case of a joint call, applicants shall fulfil the requirements under Article 18 of this Regulation and joint procedures shall be established for selection and evaluation of proposals. The procedures shall involve a balanced group of experts appointed by each party.
Article 22
Pre-commercial procurement and procurement of innovative solutions
1. Actions may involve or have as their primary aim pre-commercial procurement or public procurement of innovative solutions that shall be carried out by beneficiaries which are contracting authorities or contracting entities as defined in Directives 2014/24/EU (28), 2014/25/EU (29) and 2009/81/EC (30).
2. The procurement procedures:
(a) |
shall comply with the principles of transparency, non- discrimination, equal treatment, sound financial management, proportionality and competition rules; |
(b) |
for pre-commercial procurement, where appropriate and without prejudice to the principles enumerated in point (a), a simplified and/or accelerated procedure may be used and may provide for specific conditions such as the place of performance of the procured activities being limited to the territory of the Member States and of Associated Countries. |
(c) |
may authorise the award of multiple contracts within the same procedure (multiple sourcing); and |
(d) |
shall provide for the award of the contracts to the tender(s) offering best value for money while ensuring absence of conflict of interest. |
3. The contractor generating results in pre-commercial procurement shall own at least the attached intellectual property rights. The contracting authorities shall enjoy at least royalty-free access rights to the results for their own use and the right to grant, or require the participating contractors to grant, non-exclusive licences to third parties to exploit the results for the contracting authority under fair and reasonable conditions without any right to sub-license. If a contractor fails to commercially exploit the results within a given period after the pre-commercial procurement as identified in the contract, the contracting authorities, after having consulted the contractor on the reasons for the non-exploitation, can require it to transfer any ownership of the results to the contracting authorities.
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Article 24
Financial capacity of applicants
1. In addition to the exceptions mentioned in Article 198(5) of the Financial Regulation, the financial capacity shall be verified only for the coordinator and only if the requested funding from the Union for the action is equal to or greater than EUR 500 000.
2. However, if there are grounds to doubt the financial capacity or if there is a higher risk due to the participation in several ongoing actions funded by Union research and innovation programmes, the Commission or funding body shall verify also the financial capacity of other applicants or of coordinators below the threshold referred to in paragraph 1.
3. If the financial capacity is structurally guaranteed by another legal entity, the financial capacity of the latter shall be verified.
4. In case of weak financial capacity, the Commission or funding body may make participation of the applicant conditional on provision of a declaration on joint and several liability by an affiliated entity.
5. The contribution to the Mutual Insurance Mechanism set out in Article 33 shall be considered a sufficient guarantee under Article 152 of the Financial Regulation. No additional guarantee or security may be accepted from beneficiaries or imposed upon them.
Article 25
Award criteria and selection
1. A proposal shall be evaluated on the basis of the following award criteria:
(a) |
excellence; |
(b) |
impact; |
(c) |
quality and efficiency of the implementation. |
2. Only the criterion referred to in point (a) of paragraph 1 shall apply to proposals for ERC frontier research actions.
3. The work programme shall lay down further details of the application of the award criteria laid down in paragraph 1 including any weighting, thresholds and where relevant rules for dealing with ex-aequo proposals, taking into consideration the objectives of the call for proposals . The conditions for dealing with ex-aequo proposals may include, but not limited to, the following criteria: SMEs, gender, geographical diversity.
3a. The Commission and other funding bodies shall take into account the possibility of a two-stage submission procedure and where appropriate, anonymised proposals may be evaluated during the first stage of evaluation based on one or more of the award criteria referred to in paragraph 1.
Article 26
Evaluation
1. Proposals shall be evaluated by the evaluation committee which shall be composed of external independent experts.
For EIC activities, missions and in duly justified cases as set out in the work programme adopted by the Commission, the evaluation committee may be composed partially or, in the case of coordination and support actions, partially or fully of representatives of Union Institutions or bodies as referred to in Article 150 of the Financial Regulation.
▌
The evaluation process may be followed by independent observers .
2. Wherever applicable, the evaluation committee shall rank the proposals having passed the applicable thresholds, according to:
(a) |
the evaluation scores; |
(b) |
their contribution to the achievement of specific policy objectives, including the constitution of a consistent portfolio of projects namely for EIC pathfinder activities, missions and in other duly justified cases as set out in the work programme adopted by the Commission in detail . |
For EIC activities, missions and in other duly justified cases as set out in the work programme adopted by the Commission in detail, the evaluation committee may also propose ▌adjustments to the proposals in as far as needed for the consistency of the portfolio approach. These adjustments shall be in conformity with the conditions for participation and comply with the principle of equal treatment. The Programme Committee shall be informed of such cases.
2a. The evaluation process shall be designed to avoid conflict of interest and bias. The transparency of the evaluation criteria and of the proposal scoring method shall be guaranteed.
3. In accordance with Article 200 (7) of the Financial Regulation, applicants shall receive feedback at all stages of the evaluation and, where applicable, the reasons for rejection.
4. Legal entities established in low R&I performing Member States who have participated successfully in the component ‘Widening Participation and Sharing Excellence’ shall receive, upon request, a record of this participation that may accompany proposals to the collaborative parts of the programme that they coordinate.
Article 27
Evaluation review procedure, enquiries and complaints
1. An applicant may request an evaluation review if it considers that the applicable evaluation procedure has not been correctly applied to its proposal (31).
2. An evaluation review applies only to the procedural aspects of the evaluation, not to the evaluation of the merits of the proposal.
2a. A request for review shall relate to a specific proposal and shall be submitted within 30 days after the communication of evaluation results.
An evaluation review committee shall provide an opinion on the procedural aspects, and shall be chaired by and include staff of the Commission or of the relevant funding body who were not involved in the evaluation of the proposals. The committee may recommend one of the following:
(a) |
re-evaluation of the proposal primarily by evaluators not involved in the previous evaluation; |
(b |
confirmation of the initial evaluation. |
▌
▌
3. An evaluation review shall not delay the selection process for proposals that are not the subject of review.
3a. The Commission shall ensure the existence of a procedure for participants to make direct enquiries and complaints about their involvement in Horizon Europe. Information on how to register enquiries or complaints shall be made available on-line.
Article 28
Time to grant
1. By derogation from the first subparagraph of Article 194(2) of the Financial Regulation, the following periods shall apply:
(a) |
for informing all applicants of the outcome of the evaluation of their application, a maximum period of five months from the final date for submission of complete proposals; |
(b) |
for signing grant agreements with applicants, a maximum period of eight months from the final date for submission of complete proposals. |
▌
▌
2. The work programme ▌ may establish shorter periods.
3. In addition to the exceptions laid down in the second subparagraph of Article 194(2) of the Financial Regulation, the periods referred to in paragraph 1 may be exceeded for actions of the ERC, for missions and when actions are submitted to an ethics or security assessment.
Article 29
Implementation of the grant
1. If a beneficiary fails to comply with its obligations regarding the technical implementation of the action, the other beneficiaries shall comply with those obligations without any additional Union funding, unless they are expressly relieved of that obligation. The financial responsibility of each beneficiary shall be limited to its own debt subject to the provisions relating to the Mutual Insurance Mechanism.
2. The grant agreement may establish milestones and related pre-financing installments. If milestones are not met, the action may be suspended, amended or, if duly justified, be terminated.
3. The action may also be terminated where expected results have lost their relevance for the Union due to scientific or technological reasons, or in the case of the EIC accelerator also due to economic reasons , or in the case of EIC and missions due to their relevance as part of a portfolio of actions. The Commission shall undergo a procedure with the action coordinator and if appropriate with external experts, before deciding to terminate an action, in accordance with Article 133 of the Financial Regulation.
Article 29a
Model Grant Agreement
1. The Commission shall, in close cooperation with the Member States, draw up model grant agreements between the Commission or the relevant funding body and the beneficiaries in accordance with this Regulation. If a significant modification of a model grant agreement is required, inter alia in view of further simplification for beneficiaries, the Commission shall, in close cooperation with the Member States, revise it as appropriate.
2. The grant agreement shall establish the rights and obligations of the beneficiaries and of either the Commission or the relevant funding body in compliance with this Regulation. It shall also establish the rights and obligations of legal entities which become beneficiaries during the implementation of the action, as well as the role and tasks of a consortium coordinator.
Article 30
Funding rates
1. A single funding rate per action shall apply for all activities it funds. The maximum rate per action shall be fixed in the work programme.
2. The Programme may reimburse up to 100 % of total eligible costs of an action, except for:
(a) |
innovation actions: up to 70 % of the total eligible costs, except for non-profit legal entities where the Programme may reimburse up to 100 % of the total eligible costs; |
(b) |
programme co-fund actions: at least 30 % of the total eligible costs, and in identified and duly justified cases up to 70 %. |
3. The funding rates determined in this Article shall also apply for actions where flat rate, unit or lump sum financing is fixed for the whole or part of the action.
Article 31
Indirect costs
1. Indirect eligible costs shall be determined by applying a flat rate of 25 % of the total direct eligible costs, excluding direct eligible costs for subcontracting, financial support to third parties and any unit costs or lump sums which include indirect costs.
Where appropriate, indirect costs included in unit costs or lump sums shall be calculated using the flat rate set out in paragraph 1, except for unit costs for internally invoiced goods and services which shall be calculated on the basis of actual costs, in accordance with the beneficiaries' usual costs accounting practice .
2. However, if provided for in the work programme, indirect costs may be declared in the form of a lump sum or unit costs.
Article 32
Eligible costs
1. In addition to the criteria set out in Article 186 of the Financial Regulation, for beneficiaries with project-based remuneration, costs of personnel are eligible up to the remuneration that the person would be paid for work in R&I projects funded by national schemes including social security charges and other costs linked to the remuneration of personnel assigned to the action, arising from national law or from the employment contract .
Project-based remuneration means remuneration that is linked to the participation of a person in projects, is part of the beneficiary’s usual remuneration practices and is paid in a consistent manner.
2. By derogation from Article 190(1) of the Financial Regulation, costs of resources made available by third parties by means of in-kind contributions shall be eligible, up to the direct eligible costs of the third party.
3. By derogation from Article 192 of the Financial Regulation, income generated by the exploitation of the results shall not be considered as receipts of the action.
3a. Beneficiaries may use their usual accounting practices to identify and declare the costs incurred in relation to an action in compliance with all terms and conditions set out in the grant agreement, in line with this Regulation and Article 186 of Financial regulation.
4. By derogation from Article 203(4) of the Financial Regulation, a certificate on the financial statements shall be mandatory at payment of the balance, if the amount claimed as actual costs and unit costs calculated in accordance with usual cost accounting practices is equal to or greater than EUR 325 000.
Certificates on financial statements may be produced by an approved external auditor or, in the case of public bodies, issued by a competent and independent public officer in line with Article 203, Para 4 of Financial regulation .
4a. Where appropriate, for MSCA training and mobility grants, the EU contribution shall take due account of any additional costs of the beneficiary related to maternity or parental leave, sick leave, special leave or change of recruiting host organisation or family status of researcher during the lifetime of the grant agreement.
4b. Costs related to open access including data management plans shall be eligible for reimbursement as further stipulated in the grant agreement.
Article 33
Mutual Insurance Mechanism
1. A Mutual Insurance Mechanism (the ‘Mechanism’) is hereby established which shall replace and succeed the fund set up in accordance with Article 38 of Regulation (EU) No 1290/2013. The Mechanism shall cover the risk associated with non-recovery of sums due by the beneficiaries:
(a) |
to the Commission under Decision No 1982/2006/EC, |
(b) |
to the Commission and Union bodies under ‘Horizon 2020’, |
(c) |
to the Commission and funding bodies under the Programme. The coverage of the risk regarding funding bodies referred to in point (c) of the first subparagraph may be implemented through an indirect coverage system set out in the applicable agreement and taking into account the nature of the funding body. |
2. The Mechanism shall be managed by the Union, represented by the Commission acting as executive agent. The Commission shall set up specific rules for the operation of the Mechanism .
3. Beneficiaries shall make a contribution of 5 % of the Union funding for the action. On the basis of periodic transparent evaluations, this contribution may be raised by the Commission up to 8 % or may be reduced under 5 %. The beneficiaries' contribution to the Mechanism shall be offset from the initial pre-financing and be paid to the Mechanism on behalf of the beneficiaries , and shall in no circumstance exceed the amount of the initial pre-financing .
4. The contribution of the beneficiaries shall be returned at the payment of the balance.
5. Any financial return generated by the Mechanism shall be added to the Mechanism. If the return is insufficient, the Mechanism shall not intervene and the Commission or funding body shall recover directly from beneficiaries or third parties any amount owed.
6. The amounts recovered shall constitute revenue assigned to the Mechanism within the meaning of Article 21( 5 ) of the Financial Regulation. Once all grants whose risk is covered directly or indirectly by the Mechanism are completed, any sums outstanding shall be recovered by the Commission and entered into the budget of the Union, subject to decisions of the legislative authority.
7. The Mechanism may be extended to beneficiaries of any other directly managed Union programme. The Commission shall adopt modalities for participation of beneficiaries of other programmes.
Article 34
Ownership and protection
1. Beneficiaries shall own the results they generate. They shall ensure that any rights of their employees or any other parties in relation to the results can be exercised in a manner compatible with the beneficiaries’ obligations in accordance with the terms and conditions laid down in the grant agreement.
Two or more beneficiaries shall own results jointly if:
(a) |
they have jointly generated them; and |
(b) |
it is not possible to:
|
The joint owners shall agree in writing on the allocation and terms of exercise of their joint ownership. Unless otherwise agreed in the Consortium Agreement or in the joint ownership agreement , each joint owner may grant non-exclusive licences to third parties to exploit the jointly-owned results (without any right to sub-license), if the other joint owners are given advance notice and fair and reasonable compensation. The joint owners may agree in writing to apply another regime than joint ownership.
2. Beneficiaries having received Union funding shall adequately protect their results if protection is possible and justified, taking into account all relevant considerations, including the prospects for commercial exploitation and any other legitimate interests . When deciding on protection, beneficiaries shall also consider the legitimate interests of the other beneficiaries in the action.
Article 35
Exploitation and dissemination
1. Each participant that has received Union funding shall use its best efforts to exploit the results it owns, or to have them exploited by another legal entity. Exploitation may be done directly by the beneficiaries or indirectly in particular through the transfer and licensing of results in accordance with Article 36.
The work programme may provide for additional exploitation obligations.
If despite a beneficiary's best efforts to exploit its results directly or indirectly no exploitation takes place within a given period as identified in the grant agreement, the beneficiary shall use an appropriate online platform as identified in the grant agreement to find interested parties to exploit those results. If justified on the basis of a request of the beneficiary, this obligation may be waived.
2. Beneficiaries shall disseminate their results as soon as it is feasible, in a publicly available format, subject to any restrictions due to the protection of intellectual property, security rules or legitimate interests ▌.
The work programme may provide for additional dissemination obligations while safeguarding the Union’s economic and scientific interests .
3. Beneficiaries shall ensure that open access to scientific publications applies under the terms and conditions laid down in the grant agreement. In particular, the beneficiaries shall ensure that they or the authors retain sufficient intellectual property rights to comply with their open access requirements.
Open access to research data shall be the general rule under the terms and conditions laid down in the grant agreement, ensuring the possibility of exceptions following the principle ‘as open as possible, as closed as necessary’ , taking into consideration the legitimate interests of the beneficiaries including commercial exploitation and any other constraints, such as data protection rules, privacy, confidentiality, trade secrets, Union competitive interests, security rules or intellectual property rights.
The work programme may provide for additional incentives or obligations to adhere to open science practices.
4. Beneficiaries shall manage all research data generated in a Horizon Europe action in line with the FAIR principles and in accordance with the terms and conditions laid down in the grant agreement and shall establish a Data Management Plan.
The work programme may provide , where justified, for additional obligations to use the European Open Science Cloud (EOSC) for storing and giving access to research data.
5. Beneficiaries that intend to disseminate their results shall give advance notice to the other beneficiaries in the action. Any other beneficiary may object if it can show that the intended dissemination would significantly harm its legitimate interests in relation to its results or background. In such cases, the dissemination may not take place unless appropriate steps are taken to safeguard these legitimate interests.
6. Unless the work programme provides otherwise, proposals shall include a plan for the exploitation and dissemination of the results. If the expected exploitation entails developing, creating, manufacturing and marketing a product or process, or in creating and providing a service, the plan shall include a strategy for such exploitation. If the plan provides for exploitation primarily in non-associated third countries, the legal entities shall explain how that exploitation is still in the Union interest.
The beneficiaries shall update the plan during and after the end of the action, in accordance with the grant agreement .
7. For the purposes of monitoring and dissemination by the Commission or funding body, the beneficiaries shall provide any requested information regarding the exploitation and dissemination of their results , in accordance with the conditions laid down in the grant agreement . Subject to the legitimate interests of the beneficiaries, such information shall be made publicly available.
Article 36
Transfer and licensing
1. Beneficiaries may transfer ownership of their results. They shall ensure that their obligations also apply to the new owner and that the latter has the obligation to pass them on in any subsequent transfer.
2. Unless agreed otherwise in writing for specifically-identified third parties including Affiliated Entities or unless impossible under applicable law, beneficiaries that intend to transfer ownership of results shall give advance notice to any other beneficiary that still has access rights to the results. The notification must include sufficient information on the new owner to enable a beneficiary to assess the effects on its access rights.
Unless agreed otherwise in writing for specifically-identified third parties including Affiliated Entities , a beneficiary may object to the transfer if it can show that the transfer would adversely affect its access rights. In this case, the transfer may not take place until agreement has been reached between the beneficiaries concerned. The grant agreement shall lay down time limits in this respect.
3. Beneficiaries may grant licences to their results or otherwise give the right to exploit them, including on an exclusive basis, if this does not affect compliance with their obligations. Exclusive licences for results may be granted subject to consent by all the other beneficiaries concerned that they will waive their access rights thereto.
4. Where this is justified, the grant agreement shall lay down the right for the Commission or funding body to object to transfers of ownership of results, or to grants of an exclusive licence regarding results, if:
(a) |
the beneficiaries generating the results have received Union funding; |
(b) |
the transfer or licence is to a legal entity established in a non-associated third country; and |
(c) |
the transfer or licence is not in line with Union interests. |
If the right to object applies, the beneficiary shall give advance notice. The right to object may be waived in writing regarding transfers or grants to specifically identified legal entities if measures safeguarding Union interests are in place.
Article 37
Access rights
1. The following access rights principles shall apply:
(a) |
a request to exercise access rights or any waiving of access rights shall be made in writing; |
(b) |
unless otherwise agreed with the grantor, access rights do not include the right to sub-license; |
(c) |
the beneficiaries shall inform each other before their accession to the grant agreement of any restrictions to granting access to their background; |
(d) |
if a beneficiary is no longer involved in an action, it shall not affect its obligations to grant access; |
(e) |
if a beneficiary defaults on its obligations, the beneficiaries may agree that it no longer has access rights. |
2. Beneficiaries shall grant access to:
(a) |
their results on a royalty-free basis to any other beneficiary in the action that needs it to implement its own tasks; |
(b) |
their background to any other beneficiary in the action that needs it to implement its own tasks, subject to any restrictions referred to in paragraph 1(c); that access shall be granted on a royalty-free basis, unless otherwise agreed by the beneficiaries before their accession to the grant agreement; |
(c) |
their results and, subject to any restrictions referred to in paragraph 1(c), to their background to any other beneficiary in the action that needs it to exploit its own results; that access shall be granted under fair and reasonable conditions to be agreed upon. |
3. Unless otherwise agreed by the beneficiaries, they shall also grant access to their results and, subject to any restrictions referred to in paragraph 1(c), to their background to a legal entity that:
(a) |
is established in a Member State or associated country; |
(b) |
is under the direct or indirect control of another beneficiary, or is under the same direct or indirect control as that beneficiary, or is directly or indirectly controlling that beneficiary; and |
(c) |
needs the access to exploit the results of that beneficiary , in accordance with the beneficiary's exploitation obligations . |
Access shall be granted under fair and reasonable conditions to be agreed upon.
4. A request for access for exploitation purposes may be made up to one year after the end of the action, unless the beneficiaries agree on a different time-limit.
5. Beneficiaries having received Union funding shall grant access to their results on a royalty-free basis to the Union institutions, bodies, offices or agencies for developing, implementing and monitoring Union policies or programmes. Access shall be limited to non-commercial and non-competitive use.
Such access rights shall not extend to the beneficiaries’ background.
In actions under the cluster ‘ Civil security for Society’, beneficiaries having received Union funding shall also grant access to their results on a royalty-free basis to Member States' national authorities, for developing, implementing and monitoring their policies or programmes in that area. Access shall be limited to non-commercial and non-competitive use and shall be granted upon bilateral agreement defining specific conditions aimed at ensuring that those rights will be used only for the intended purpose and that appropriate confidentiality obligations will be in place. The requesting Member State, Union institution, body, office or agency shall notify all Member States of such requests.
6. The work programme may provide , where appropriate, for additional access rights.
Article 38
Specific provisions ▌
Specific rules on ownership, exploitation and dissemination, transfer and licensing as well as access rights may apply for ERC actions, training and mobility actions, pre-commercial procurement actions, public procurement of innovative solutions actions, programme co-fund actions and coordination and support actions.
These specific rules shall be set out in the grant agreement and shall not change the principles and obligations on open access.
▌
Article 39
Prizes
1. Prizes under the Programme shall be awarded and managed in accordance with Title IX of the Financial Regulation, unless otherwise specified in this Chapter.
2. Any legal entity, regardless of its place of establishment, may participate in a contest, unless otherwise provided in the work programme or rules of contests.
3. The Commission or funding body may , where appropriate, organise prizes with:
(a) |
other Union bodies; |
(b) |
third countries, including their scientific and technological organisations or agencies; |
(c) |
international organisations; or |
(d) |
non-profit legal entities. |
4. The work programme or rules of contest shall include obligations regarding communication, and where appropriate exploitation and dissemination , ownership and access rights including licensing provisions .
CHAPTER IV
Procurement
Article 40
Procurement
1. Procurement under the Programme shall be awarded and managed in accordance with Title VII of the Financial Regulation, unless otherwise specified in this Chapter.
2. Procurement may also take the form of pre-commercial procurement or procurement of innovative solutions carried out by the Commission or the funding body on its own behalf or jointly with contracting authorities from Member States and associated countries. In this case, the rules set out in Article 22 shall apply.
CHAPTER V
Blending operations and blended finance
Article 41
Blending operations
Blending operations decided under this Programme shall be implemented in accordance with the InvestEU Programme and Title X of the Financial Regulation.
Article 42
Horizon Europe and EIC Blended finance
1. The grant and reimbursable advance components of Horizon Europe or EIC blended finance shall be subject to Articles 30 to 33.
2. EIC blended finance shall be implemented in accordance with Article 43. The support under the EIC blended finance may be granted until the action can be financed as a blending operation or as a financing and investment operation fully covered by the EU guarantee under InvestEU. By derogation from Article 209 of the Financial Regulation, the conditions laid down in paragraph (2) and, in particular, paragraph (a) and (d), do not apply at the time of the award of EIC blended finance
3. Horizon Europe blended finance may be awarded to a programme co-fund where a joint programme of Member States and associated countries provides for the deployment of financial instruments in support of selected actions. The evaluation and selection of such actions shall be made in accordance with Articles 11, 19, 20, 24, 25 , and 26 . The implementation modalities of the Horizon Europe blended finance shall comply with Article 29, by analogy Article 43(9) and with additional and justified conditions defined by the work programme.
4. Repayments including reimbursed advances and revenues of Horizon Europe and EIC blended finance shall be considered as internal assigned revenues in accordance with Articles 21(3)(f) and 21(4) of Financial Regulation.
5. Horizon Europe and EIC blended finance shall be provided in a manner that promotes the Union's competitiveness while not distorting competition in the internal market.
Article 42a
The Pathfinder
1. The Pathfinder shall provide grants to high-risk cutting-edge projects, implemented by consortia or monobeneficiaries, aiming to develop radical innovations and new market opportunities. The Pathfinder shall provide support for the earliest stages of scientific, technological or deep-tech research and development, including proof of concept and prototypes for technology validation.
The Pathfinder shall be mainly implemented through an open call for bottom-up proposals with regular cut-off dates per year and shall also provide for competitive challenges to develop key strategic objectives calling for deep-tech and radical thinking.
2. The Pathfinder's Transition activities shall help all types of researchers and innovators develop the pathway to commercial development in the Union, such as demonstration activities and feasibility studies to assess potential business cases, and support the creation of spin offs and start-ups.
(a) |
the launch and the content of the calls for proposals shall be determined with regard to objectives and budget established by the work programme in relation with the concerned portfolio of actions; |
(b) |
Additional grants for a fixed amount not exceeding EUR 50 000 may be awarded to each proposal already selected under the EIC Pathfinder through a call for proposals, to carry out complementary activities, including urgent coordination and support actions, for reinforcing the portfolio’s community of beneficiaries, such as assessing possible spin-offs, potential market-creating innovations or developing a business plan. The Programme Committee established under the Specific Programme shall be informed of such cases. |
3. The award criteria as defined in Article 25 shall apply to the EIC Pathfinder.
Article 43
The Accelerator
1. The EIC's Accelerator shall aim to support essentially market-creating innovation. It shall support only monobeneficiaries and mainly provide blended finance. Under certain conditions, it may also provide grant-only and equity-only supports.
The EIC Accelerator shall propose two types of support:
— |
Blended finance support to SMEs including start-ups and, in exceptional cases, small midcaps carrying out breaktrough and disruptive non-bankable innovation. |
— |
A grant-only support to SMEs, including start-ups, carrying out any type of innovation ranging from incremental to breakthrough and disruptive innovation and aiming to subsequently scale up. |
Equity-only support to non-bankable SMEs, including start-ups, which have already received a grant-only support, may also be provided.
Grant only support under the EIC Accelerator shall only be provided under the following cumulative conditions:
a) |
the project shall include information on the capacities and willingness of the applicant to scale-up; |
b) |
the beneficiary can only be a start-up or an SME; |
c) |
a grant-only support under the EIC Accelerator can only be provided once to a beneficiary during Horizon Europe for a maximum of EUR 2,5 million. |
1a. The beneficiary of the EIC Accelerator shall be a legal entity qualifying as a start-up, an SME or in exceptional cases as a small mid-cap eager to scale-up, established in a Member State or associated country. The proposal may be submitted either by the beneficiary, or, subject to the prior agreement by the beneficiary , by one or more natural persons or legal entities intending to establish or support that beneficiary. In the latter case, the funding agreement will be signed with the beneficiary only.
2. A single award decision shall cover and provide funding for all forms of Union contribution provided under EIC blended finance.
3. Proposals shall be evaluated on their individual merit by external independent experts and selected in the context of a continuously open call with cut-off dates, based on Articles 24 to 26, subject to paragraph 4
4. Award criteria shall be
(a) |
excellence; |
(b) |
impact; |
(c) |
the level of risk of the action that would prevent investments, the quality and efficiency of the implementation, and the need for Union support. |
5. With the agreement of applicants concerned, the Commission or funding bodies implementing Horizon Europe (including EIT's KICs) may directly submit for evaluation under the last award criterion a proposal for an innovation and market deployment action which already fulfils the first two criteria, subject to the following cumulative conditions:
(a) |
the proposal shall stem from any other action funded by Horizon 2020, from this Programme; or , subject to a pilot in the first Horizon Europe work programme, from a national and/or regional programmes, starting with the mapping of the demand for such a scheme. Detailed provisions shall be laid down in the Specific Programme . |
(b) |
be based on a previous project review not longer than 2 years ago assessing the excellence and the impact of the proposal and subject to conditions and processes further detailed in the work programme. |
6. A Seal of Excellence may be awarded subject to the following cumulative conditions:
(a) |
the beneficiary is a start-up, an SME or a small mid-cap , |
(b) |
the proposal was eligible and has passed applicable thresholds for the first two award criteria referred to in paragraph 4, |
(c) |
for those activities that would be eligible under an innovation action. |
7. For a proposal having passed the evaluation, external independent experts shall propose a corresponding EIC Accelerator support , based on the risk incurred and the resources and time necessary to bring and deploy the innovation to the market.
The Commission may reject a proposal retained by external independent experts for justified reasons, including non- compliance with the objectives of Union policies. The Programme Committee shall be informed of the reasons for such rejections.
8. The grant or the reimbursable advance component of the EIC Accelerator support shall not exceed 70 % of the total eligible costs of the selected innovation action.
9. Implementation modalities of the equity and repayable support components of the EIC Accelerator support shall be detailed in Decision [Specific programme].
10. The contract for the selected action shall establish specific measurable milestones and the corresponding pre-financing and payments by instalments of the EIC Accelerator support .
In the case of EIC blended finance, activities corresponding to an innovation action may be launched and first pre-financing of the grant or the reimbursable advance paid, prior to the implementation of other components of the awarded EIC blended finance. The implementation of those components shall be subject to the achievement of specific milestones established in the contract.
11. In accordance with the contract, the action shall be suspended, amended or if duly justified be terminated if measurable milestones are not met. It may also be terminated where the expected market deployment especially in the Union cannot be met.
In exceptional cases and upon advice by the EIC board, the Commission may decide to increase the EIC Accelerator support subject to a project review by external independent experts. The Programme Committee shall be informed of such cases.
Chapter VI
Experts
Article 44
Appointment of independent external experts
1. Independent external experts shall be identified and selected on the basis of calls for applications from individuals and calls addressed to relevant organisations such as research agencies, research institutions, universities, standardisation organisations, civil society organisations or enterprises with a view to establishing a database of candidates.
By derogation from Article 237(3) of the Financial Regulation, the Commission or the relevant funding body may , exceptionally and in duly justified cases, select in a transparent manner any individual expert with the appropriate skills not included in the database provided that a call for expressions of interest has not identified suitable independent external experts.
Such experts shall declare their independence and capacity to support Horizon Europe objectives.
2. In accordance with Article 237(2) and 237(3) of the Financial Regulation, independent external experts shall be remunerated based on standard conditions. If justified, and in exceptional cases an appropriate level of remuneration beyond the standard conditions based on relevant market standards, especially for specific high level experts, may be granted.
3. In addition to paragraphs 2 and 3 of Article 38 of the Financial Regulation, the names of independent external experts evaluating grant applications, who are appointed in a personal capacity shall be published, together with their area of expertise, at least once a year on the internet site of the Commission or the funding body. Such information shall be collected, processed and published in accordance with the EU data protection rules.
3a. The Commission or the relevant funding body shall take the appropriate measures to prevent conflicts of interest as regards the involvement of independent external experts in line with Articles 61 and 150(5) of the Financial Regulation.
The Commission or the relevant funding body shall ensure that an expert faced with a conflict of interest in relation to a matter on which the expert is required to provide an opinion does not evaluate, advise or assist on the specific matter in question.
3-b. When appointing independent external experts, the Commission or the relevant funding body shall take appropriate measures to seek a balanced composition within the expert groups and evaluation panels in terms of skills, experience, knowledge, including in terms of specialisation, in particular on SSH, geographical diversity and gender, taking into account the situation in the field of the action.
3b. Where appropriate, an adequate number of independent experts shall be ensured for each proposal in order to guarantee the quality of the evaluation.
3c. The level of remuneration of all independent and external experts shall be made available to the European Parliament and the Council. It shall be covered by the expenses of the Programme.
TITLE III
PROGRAMME MONITORING, COMMUNICATION, EVALUATION AND CONTROL
Article 45
Monitoring and reporting
1. The Commission shall monitor continuously the management and implementation of Horizon Europe, its specific programme and the activities of the EIT. In order to enhance transparency, this data shall also be made publicly available in an accessible manner on the Commission's webpage according to the latest update.
In particular, data for projects funded under ERC, European Partnerships, missions, EIC and EIT shall be included in the same database.
This shall include:
(i) |
‘ Time-bound i ndicators to report on an annual basis on progress of the Programme towards the achievement of the objectives established in Article 3 and set in Annex V along impact pathways;’ |
(ii) |
information on the level of mainstreaming social sciences and humanities, the ratio between lower and higher TRLs in collaborative research, the progress on widening countries participation, the geographical composition of consortia in collaborative projects, the evolution of researchers salaries, the use of two stage submission and evaluation procedure, the measures aimed at facilitating collaborative links in European research and innovation, the use of the evaluation review and the number and types of complaints, the level of climate mainstreaming and related expenditures, SME participation, private sector participation, gender participation in funded actions, evaluation panels, boards and advisory groups, the Seals of Excellence, the European Partnerships as well as the co-funding rate, the complementary and cumulative funding from other Union funds, research infrastructures, time-to-grant, the level of international cooperation, engagement of citizens’ and civil society participation. |
(iii) |
the levels of expenditure disaggregated at project level in order to allow for specific analysis, including per intervention area. |
(iv) |
the level of oversubscription, in particular the number of proposals and per call for proposals, their average score, the share of proposals above and below quality thresholds. |
2. The Commission is empowered to adopt delegated acts in accordance with Article 50 concerning amendments to Annex V to supplement or amend the impact pathway indicators, where considered necessary, and set baselines and targets.
3. The performance reporting system shall ensure that data for monitoring programme implementation and results are collected efficiently, effectively and in a timely manner without increasing the administrative burden for beneficiaries . To that end, proportionate reporting requirements shall be imposed on recipients of Union funds, including at the level of researchers involved in the actions in order to be able to track their career and mobility, and (where relevant) Member States (32).
3a. Qualitative analysis from the Commission and Union or national funding bodies shall complement as much as possible quantitative data.
4. The measures aimed at facilitating collaborative links in European research and innovation shall be monitored and reviewed within the context of the work programmes.
Article 46
Information, communication, publicity and dissemination and exploitation
1. The recipients of Union funding shall acknowledge the origin and ensure the visibility of the Union funding (in particular when promoting the actions and their results , including for prizes ) by providing coherent, effective and proportionate targeted information to multiple audiences, including the media and the public.
2. The Commission shall implement information and communication actions relating to the Programme, and its actions and results. In addition, it shall provide timely and thorough information to Member States and beneficiaries. Evidence-based matchmaking services informed by analytics and network affinities shall be provided to interested entities in order to form consortia for collaborative projects, with particular attention to identifying networking opportunities for legal entities from low R&I performing Member States. On the basis of such analysis, targeted match-making events may be organised in function of specific calls for proposals. Financial resources allocated to the Programme shall also contribute to the corporate communication of the political priorities of the Union, as far as they are related to the objectives referred to in Article 3.
3. The Commission shall also establish a dissemination and exploitation strategy for increasing the availability and diffusion of the Programme’s research and innovation results and knowledge to accelerate exploitation towards market uptake and boost the impact of the Programme. Financial resources allocated to the Programme shall also contribute to the corporate communication of the political priorities of the Union as well as information, communication, publicity, dissemination and exploitation activities as far as they are related to the objectives referred to in Article 3.
Article 47
Programme evaluation
1. Programme evaluations shall be carried out in a timely manner to feed into the decision-making process on the programme, its successor and other initiatives relevant to research and innovation.
2. The interim evaluation of the Programme shall be with the assistance of independent experts selected on the basis of a transparent process carried out once there is sufficient information available about the implementation of the Programme, but no later than four years after the start of the programme implementation. It shall include a portfolio analysis and an assessment of the long-term impact of previous Framework Programmes and shall form the basis to adjust programme implementation and/or review the programme, as appropriate . It shall assess the Programme’s effectiveness, efficiency, relevance, coherence, and Union added value.
3. At the end of the implementation of the Programme, but no later than four years after the end of the period specified in Article 1, a final evaluation of the Programme shall be completed by the Commission. It shall include an assessment of the long-term impact of previous Framework Programmes.
4. The Commission shall publish and communicate the conclusions of the evaluations accompanied by its observations and shall present them to the European Parliament, the Council, the European Economic and Social Committee and the Committee of the Regions.
Article 48
Audits
1. The control system for the Programme shall ensure an appropriate balance between trust and control, taking into account administrative and other costs of controls at all levels, especially for beneficiaries. Audit rules shall be clear, consistent and coherent throughout the Programme.
2. The audit strategy for the Programme shall be based on the financial audit of a representative sample of expenditure across the Programme as a whole. The representative sample shall be complemented by a selection based on an assessment of the risks related to expenditure. Actions that receive joint funding from different Union programmes shall be audited only once, covering all involved programmes and their respective applicable rules.
3. In addition, the Commission or funding body may rely on combined systems reviews at beneficiary level. These combined reviews shall be optional for certain types of beneficiaries and shall consist in a systems and process audit, complemented by an audit of transactions, carried out by a competent independent auditor qualified to carry out statutory audits of accounting documents in accordance with Directive 2006/43/EC (33). They may be used by the Commission or funding body to determine overall assurance on the sound financial management of expenditure and for reconsideration of the level of ex-post audits and certificates on financial statements.
4. In accordance with Article 127 of the Financial Regulation, the Commission or funding body may rely on audits on the use of Union contributions carried out by other independent and competent persons or entities, including by other than those mandated by the Union Institutions or bodies.
5. Audits may be carried out up to two years after the payment of the balance.
5a. The Commission shall publish audit guidelines, aiming to ensure a reliable and uniform application and interpretation of the audit procedures and rules throughout the duration of the programme.
Article 49
Protection of financial interests of the Union
1. The Commission or its representatives, and the Court of Auditors, shall have the power of audit or, in the case of international organisations, the power of verification in accordance with agreements reached with them, on the basis of documents and on-the-spot, over all grant beneficiaries, contractors and subcontractors who have received Union funds under this Regulation.
2. The European Anti-Fraud Office (OLAF) may carry out administrative investigations, including on-the-spot checks and inspections, in accordance with the provisions and procedures laid down in Regulation (EU, Euratom) No 883/2013 of the European Parliament and of the Council and Council Regulation (Euratom, EC) No 2185/96, with a view to establishing whether there has been fraud, corruption or any other illegal activity affecting the financial interests of the Union in connection with Union funding or budgetary guarantees under this Regulation.
3. Competent authorities of third countries and international organisations may also be required to cooperate with the European Public Prosecutor's Office (EPPO), in accordance with Mutual Legal Assistance Agreements, when it carries out investigations into criminal offences falling within its competence in accordance with Regulation (EU) 2017/1939.
4. Without prejudice to paragraphs 1 and 2, cooperation agreements with third countries and with international organisations, contracts, grant agreements and other legal commitments, as well as agreements establishing a budgetary guarantee, resulting from the implementation of this Regulation shall contain provisions expressly empowering the Commission, the Court of Auditors and OLAF to conduct such audits, on-the-spot checks and inspections, according to their respective competences. This shall include provisions to ensure that any third parties involved in the implementation of Union funds or of a financing operation supported, in whole or in part, by a budgetary guarantee grant equivalent rights.
Article 50
Exercise of the delegation
1. The power to adopt delegated acts is conferred on the Commission subject to the conditions laid down in this Article.
2. The power to adopt delegated acts referred to in Article 45(2) shall be conferred on the Commission until 31 December 2028.
3. The delegation of power referred to in Article 45(2) may be revoked at any time by the European Parliament or by the Council. A decision to revoke shall put an end to the delegation of power specified in that decision. It shall take effect the day following the publication of the decision in the Official Journal of the European Union or at a later date specified therein. It shall not affect the validity of any delegated acts already in force.
4. Before adopting a delegated act, the Commission shall consult experts designated by each Member State in accordance with the principles laid down in the Interinstitutional Agreement of 13 April 2016 on Better Law-Making.
5. As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the European Parliament and to the Council.
6. A delegated act adopted pursuant to Article 45(2) shall enter into force if no objection has been expressed either by the European Parliament or by the Council within a period of two months of notification of that act to the European Parliament and the Council or if, before the expiry of that period, the European Parliament and the Council have both informed the Commission that they will not object. That period shall be extended by two months at the initiative of the European Parliament or of the Council.
TITLE IV
TRANSITIONAL AND FINAL PROVISIONS
Article 51
Repeal
Regulation (EU) No 1291/2013 and Regulation (EU) No 1290/2013 are repealed with effect from 1 January 2021.
Article 52
Transitional provisions
1. This Regulation shall not affect the continuation or modification of the actions concerned, under Regulation (EU) No 1291/2013 and Regulation (EU) No 1290/2013, which shall continue to apply to those actions until their closure. Work plans and actions provided for in work plans adopted under Regulation (EU) No 1290/2013 and under the corresponding funding bodies' basic acts shall also continue to be governed by Regulation (EU) No 1290/2013 and those basic acts until their completion.
2. The financial envelope for the Programme may also cover technical and administrative assistance expenses necessary to ensure the transition between the Programme and the measures adopted under its predecessor Regulation (EU) No 1291/2013.
Article 53
Entry into force
This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at …
For the European Parliament
The President
For the Council
The President
(1) OJ C […], […], p. […].
(2) OJ C […], […], p. […].
(3) Position of the European Parliament of 17 April 2019. The underlined text has not been agreed in the framework of interinstitutional negotiations.
(4) Commission Recommendation 2003/361/EC of 6 May 2003 concerning the definition of micro, small and medium-sized enterprises (OJ L 124, 20.5.2003, p. 36).
(5)
(6) The following Commission declaration is expected to be published in the OJ C series once the final text of the Regulation is adopted:
‘The implementation of the EIC Accelerator shall comply with the terms established in article 43.1 and recital [X] of the Horizon Europe Regulation’.
(7) Regulation (EC) No 294/2008 of the European Parliament and of the Council of 11 March 2008 (OJ L 97, 9.4.2008, p. 1), as amended by Regulation (EU) No 1292/2013 of the European Parliament and of the Council of 11 December 2013 (OJ L 347, 20.12.2013, p. 174).
(8) Regulation (EU) of the European Parliament and of the Council.
(9)
(10) OJ C 373, 20.12.2013, p. 1.
(11) Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council of 18 July 2018 on the financial rules applicable to the general budget of the Union, amending Regulations (EU) No 1296/2013, (EU) No 1301/2013, (EU) No 1303/2013, (EU) No 1304/2013, (EU) No 1309/2013, (EU) No 1316/2013, (EU) No 223/2014, (EU) No 283/2014, and Decision No 541/2014/EU and repealing Regulation (EU, Euratom) No 966/2012 (OJ L 193, 30.7.2018, p. 1).
(12) Regulation (EU, Euratom) No 883/2013 of the European Parliament and of the Council of 11 September 2013 concerning investigations conducted by the European Anti-Fraud Office (OLAF) and repealing Regulation (EC) No 1073/1999 of the European Parliament and of the Council and Council Regulation (Euratom) No 1074/1999,(OJ L 248, 18.9.2013, p. 1.
(13) Council Regulation (EC, Euratom) No 2988/95 of 18 December 1995 on the protection of the European Communities financial interests (OJ L 312, 23.12.1995, p. 1).
(14) Council Regulation (Euratom, EC) No 2185/96 of 11 November 1996 concerning on-the-spot checks and inspections carried out by the Commission in order to protect the European Communities' financial interests against fraud and other irregularities (OJ L 292, 15.11.1996, p. 2).
(15) Council Regulation (EU) 2017/1939 of 12 October 2017 implementing enhanced cooperation on the establishment of the European Public Prosecutor’s Office (‘the EPPO’) (OJ L 283, 31.10.2017, p. 1).
(16) Directive (EU) 2017/1371 of the European Parliament and of the Council of 5 July 2017 on the fight against fraud to the Union's financial interests by means of criminal law (OJ L 198, 28.7.2017, p. 29).
(17) Council Decision 2013/755/EU of 25 November 2013 on the association of the overseas countries and territories with the European Union (Overseas Association Decision) (OJ L 344, 19.12.2013, p. 1).
(18) OJ C 205, 19.7.2013, p. 9.
(19) Commission Decision (EU, Euratom) 2015/444 of 13 March 2015 on the security rules for protecting EU classified information (OJ L 72, 17.3.2015, p. 53).
(20) Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council of 18 July 2018 on the financial rules applicable to the general budget of the Union, amending Regulations (EU) No 1296/2013, (EU) No 1301/2013, (EU) No 1303/2013, (EU) No 1304/2013, (EU) No 1309/2013, (EU) No 1316/2013, (EU) No 223/2014, (EU) No 283/2014, and Decision No 541/2014/EU and repealing Regulation (EU, Euratom) No 966/2012 (OJ L 193, 30.7.2018, p. 1).
(21)
(22) Regulation (EU) No 1303/2013 of the European Parliament and of the Council of 17 December 2013 laying down common provisions on the European Regional Development Fund, the European Social Fund, the Cohesion Fund, the European Agricultural Fund for Rural Development and the European Maritime and Fisheries Fund and laying down general provisions on the European Regional Development Fund, the European Social Fund, the Cohesion Fund and the European Maritime and Fisheries Fund and repealing Council Regulation (EC) No 1083/2006.
(23) OJ…
(24) The following Commission declaration is expected to be published in the OJ C series once the final text of this Regulation is adopted:
‘The Commission takes note of the compromise reached by the co-legislators on the wording of Article 5. In the Commission’s understanding the specific programme on defence research mentioned in Article 1(3)(b) is limited only to the research actions under the future European Defence Fund while the development actions are considered outside the scope of this Regulation’.
(25) A Commission declaration is expected to be published in the OJ C series once the final text of the Regulation is adopted, along these lines: ‘Upon request, the Commission intends to exchange views with the responsible Committee in the European Parliament on:(i) the list of potential partnerships candidates based on the Articles 185 and 187 TFEU which will be covered by (inception) impact assessments; (ii) the list of tentative missions identified by the Mission boards; (iii)the results of the Strategic Plan before its formal adoption, and (iv) it will present and share documents related to work programmes.’
(26) Research relating to cancer treatment of the gonads can be financed
(27) Subject to the final legal act, the Commission will issue a statement on human embryonic stem cell research as in H2020 (Declaration 2013 / C 373/02).
(28) Directive 2014/24/EU of the European Parliament and of the Council of 26 February 2014 on public procurement and repealing Directive 2004/18/EC. (OJ L 94, 28.03.2014, p. 65).
(29) Directive 2014/25/EU of the European Parliament and of the Council of 26 February 2014 on procurement by entities operating in the water, energy, transport and postal services sectors and repealing Directive 2004/17/EC (OJ L 94, 28.03.2014, p. 243).
(30) Directive 2009/81/EC of the European Parliament and of the Council of 13 July 2009 on the coordination of procedures for the award of certain works contracts, supply contracts and service contracts by contracting authorities or entities in the fields of defence and security, and amending Directives 2004/17/EC and 2004/18/EC (OJ L 216, 20.08.2009, p. 76).
(31) The procedure will be explained in a document published before the start of the evaluation process.
(32) Provisions for the monitoring of the European Partnerships are set out in the Annex III of the Regulation.
(33) Directive 2006/43/EC of the European Parliament and of the Council of 17 May 2006 on statutory audits of annual accounts and consolidated accounts, amending Council Directive 78/660/EEC and 83/349/EEC and repealing Council Directive 84/253/EEC (OJ L 157, 9.6.2006, p. 87)
ANNEX I
BROAD LINES OF ACTIVITIES
The general and specific objectives set out in Article 3 shall be pursued across the Programme, through the areas of intervention and the broad lines of activity described in this Annex, as well as in Annex I to the Specific Programme.
(1) Pillar I ‘ Excellent Science’
Through the following activities, this pillar shall , in line with Article 4, promote scientific excellence, attract the best talent to Europe, provide appropriate support to early stage researchers and support the creation and diffusion of scientific excellence, high-quality knowledge , methodologies and skills, technologies and solutions to global social, environmental and economic challenges. It shall also contribute to the other Programme's specific objectives as described in Article 3.
(a) |
European Research Council: Providing attractive and flexible funding to enable talented and creative individual researchers , with an emphasis on early stage researchers, and their teams to pursue the most promising avenues at the frontier of science, regardless of their nationality and country of origin and on the basis of Union-wide competition based solely on the criterion of excellence . Area of intervention: Frontier science |
(b) |
Marie Skłodowska-Curie Actions: Equipping researchers with new knowledge and skills through mobility and exposure across borders, sectors and disciplines, enhancing training and career development systems as well as structuring and improving institutional and national recruitment , taking into account the European Charter for Researchers and Code of Conduct for the recruitment of researchers ; in so doing, the Marie Skłodowska-Curie Actions help to lay the foundations of Europe's excellent research landscape across the whole of Europe, contributing to boosting jobs, growth, and investment, and solving current and future societal challenges. Areas of intervention: Nurturing excellence through mobility of researchers across borders, sectors and disciplines; fostering new skills through excellent training of researchers; strengthening human resources and skills development across the European Research Area; improving and facilitating synergies; promoting public outreach. |
(c) |
Research Infrastructures: Endowing Europe with world-class sustainable research infrastructures which are open, and accessible to the best researchers from Europe and beyond. Encouraging the use of existing research infrastructures, including those financed from ESIF. In so doing the potential of the research infrastructure to support scientific advance and innovation, and to enable open and excellent science, following the FAIR principles, will be enhanced, alongside activities in related Union policy and international cooperation. Areas of intervention: Consolidating and developing the landscape of European research infrastructures; Opening, integrating and interconnecting research infrastructures; The innovation potential of European research infrastructures and activities for innovation and training; Reinforcing European research infrastructure policy and international cooperation; |
(2) Pillar II ‘Global Challenges and European Industrial Competitiveness ’
Through the following activities, this pillar shall , in line with Article 4, support the creation and better diffusion of high-quality new knowledge, technologies and sustainable solutions, reinforce the competitiveness of European industry, strengthen the impact of research and innovation in developing, supporting and implementing Union policies, and support the uptake of innovative solutions in industry, notably in SMEs and start-ups, and society to address global challenges. It shall also contribute to the other Programme's specific objectives as described in Article 3.
SSH shall be fully integrated across all clusters, including specific and dedicated activities.
To maximise impact flexibility and synergies, research and innovation activities shall be organised in six clusters , interconnected through pan-European research infrastructures , which individually and together will incentivise interdisciplinary, cross-sectoral, cross-policy, cross-border and international cooperation. Activities from a broad range of TRLs, including lower TRLs will be covered in this pillar of Horizon Europe.
Each cluster contributes towards several SDGs; and many SDGs are supported by more than one cluster.
The R&I activities shall be implemented in and across the following clusters:
(a) |
Cluster ‘Health’: Improving and protecting the health and well-being of citizens at all ages, by generating new knowledge, developing innovative solutions , and ensuring to integrate where relevant a gender perspective to prevent, diagnose, monitor, treat and cure diseases and developing health technologies ; mitigating health risks, protecting populations and promoting good health and well-being, also in the work place ; making public health systems more cost-effective, equitable and sustainable; preventing and tackling poverty-related diseases; and supporting and enabling patients' participation and self-management. Areas of intervention: Health throughout the life course; Environmental and social health determinants; Non-communicable and rare diseases; Infectious diseases , including poverty-related and neglected diseases ; Tools, technologies and digital solutions for health and care , including personalised medicine ; Health care systems. |
(b) |
Cluster ‘Culture, creativity and inclusive society’: Strengthening ▌democratic values, including rule of law and fundamental rights, safeguarding our cultural heritage, exploring the potential of cultural and creative sectors, and promoting socio-economic transformations that contribute to inclusion and growth, ▌including migration management and integration of migrants . Areas of intervention: Democracy and governance ; Culture, cultural heritage and creativity ; Social and economic transformations.▌ |
(c) |
Cluster‘Civil Security for Society’: Responding to the challenges arising from persistent security threats, including cybercrime, as well as natural and man-made disasters. Areas of intervention: Disaster-resilient societies; Protection and security; Cybersecurity. |
d) |
Cluster ‘Digital, Industry and Space’: Reinforcing capacities and securing Europe's sovereignty in key enabling technologies for digitisation and production, and in space technology, all along the value chain, to build a competitive, digital, low-carbon and circular industry; ensure a sustainable supply of raw materials; develop advanced materials and provide the basis for advances and innovation in ▌global societal challenges. Areas of intervention: Manufacturing technologies; Key digital technologies, including quantum technologies; Emerging enabling technologies; Advanced materials; Artificial intelligence and robotics; Next generation internet; Advanced computing and Big Data; Circular industries; Low carbon and clean industries ; Space, including earth observation . |
(e) |
Cluster ‘Climate, Energy and Mobility’: Fighting climate change by better understanding its causes, evolution, risks, impacts and opportunities, by making the energy and transport sectors more climate and environment-friendly, more efficient and competitive, smarter, safer and more resilient, promote the use of renewable energy sources and energy efficiency, improve resilience of the Union to external shocks and adapt social behaviour in view of the SDGs . Areas of intervention: Climate science and Solutions ; Energy Supply ; Energy Systems and Grids ; Buildings and Industrial Facilities in Energy Transition ; Communities and Cities ; Industrial Competitiveness in Transport ; Clean, Safe and Accessible Transport and Mobility ; Smart Mobility ; Energy Storage . |
(f) |
Cluster ‘Food , Bioeconomy, Natural Resources , Agriculture and Environment’ : Protecting the environment , restoring, sustainably managing and using natural and biological resources from land , inland waters and sea to stop biodiversity erosion, to address food and nutrition security for all and the transition to a low carbon, resource efficient and circular economy and sustainable bioeconomy . Areas of intervention: Environmental observation; Biodiversity and natural resources ; Agriculture, forestry and rural areas; Seas, oceans and inland waters ; Food systems; Bio-based innovation systems in the EU bioeconomy ; Circular systems. |
(g) |
Non-nuclear direct actions of the Joint Research Centre: Generating high-quality scientific evidence for efficient and affordable good public policies. New initiatives and proposals for EU legislation need transparent, comprehensive and balanced evidence to be sensibly designed , whereas implementation of policies needs evidence to be measured and monitored. The JRC will provide Union policies with independent scientific evidence and technical support throughout the policy cycle. The JRC will focus its research on EU policy priorities. Areas of intervention: Health; Culture, creativity and inclusive society; civil security for society ; digital, industry and space ; climate, energy and mobility; food, bioeconomy, natural resources, agriculture and environment ; support to the functioning of the internal market and the economic governance of the Union; support to Member States with implementation of legislation and development of smart specialisation strategies; analytical tools and methods for policy making; knowledge management; knowledge and technology transfer; support to science for policy platforms. |
(3) Pillar III ‘Innovative Europe’
Through the following activities, this pillar shall , in line with Article 4, foster all forms of innovation, including non-technological innovation, primarily within SMEs including start-ups, by facilitating technological development, demonstration and knowledge transfer, and strengthen ▌deployment of innovative solutions. It shall also contribute to the Programme's other specific objectives as described in Article 3. The EIC will be implemented primarily through two intrumentsthe Pathfinder, implemented mainly through collaborative research, and the Accelerator.
(a) |
European Innovation Council: focusing mainly on breakthrough and disruptive innovation, targeting especially market-creating innovation, while also supporting all types of innovation, including incremental. Areas of intervention: Pathfinder for advanced research , supporting future and emerging breakthrough , market-creating and/or deep tech technologies; The Accelerator, bridging the financing gap between late stages of research and innovation activities and market take-up, to effectively deploy breakthrough, market-creating innovation and scale up companies where the market does not provide viable financing; ▌additional EIC activities such as prizes and fellowships, and business added-value services. |
(b) |
European innovation ecosystems Areas of intervention: Activities will include in particular connecting, where relevant in cooperation with the EIT, with ▌national and regional innovation actors and supporting the implementation of joint cross-border innovation programmes by Member States, Regions and associated countries, from the exchange of practice and knowledge on innovation regulation to the enhancement of soft skills for innovation to research and innovation actions, including open or user-led innovation, to boost the effectiveness of the European innovation system. This should be implemented in synergy inter alia with the ERDF support for innovation eco-systems and interregional partnerships around smart specialisation topics. |
(c) |
The European Institute of Innovation and Technology Areas of intervention: Sustainable innovation ecosystems across Europe; Innovation and entrepreneurial skills in a lifelong learning perspective, including increasing capacities of higher education institutions across Europe; New solutions to market to address global ▌challenges ▌; Synergies and value added within Horizon Europe. |
(4) Part ‘Widening participation and strengthening the European Research Area’
Through the following activities, this pillar shall pursue the specific objectives as set out in ▌Art 3(2)(d). It shall also contribute to the ▌other Programme's specific objectives as described in Article 3. While underpinning the entire Programme, this part will support activities that contribute to attracting talent, fostering brain circulation and preventing brain drain, a more knowledge-based and innovative and gender-equal Europe, at the front edge of global competition, fostering transnational cooperation and thereby optimising national strengths and potential across the whole Europe in a well-performing European Research Area (ERA), where knowledge and a highly skilled workforce circulate freely in a balanced manner , where the outcomes of R&I are widely disseminated to as well as understood and trusted by informed citizens and benefit society as a whole, and where EU policy, notably R&I policy, is based on high quality scientific evidence.
It shall also support activities aimed at improving the quality of proposals from legal entities from low R&I performing Member States, such as professional pre-proposal checks and advice, and boosting the activities of National Contact Points to support international networking, as well as activities aimed at supporting legal entities from low R&I performing Member States joining already selected collaborative projects in which legal entities from such Member States are not participating.
Areas of intervention: Widening participation and spreading excellence , including through Teaming, Twinning, ERA-Chairs, COST, Excellence initiatives and activities to foster brain circulation ; Reforming and enhancing the European R&I system , including through for example supporting national research and innovation policy reform, providing attractive career environments, and supporting gender and citizen science.
ANNEX Ia
EUROPEAN INSTITUTE OF INNOVATION AND TECHNOLOGY (EIT)
The following shall apply in the implementation of the programme activities of the EIT:
1. Rationale
As the report of the High Level Group on maximising the impact of EU research and innovation (the Lamy High Level Group) clearly states, the way forward is ‘to educate for the future and invest in people who will make the change’. In particular, European higher education institutions are called to stimulate entrepreneurship, tear down disciplinary borders and institutionalise strong inter -disciplinary academia-industry collaborations. According to recent surveys, access to talented people is by far the most important factor influencing the location choices of European founders of start-ups. Entrepreneurship education, training opportunities and the development of creative skills play a key role in cultivating future innovators and in developing the abilities of existing ones to grow their business to greater levels of success. Access to entrepreneurial talent, together with access to professional services, capital and markets on the EU level, and bringing key innovation actors together around a common goal are key ingredients for nurturing an innovation ecosystem. There is a need to coordinate efforts across the EU.in order to create a critical mass of interconnected EU-wide entrepreneurial clusters and ecosystems.
The EIT is today’s Europe’s largest integrated innovation ecosystem which brings together partners from business, research, education and beyond. The EIT will continue to support its Knowledge and Innovation Communities (KICs), which are large-scale European partnerships addressing specific global challenges, and strengthen the innovation ecosystems around them. It will do so by fostering the integration of education, research and innovation of the highest standards, thereby creating environments conducive to innovation, and by promoting and supporting a new generation of entrepreneurs and stimulating the creation of innovative companies in close synergy and complementarity with the EIC.
Throughout Europe, efforts are still needed to develop ecosystems where researchers, innovators, industries and governments can easily interact. Innovation ecosystems, in fact, still do not work optimally due to a number of ▌ reasons such as:
— |
Interaction among innovation players is still hampered by organizational, regulatory and cultural barriers between them; |
— |
Efforts to strengthen innovation ecosystems shall benefit from coordination and a clear focus on specific objectives and impact. |
To address future societal challenges, embrace the opportunities of new technologies and contribute to environmentally friendly and sustainable economic growth, jobs, competitiveness and the well-being of Europe’s citizens, there is the need to further strengthen Europe’s capacity to innovate by: strenghtening existing and fostering the creation of new environments conducive to collaboration and innovation; strengthening the innovation capabilities of academia and the research sector; supporting a new generation of entrepreneurial people; stimulating the creation and the development of innovative ventures , as well as strengthening the visibility and recognition of EU funded research and innovation activities, in particular the EIT funding to the wider public.
The nature and scale of the innovation challenges require liaising and mobilising players and resources at European scale, by fostering cross-border collaboration. There is a need to break down silos between disciplines and along value chains and nurture the establishment of a favorable environment for an effective exchange of knowledge and expertise, and for the development and attraction of entrepreneurial talents. The Strategic Innovation Agenda of the EIT shall ensure coherence with the challenges of Horizon Europe, as well as complimentarity to the EIC.
2. Areas of Intervention
2.1. Sustainable innovation ecosystems across Europe
In accordance with the EIT regulation and the EIT Strategic Innovation Agenda, the EIT will play a reinforced role in strengthening sustainable challenges-based innovation ecosystems throughout Europe. In particular, the EIT will continue to operate primarily through its Knowledge and Innovation Communities (KICs), the large-scale European partnerships that address specific societal challenges. It will continue to strengthen innovation ecosystems around them, by opening them up and by fostering the integration of research, innovation and education. Furthermore, EIT will strenghten innovation ecosystems throughout Europe by expanding its Regional Innovation Scheme (EIT RIS). The EIT will work with innovation ecosystems that exhibit high innovation potential based on strategy, thematic alignment and envisaged impact, in close synergy with Smart Specialisation Strategies and Platforms.
— |
Reinforcing the effectiveness and the openness to new partners of the existing KICs enabling the transition to self-sustainability in the long-term, and analyzing the need of setting up new ones to tackle global challenges. The specific thematic areas will be defined in the Strategic Innovation Agenda, taking into account the Strategic Planning; |
— |
Accelerating regions towards excellence in countries that are that are defined in the Strategic Innovation Agenda in close cooperation with structural funds and other relevant EU funding programmes where appropriate. |
2.2. Innovation and entrepreneurial skills in a lifelong learning perspective , including increasing capacities of higher education institutions across Europe
The EIT education activities will be reinforced to foster innovation and entrepreneurship through purposeful education and training. A stronger focus on human capital development will be grounded on the expansion of existing EIT KICs education programmes in the view of continuing to offer students and professionals high quality curricula based on innovation, creativity and entrepreneurship in line in particular with the EU industrial and skills strategy. This may include researchers and innovators supported by other parts of Horizon Europe, in particular MSCA. The EIT will also support the modernisation of higher education institutions across Europe and their integration in innovation ecosystems by stimulating and increasing their entrepreneurial potential and capabilities and encouraging them to better anticipate new skills requirements.
— |
Development of innovative curricula, taking into account the future needs of society and industry, and cross-cutting programmes to be offered to students, entrepreneurs and professionals across Europe and beyond where specialist and sector specific knowledge is combined with ▌innovation-oriented and entrepreneurial skills, such as ▌high-tech skills related to digital and sustainable key enabling technologies ; |
— |
Strengthening and expanding the EIT label in order to improve the visibility and the recognition of EIT of education programmes based on partnerships between different higher education institutions, research centres and companies while enhancing its overall quality by offering learning-by-doing curricula and purposeful entrepreneurship education as well as international, inter-organisational and cross-sectorial mobility; |
— |
Development of innovation and entrepreneurship capabilities of the higher education sector, by leveraging and promoting the EIT Community expertise in linking education, research and business; |
— |
Reinforcing the role of the EIT Alumni community as role model for new students and strong instrument to communicate EIT impact. |
2.3. New solutions to the market to address global challanges
The EIT will facilitate, empower and award entrepreneurs, innovators, researchers , educators, students and other innovation actors , while ensuring gender mainstreaming, to work together in cross-disciplinary teams to generate ideas and transform them into both incremental and disruptive innovations. Activities will be characterised by an open innovation and cross-border approach, with a focus on including relevant Knowledge Triangle activities that are pertinent to making them a success (e.g. project’s promoters can improve their access to: specifically qualified graduates, lead users , start-ups with innovative ideas, non-domestic firms with relevant complementary assets etc.).
— |
Support the development of new products, services and markets opportunities where Knowledge Triangle actors will collaborate to bring solutions to global challenges ; |
— |
Fully integrate the entire innovation value chain: from student to entrepreneur, from idea to product, from lab to customer. This include support for start-ups and scaling-up businesses. |
— |
Provision of high-level services and support to innovative businesses, including technical assistance to fine-tuning of products or services, substantive mentoring, support to secure target customers and raise capital, in order to swiftly reach the market and speed up their growth process. |
2.4. Synergies and value added within Horizon Europe
The EIT will step up its efforts to capitalise on synergies and complementarities between existing KICs and with different actors and initiatives at EU and global levels and extend its network of collaborating organisations at both strategic and operational levels , while avoiding duplications .
— |
C lose c ooperation with the EIC and InvestEU in streamlining the support (i.e. funding and services) offered to ▌innovative ventures in both start-up and scale-up stages, in particular through KICs; Planning and implementation of EIT activities in order to maximise synergies and complementarities with other parts of the Programme ; |
— |
Engage with EU Member States, at both national and regional level, establishing a structured dialogue and coordinating efforts to enable synergies with ▌ national and regional initiatives , including smart specialisation strategies, also considering through the implementation of the ‘European Innovation Ecosystems’, in order to identify, share and disseminate best practices and learnings; |
— |
Share and disseminate innovative practices and learnings throughout Europe and beyond, so as to contribute to innovation policy in Europe in coordination with other parts of Horizon Europe; |
— |
Provision of input to innovation policy discussions and contribution to the design and implementation of EU policy priorities by continuously working with all relevant European Commission services, other EU programmes and their stakeholders, and further exploring opportunities within policy implementing initiatives; |
— |
Exploitation of synergies with other EU programmes, including those supporting human capital development and innovation (e.g. COST, ESF+, ERDF, Erasmus +, Creative Europe and COSME Plus/Single Market, InvestEU ); |
— |
Building strategic alliances with key innovation actors at EU and international level, and support to KICs to develop collaboration and linkages with key Knowledge Triangle partners from third countries, with the aim of opening new markets for KICs’-backed solutions and attract financing and talents from abroad. Participation of third countries shall be promoted with regard to the principles of reciprocity and mutual benefits. |
▌
ANNEX III
PARTNERSHIPS
European Partnerships shall be selected and implemented, monitored, evaluated, phased-out or renewed on the basis of the following criteria
1) |
Selection
|
2) |
Implementation:
|
3) |
Monitoring:
|
4) |
Evaluation, phasing-out and renewal:
|
ANNEX IV
SYNERGIES WITH OTHER PROGRAMMES
1. |
Synergies with the European Agricultural Guarantee Fund and the European Agricultural Fund for Rural Development (Common Agricultural Policy-CAP) will ensure that:
|
2. |
Synergies with the European Maritime and Fisheries Fund (EMFF) will ensure that:
|
3. |
Synergies with the European Regional Development Fund (ERDF) will ensure that:
|
4. |
Synergies with the European Social Fund Plus (ESF+) will ensure that:
|
5. |
Synergies with the Connecting Europe Facility (CEF) will ensure that:
|
6. |
Synergies with the Digital Europe Programme (DEP) will ensure that:
|
7. |
Synergies with the Single Market Programme will ensure that:
|
8. |
Synergies with the LIFE — Programme for Environment and Climate Action (LIFE) will ensure that: Research and innovation needs to tackle environmental, climate and energy challenges within the EU are identified and established during the Programme’s strategic research and innovation planning process. LIFE will continue to act as a catalyst for implementing EU environment, climate and relevant energy policy and legislation, including by taking up and applying research and innovation results from the Programme and help deploying them at national and (inter-)regional scale where it can help address environmental, climate or clean energy transition issues. In particular LIFE will continue to incentivise synergies with the Programme through the award of a bonus during the evaluation for proposals which feature the uptake of results from the Programme. LIFE standard action projects will support the development, testing or demonstration of suitable technologies or methodologies for implementation of EU environment and climate policy, which can subsequently be deployed at large scale, funded by other sources, including by the Programme. The Programme’s EIT as well as the future European Innovation Council can provide support to scale up and commercialise new breakthrough ideas that may result from the implementation of LIFE projects. |
9. |
Synergies with the Erasmus Programme will ensure that:
|
10. |
Synergies with the European Space Programme will ensure that:
|
11. |
Synergies with the Neighbourhood, Development and International Cooperation Instrument (the ‘External Instrument’) will ensure that the Programme's research and innovation activities with the participation of Third Countries and targeted international cooperation actions seek alignment and coherence with parallel market uptake and capacity-building actions strands under the External Instrument, based on joint definition of needs and areas of intervention commonly defined during the Programme's strategic research and innovation planning process. |
12. |
Synergies with the Internal Security Fund and the instrument for border management as part of the Integrated Border Management Fund will ensure that:
|
13. |
Synergies with the InvestEU Fund will ensure that:
|
14. |
Synergies with the Innovation Fund under the Emission Trading Scheme (the ‘Innovation Fund’) will ensure that:
|
15. |
Synergies with the Euratom Research and Training Programme will ensure that:
|
16. |
Potential synergies with the European Defence Fund will contribute to avoiding duplication. |
16a. |
Synergies with Creative Europe will support competitiveness and innovation, contributing to economic and social growth and promoting the effective use of public funds. |
16b. |
Synergies with any Important Projects of Common European Interest (IPCEI) may be envisaged. |
(1) Communication from the Commission to the European Parliament and the Council on the European Innovation Partnership ‘Agricultural Productivity and Sustainability’ (COM(2012)0079).
ANNEX V
KEY IMPACT PATHWAY INDICATORS
Impact pathways, and related key impact pathway indicators, shall structure the monitoring of the Framework Programme’s (FP) progress towards its objectives as referred to in Article 3 . The impact pathways are time-sensitive and reflect three complementary impact categories reflecting the non-linear nature of R&I investments: scientific, societal and technological/economic. For each of these impact categories, proxy indicators will be used to track progress distinguishing between the short, medium and longer terms, including beyond the Programme duration, with possibilities for breakdowns, including by Member States and associated countries. These indicators shall be compiled using quantitative and qualitative methodologies. Individual Programme parts will contribute to these indicators to a different degree and through different mechanisms. Additional indicators may be used to monitor individual programme parts, where relevant.
The micro-data behind the key impact pathway indicators will be collected for all parts of the Programme and all delivery mechanisms in a centrally managed and harmonised way and at the appropriate level of granularity with minimal reporting burden on the beneficiaries.
In addition and beyond key impact pathways indicators, data on the optimised delivery of the Programme for strenghtening the European Research Area, fostering the excellence-based participations from all Member States in the Programme as well as facilitating collaborative links in European research and innovation will be collected and reported in close to real-time as part of implementation and management data, referred to in Article 45. This will include, inter alia, the monitoring of collaborative links, network analytics, data on proposals, applications, participations and projects; applicants and participants (including the type of organization (such as Civil Society Organisations, SMEs and private sector), country (such as a specific classification for country groups such as Member States, associated countries and third countries), gender, role in project, scientific discipline/sector, including SSH); and the level of climate mainstreaming and related expenditures.
Scientific impact pathway indicators
The Programme is expected to have scientific impact by creating high-quality new knowledge, strengthening human capital in research and innovation, and fostering diffusion of knowledge and Open Science. Progress towards this impact will be monitored through proxy indicators set along the following three key impact pathways.
Societal impact pathway indicators
The Programme is expected to have societal impact by addressing the EU policy priorities and global challenges, including UN SDGs, following the principles of the Agenda 2030 and the goals of the Paris Agreement, through R&I, delivering benefits and impact through R&I missions and European Partnerships and strengthening the uptake of innovation in society ultimately contributing to people’s well-being . Progress towards this impact will be monitored through proxy indicators set along the following three key impact pathways.
Technological /Economic ▌ impact pathway indicators
The Programme is expected to have technological/ economic ▌impact especially within the Union by influencing the creation and growth of companies, especially SMEs including start-ups, creating direct and indirect jobs especially within the Union , and by leveraging investments for research and innovation. Progress towards this impact will be monitored through proxy indicators set along the following three key impact pathways.
Annex V — table 1
Towards scientific impact |
Short-term |
Medium-term |
Longer-term |
Creating high-quality new knowledge |
Publications - Number of FP peer reviewed scientific publications |
Citations - Field-Weighted Citation Index of FP peer reviewed publications |
World-class science - Number and share of peer reviewed publications from FP projects that are core contribution to scientific fields |
Strengthening human capital in R&I |
Skills - Number of researchers involved in upskilling (training, mentoring/coaching, mobility and access to R&I infrastructures) activities in FP projects |
Careers - Number and share of upskilled FP researchers with increased individual impact in their R&I field |
Working conditions - Number and share of upskilled FP researchers with improved working conditions, including researchers' salaries |
Fostering diffusion of knowledge and Open Science |
Shared knowledge - Share of FP research outputs (open data/publication/ software etc.) shared through open knowledge infrastructures |
Knowledge diffusion - Share of open access FP research outputs actively used/cited |
New collaborations - Share of FP beneficiaries having developed new transdisciplinary/ transsectoral collaborations with users of their open FP R&I outputs |
Annex V — table 2
Towards societal impact |
Short-term |
Medium-term |
Longer-term |
Addressing EU policy priorities and global challenges through R&I |
Outputs - Number and share of outputs aimed at addressing identified EU policy priorities and global challenges (including SDGs) (multidimensional: for each identified priority) Including: Number and share of climate-relevant outputs aimed at delivering on the EU's commitments under the Paris Agreement |
Solutions - Number and share of innovations and research results addressing identified EU policy priorities and global challenges (including SDGs) (multidimensional: for each identified priority) Including: Number and share of climate-relevant innovations and research results delivering on EU's commitments under the Paris Agreement |
Benefits - Aggregated estimated effects from use/ exploitation of FP-funded results, on tackling identified EU policy priorities and global challenges (including SDGs), including contribution to the policy and law-making cycle ( such as norms and standards ) (multidimensional: for each identified priority) Including: Aggregated estimated effects from use /exploitation of FP-funded climate-relevant results on delivering on the EU's commitments under the Paris Agreement including contribution to the policy and law-making cycle (such as norms and standards) |
Delivering benefits and impact through R&I missions |
R&I mission outputs - Outputs in specific R&I Missions (multidimensional: for each identified mission) |
R&I mission results - Results in specific R&I Missions (multidimensional: for each identified mission) |
R&I mission targets met - Targets achieved in specific R&I missions (multidimensional: for each identified mission) |
Strengthening the uptake of research and innovation in society |
Co-creation - Number and share of FP projects where EU citizens and end-users contribute to the co-creation of R&I content |
Engagement - Number and share of FP beneficiary entities with citizen and end-users engagement mechanisms after FP project |
Societal R&I uptake - Uptake and outreach of FP co-created scientific results and innovative solutions |
Annex V — table 3
Towards technological / economic impact |
Short-term |
Medium-term |
Longer-term |
Generating innovation-based growth |
Innovative outputs — Number of innovative products, processes or methods from FP (by type of innovation) & Intellectual Property Rights (IPR) applications |
Innovations — Number of innovations from FP projects (by type of innovation) including from awarded IPRs |
Economic growth — Creation, growth & market shares of companies having developed FP innovations |
Creating more and better jobs |
Supported employment — Number of FTE jobs created, and jobs maintained in beneficiary entities for the FP project (by type of job) |
Sustained employment — Increase of FTE jobs in beneficiary entities following FP project (by type of job) |
Total employment Number of direct & indirect jobs created or maintained due to diffusion of FP results (by type of job) |
Leveraging investments in R&I |
Co-investment — Amount of public & private investment mobilised with the initial FP investment |
Scaling-up — Amount of public & private investment mobilised to exploit or scale-up FP results (including foreign direct investments) |
Contribution to ‘3 % target’ — EU progress towards 3 % GDP target due to FP |
ANNEX Va
Areas for possible missions and areas for possible institutionalised European Partnerships to be established under Article 185 or 187 TFEU
In accordance with Article 7 and 8 of this Regulation, the areas for possible Missions and possible European Partnerships to be established under Articles 185 or 187 TFEU are set out in this Annex.
I. Areas for possible Missions
|
Missions Area 1: Adaptation to Climate Change, including Societal Transformation |
|
Mission Area 2: Cancer |
|
Mission Area 3: Healthy Oceans, Seas, Coastal and Inland Waters |
|
Mission Area 4: Climate-Neutral and Smart Cities |
|
Mission Area 5: Soil Health and Food |
|
Each mission will follow the principles set out in Article 7 paragraph 3 of this Regulation. |
II. Areas for possible institutionalised European Partnerships on the basis of Article 185 TFEU or Article 187 TFEU
|
Partnership Area 1: Faster development and safer use of health innovations for European patients, and global health. |
|
Partnership Area 2: Advancing key digital and enabling technologies and their use, including but not limited to novel technologies such as Artificial Intelligence, photonics and quantum technologies. |
|
Partnership Area 3: European leadership in Metrology including an integrated Metrology system. |
|
Partnership Area 4: Accelerate competitiveness, safety and environmental performance of EU air traffic, aviation and rail. |
|
Partnership Area 5: Sustainable, inclusive and circular bio-based solutions. |
|
Partnership Area 6: Hydrogen and sustainable energy storage technologies with lower environmental footprint and less energy-intensive production. |
|
Partnership Area 7: Clean, connected, cooperative, autonomous and automated solutions for future mobility demands of people and goods. |
|
Partnership Area 8: Innovative and R&D intensive small and medium-sized enterprises. |
The process of assessing the need for an institutionalised European partnership in one of the abovementioned Partnership Areas may result in a proposal on the basis of Article 185 TFEU or Article 187 TFEU, in accordance with the European Commission's right of initiative. Otherwise the respective Partnership Area can also be subject to a partnership following Article 8(1)(a) or Article 8(1)(b) of the Framework Programme or be implemented by calls for proposals within Horizon Europe.
As the possible areas for institutionalised European partnerships cover broad thematic fields, they can, based on the assessed needs, be implemented by more than one partnership.
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/253 |
P8_TA(2019)0396
Programme implementing Horizon Europe***I
European Parliament legislative resolution of 17 April 2019 on the proposal for a decision of the European Parliament and of the Council on establishing the specific programme implementing Horizon Europe — the Framework Programme for Research and Innovation (COM(2018)0436 — C8-0253/2018 — 2018/0225(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/43)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2018)0436)), |
— |
having regard to Article 294(2) and Articles 173(3) and 182(4) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0253/2018), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
having regard to the letter from its President to the committee chairs of 25 January 2019 outlining the Parliament's approach to the Multiannual Financial Framework (MFF) post-2020 sectorial programmes, |
— |
having regard to the letter from the Council to the President of the European Parliament of 1 April 2019 confirming the common understanding reached between the co-legislators during negotiations, |
— |
having regard to Rule 59 of its Rules of Procedure, |
— |
having regard to the report of the Committee on Industry, Research and Energy and the opinions of the Committee on Development, the Committee on Budgets, the Committee on Budgetary Control, the Committee on the Environment, Public Health and Food Safety, the Committee on Transport and Tourism and the Committee on Agriculture and Rural Development (A8-0410/2018), |
A. |
whereas a partial political agreement was found on the Specific Programme implementing the Horizon Europe Framework Programme; whereas that agreement is based on a significantly amended text compared to the Commission proposal; whereas this has a bearing on the legal basis; whereas the institutions exchanged views in that regard pursuant to the Interinstitutional Agreement of 13 April 2016 on Better Law-Making (1); whereas the issue of the legal basis should therefore be adapted at a later stage of the procedure for this file; |
1. |
Adopts its position at first reading hereinafter set out (2); |
2. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
3. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
(1) OJ L 123, 12.5.2016, p. 1.
(2) This position replaces the amendments adopted on 12 December 2018 (Texts adopted, P8_TA(2018)0510).
P8_TC1-COD(2018)0225
Position of the European Parliament adopted at first reading on 17 April 2019 with a view to the adoption of Decision (EU) …/… of the European Parliament and of the Council on establishing the specific programme implementing Horizon Europe — the Framework Programme for Research and Innovation
(Text with EEA relevance)
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on the Functioning of the European Union, and in particular Articles 173(3) and 182(4) thereof,
Having regard to the proposal from the European Commission,
After transmission of the draft legislative act to the national parliaments,
Having regard to the opinion of the European Economic and Social Committee (1),
Having regard to the opinion of the Committee of the Regions (2),
Having regard to the European Parliament’s report on the assessment of Horizon 2020 implementation in view of its interim evaluation and the 9th Framework Programme proposal;
Acting in accordance with the ordinary legislative procedure (3),
Whereas:
(1) |
In accordance with Article 182(3) of the Treaty on the Functioning of the European Union (TFEU), the Horizon Europe — Framework Programme for Research and Innovation (‘Horizon Europe’), established by FP/RfP Regulation (EU) No … of the European Parliament and of the Council of… (4) , is to be implemented through specific programmes, which define the detailed rules for their implementation, fix their duration and provide for the means deemed necessary. |
(2) |
FP/RfP Regulation (EU) No … sets out the general and specific objectives of Horizon Europe, the structure and the broad lines of activities to be carried out, while this specific programme implementing Horizon Europe — the Framework Programme for Research and Innovation (the ‘Specific Programme’) should define the operational objectives and the activities which are specific to parts of Horizon Europe. The provisions on implementation set out in FP/RfP Regulation (EU) No … apply fully to the Specific Programme, including those relating to ethical principles. |
(3) |
In order to ensure uniform conditions for the implementation of the Specific Programme, implementing powers should be conferred on the Commission to adopt work programmes for the implementation of the Specific Programme. Those powers should be exercised in accordance with Regulation (EU) No 182/2011 of the European Parliament and of the Council (5). |
(4) |
The Board of Governors of the Joint Research Centre (JRC), set up by Commission Decision 96/282/Euratom (6) has been consulted on the scientific and technological content of the Specific Programme on the non-nuclear direct actions of the JRC. |
(5) |
Reflecting the importance of tackling climate change in line with the Union's commitments to implement the Paris Agreement and the United Nations Sustainable Development Goals, this Specific Programme will contribute to mainstream climate actions and to the achievement of an overall target of at least 25 % of the EU budget expenditures supporting climate objectives over the MFF 2021-2027 period, and an annual target of 30 % as soon as possible and at the latest by 2027 . Actions under this Specific Programme will contribute at least 35 % of the overall financial envelope of the Specific Programme to climate objectives. Relevant actions will be identified during the Specific Programme's preparation and implementation, and reassessed in the context of the relevant evaluations and review processes. Attention will be paid to coal- and carbon-intensive areas of the Union in transition. |
(6) |
The Specific Programme's actions should be used to address market failures or sub-optimal investment situations, in a proportionate manner, without duplicating or crowding out private financing and have a clear European added value. |
(7) |
Reflecting the important contribution that research and innovation should make to address challenges in food, agriculture, rural development and the bioeconomy, and to seize the corresponding research and innovation opportunities in close synergy with Common Agricultural Policy, relevant actions under the Specific Programme will be supported ▌in a dedicated cluster‘Food , Bioeconomy, Natural Resources , Agriculture and Environment ’ for the period 2021-2027. |
(8) |
The completion of the Digital Single Market and the growing opportunities from the convergence of digital and physical technologies requires a stepping up of investments. Horizon Europe will contribute to these efforts with a ▌ (7) dedicated cluster to ensure that Europe remains at the forefront of global research and innovation in the digital field. |
(9) |
The types of financing and the methods of implementation under this Decision shall be chosen on the basis of their ability to achieve the specific objectives of the actions and to deliver results, taking into account, in particular, the costs of controls, the administrative burden, and the expected risk of non-compliance. For grants, this shall include consideration of the use of lump sums, flat rates and scales of unit costs. |
(10) |
Member States should be involved early in the process of defining missions. |
HAVE ADOPTED THIS DECISION:
CHAPTER I
GENERAL PROVISIONS
Article 1
Subject matter
This Decision establishes the specific programme implementing Horizon Europe — the Framework Programme for Research and Innovation (the ‘Specific Programme’), as set out in Article 1(3)(a) of the FP/RfP Regulation…/…/EU.
It lays down the operational objectives of the Specific Programme, the budget for the period 2021 — 2027, the rules for implementation of the Specific Programme and activities to be carried out under the Specific Programme.
Article 2
Operational objectives
1. The Specific Programme shall contribute to the general and specific objectives set out in Article 3 of Regulation … FP/RfP Regulation
2. The Specific Programme has the following operational objectives:
(a) |
strengthening excellent basic and frontier research; reinforcing and spreading excellence , including by fostering wider participation throughout the Union ; |
(b) |
reinforcing the link between research, innovation, and where appropriate, education and other policies, including complementarities with national and regional and EU research and innovation policies and activities ; |
(ba) |
supporting the implementation of Union policy priorities including in particular the sustainable development goals and the Paris Agreement; |
(c) |
promoting responsible research and innovation, taking into account the precautionary principle ; |
(ca) |
strengthening the gender dimension across the Programme; |
(cb) |
increasing collaboration links in European research and innovation and across sectors and disciplines , including social sciences and humanities ; |
(d) |
strengthening international cooperation; |
(da) |
connecting and developing research infrastructures across the European Research Area and providing transnational access ; |
(e) |
attracting talent , training and retaining researchers and innovators in the European Research Area, including through mobility▌; |
(f) |
fostering open science and ensuring visibility to the public and open access to scientific publications and research data, including appropriate exceptions ; |
(g) |
encouraging exploitation of R&I results and actively disseminating and exploiting results, in particular for leveraging private investments and policy development; |
▌ |
|
▌ |
|
(j) |
delivering, through R&I missions, on ambitious goals within a set timeframe; |
(k) |
improving the relationship and interaction between science and society, including the visibility of science in society and science communication, and promoting the involvement of citizens and end-users in co-design and co-creation processes; |
▌ |
|
(m) |
accelerating industrial transformation , including through improved skills for innovation ; |
▌ |
|
(o) |
stimulating R&I activities in SMEs and the creation and scale-up of innovative companies, in particular start-ups, SMEs , and in exceptional cases small mid-caps ; |
(p) |
improving access to risk finance, including through synergies with InvestEU, in particular where the market does not provide viable financing. |
3. Within the objectives referred to in paragraph 2, account may be taken of new and unforeseen needs that arise during the period of implementation of the Specific Programme. That may, if duly justified, include responses to emerging opportunities, crises and threats, as well as responses to needs relating to the development of new Union policies.
Article 3
Structure
1. In accordance with Article 4(1) of Regulation … FP/RfP Regulation, the Specific Programme shall consist of the following parts:
(1) |
Pillar I ‘ Excellent Science’ with the following components:
|
(2) |
Pillar II ‘Global Challenges and European Industrial Competitiveness’ with the following components:
|
(3) |
Pillar III ‘ Innovative Europe ’ with the following components:
▌ |
(4) |
Part ‘ Widening Participation and Strengthening the European Research Area’ with the following components:
|
2. The activities to be carried out under the parts referred to in paragraph 1 are described in Annex I.
Article 4
Budget
1. In accordance with Article 9(1)of Regulation … FP/RfP Regulation, the financial envelope for the implementation of the Specific Programme for the period 2021 to 2027 shall be EUR 120 000 000 000 in 2018 prices.
2. The amount referred to in paragraph 1 of this Article shall be distributed among the components set out in Article 3(1) of this Decision in accordance with Article 9(2) of Regulation … FP/RfP Regulation. The arrangements of Article 9(3) to (8) of Regulation … FP/RfP Regulation shall apply.
CHAPTER II
IMPLEMENTATION AND PROGRAMMING
Article 4a
Strategic Plan
1. In accordance with Article 6 paragraph 6 of the [Framework Programme Regulation], the implementation of the Specific Programme shall be facilitated by a multiannual Strategic Plan of research and innovation activities, also promoting consistency between the work programmes, EU priorities and national priorities. The result of the Strategic Planning Process shall be set out in a multiannual Strategic Plan, for preparing the content in the work programmes (as set out in Article 11) covering a maximum period of four years, while retaining sufficient flexibility to respond rapidly to new and emerging challenges, unexpected opportunities and crises.
2. The Strategic Planning Process shall focus in particular on the ‘Global challenges and European industrial competitiveness’ pillar and cover also relevant activities in other pillars and the Widening Participation and Strengthening the European Research Area part.
The Commission shall ensure early involvement and extensive exchanges with the Member States, and extensive exchanges with the European Parliament, complemented by consultation with stakeholders and the public at large. This will contribute to a stronger engagement with citizens and civil society.
Member States may support the strategic planning process also through providing an overview of national consultations/citizens' contributions that feed into the Strategic Plan.
3. The Strategic Plan shall be adopted by the Commission, by means of an implementing act, in accordance with the examination procedure referred to in Article 12(4). The Strategic Plan shall correspond to the objectives and activities described in Annex 1. This Implementing Act shall contain the following elements, relating to the period covered:
a. |
Key strategic orientations for R&I support, including a description of expected impacts, cross-cluster issues and intervention areas covered. |
b. |
Identification of European Partnerships according to Article 8(1)(a and b) of the [FP Regulation]. |
ba. |
Identification of Missions according to Article 5 of the Specific Programme and Article 7 and Annex Va of the Regulation establishing Horizon Europe. |
c. |
Areas for international cooperation, actions to be aligned with Research & Innovation of other nations and regions of the world at major scale, or actions to be carried out in cooperation with organisations in third countries. |
d. |
Specific issues, such as the balance between research and innovation; the integration of Social Sciences and Humanities; the role of Key Enabling Technologies and strategic value chains; gender equality, including the integration of gender dimension in the R&I content; adherence to the highest ethics and integrity standards; priorities for dissemination and exploitation. |
4. The Strategic Plan shall take into account an analysis covering at least the following elements:
a) |
Political, socio-economic and environmental drivers which are relevant for the EU and Member States' policy priorities. |
b) |
The contribution of research and innovation to the realisation of EU policy objectives, while capitalizing on studies, other scientific evidence and relevant initiatives at EU and national level, including institutionalised partnerships according to article 8(1)(c)of the [Framework Programme Regulation]. |
c) |
Evidence-base resulting from foresight activities, S&T and innovation indicators, international developments such as the implementation of the SDGs and feedback from implementation, including monitoring the implementation of specific measures with regard to widening participation and spreading excellence and participation of SMEs. |
d) |
Priorities with the potential to be implemented in synergy with other EU programmes. |
e) |
A description of the various approaches for stakeholder consultation and citizen engagement as part of the work to develop Work Programmes; |
f) |
Complementarity and synergies with planning of the KICs of the EIT in accordance with Regulation 294/2008/EC. |
5. The strategic planning process shall be complemented by a strategic coordinating process for European Partnerships, with participation of Member States and the Commission on equal footing. It shall function as an entry point for foresight analysis, analysis and advice on the portfolio development, possible setup, implementation, monitoring and phasing out of R&I partnerships and be guided by a comprehensive criteria framework, based on Annex III of the Horizon Europe Regulation.
Article 5
Missions
1. Research and Innovation Missions may be established in the mission areas identified in Annex Va of the Regulation establishing Horizon Europe.
2. For each mission, a mission board shall be established , unless existing advisory structures can be used, in which case the Programme Committee shall be informed in advance . The mission board shall be composed of a maximum of 15 independent high level individuals with broad expertise, including where appropriate SSH experts, from across Europe and beyond, including relevant end-users' representatives. The members of the mission boards shall be appointed by the Commission, following a transparent procedure for their identification, including an open call for expressions of interest. The Programme Committee shall be consulted on the identification and selection procedures, including the criteria used, in a timely manner. The term of office of mission board members shall be up to five years, renewable once.
3. The mission board shall advise , without having decision-making powers, the Commission upon the following:
(a) |
identification and design of one or more missions in the respective mission area according to the provisions and criteria as set out in Article 7 of [Framework Programme Regulation] |
(b) |
content of work programmes and their revision as needed for achieving the mission objectives, ▌with input from stakeholders and , where relevant, the public▌; |
(c) |
characteristics of project portfolios for missions; |
(d) |
adjustment actions, or termination if appropriate, based on implementation assessments according to the defined objectives of the mission; |
(e) |
selection of independent expert evaluators following the provisions of Article 44 [of the Framework Programme Regulation] , briefing of expert evaluators and evaluation criteria and their weighting; |
(f) |
framework conditions which help achieve the objectives of the mission; |
(g) |
communication , including on the performance and the achievements of the mission . |
(h) |
policy coordination between relevant actors at different levels, in particular regarding synergies with other Union policies; |
(i) |
key performance indicators. |
The advice of the mission boards shall be made public.
▌
4. For each Mission area, the Programme Committee shall be involved in the preparation and life cycle of the missions, taking into account relevant issues from the national context and opportunities to enhance alignment with activities on national level. Interactions with the mission boards shall take place in a timely and comprehensive manner.
5. The work programme provided for in Article 11 shall include for each mission identified in the Strategic Plan, the design, the characteristics of their project portfolios and specific provisions to enable an efficient portfolio approach.
Article 6
European Research Council
1. The Commission shall establish a European Research Council (‘ERC’), for implementing the actions under Pillar I ‘ Excellent Science’ which relate to the ERC. The ERC shall succeed the ERC set up by Decision C(2013)1895 (8).
2. The ERC shall be composed of the independent Scientific Council provided for in Article 7 and the dedicated implementation structure provided for in Article 8.
3. The ERC shall have a President who shall be chosen from among senior and internationally respected scientists.
The President shall be appointed by the Commission following a transparent recruitment process involving an independent dedicated search committee, for a term of office limited to four years, renewable once. The recruitment process and the candidate selected shall have the approval of the Scientific Council.
The President shall chair the Scientific Council and shall ensure its leadership and liaison with the dedicated implementation structure, and represent it in the world of science.
4. The ERC shall operate according to its core principles of scientific excellence, open science, autonomy, efficiency, effectiveness, transparency, accountability and research integrity . It shall ensure continuity with ERC actions conducted under Decision …/EC.
5. The activities of the ERC shall support frontier research , in a bottom-up manner, carried out across all fields by principal investigators and their teams in competition at the European level , including early-stage career researchers .
6. The Commission shall act as the guarantor of the autonomy and integrity of the ERC and shall ensure the proper execution of the tasks entrusted to it.
The Commission shall ensure that the implementation of the ERC actions is in accordance with the principles set out in paragraph 4 of this Article as well as with the overall strategy for the ERC, referred to in point (a) of Article 7(2), established by the Scientific Council.
Article 7
ERC Scientific Council
1. The Scientific Council shall be composed of independent scientists, engineers and scholars of the highest repute and appropriate expertise, of both women and men in different age groups, ensuring a diversity of research areas and the variety of geographical origins, and acting in their personal capacity, independent of extraneous interests.
The members of the Scientific Council shall be appointed by the Commission, following an independent and transparent procedure for their identification agreed with the Scientific Council, including an open consultation of the scientific community and a report to the European Parliament and the Council.
Their term of office shall be limited to four years, renewable once, on the basis of a rotating system which shall ensure the continuity of the work of the Scientific Council.
2. The Scientific Council shall establish:
(a) |
the overall strategy for the ERC; |
(b) |
the work programme for the implementation of the ERC activities; |
(c) |
the methods and procedures for peer review and proposal evaluation on the basis of which the proposals to be funded are determined; |
(d) |
its position on any matter which from a scientific perspective may enhance achievements and impact of the ERC and the quality of the research carried out; |
(e) |
a code of conduct addressing, inter alia, the avoidance of conflict of interests. |
The Commission shall depart from the positions established by the Scientific Council in accordance with points (a), (c), (d), and (e) of the first subparagraph only when it considers that the provisions of this Decision have not been respected. In that case, the Commission shall adopt measures to maintain continuity in the implementation of the specific programme and the achievements of its objectives, setting out the points of departure from the Scientific Council positions and duly motivating them.
3. The Scientific Council shall act in accordance with the mandate set out in Pillar I of Annex I, section 1.
4. The Scientific Council shall act exclusively in the interest of ▌the ERC, according to the principles set out in Article 6. It shall act with integrity and probity and carry out its work efficiently and with the greatest possible transparency.
Article 8
Dedicated ERC implementation structure
1. The dedicated implementation structure shall be responsible for the administrative implementation and programme execution, as described in Pillar I of Annex I, section 1. 3.2 . It shall support the Scientific Council in the conduct of all of its tasks.
2. The Commission shall ensure that the dedicated implementation structure follows strictly, efficiently and with the necessary flexibility the objectives and requirements of the ERC alone.
Article 9
▌European Innovation Council
1. The EIC , as established according to Article 7a of the [Framework Programme Regulation] shall include the High Level Board (‘EIC Board’) provided for in Article 10.
2. The Commission shall ensure that the implementation of the EIC▌:
(a) |
is in accordance with the principles set out in paragraph 1 of this Article, taking due account of the opinion of the EIC Board on the overall strategy for the EIC, referred to Article 10(1)(a); and |
(b) |
does not lead to distortions of competition contrary to the common interest. |
3. For the purpose of managing EIC blended finance, the Commission shall make use of indirect management, or where this is not possible, may establish a special purpose vehicle , to be managed according to the applicable accountability rules . The Commission shall seek to ensure the participation of other public and private investors. Where this is not possible at the initial set up, the special purpose vehicle will be structured in such a way that it can attract other public or private investors in order to increase the leverage effect of the Union contribution.
4. The Commission shall ensure effective complementarities between the EIC, the EIT and InvestEU.
Article 10
The EIC Board
1. The EIC Board shall advise the Commission upon:
(a) |
the overall strategy for the EIC component under Pillar III ‘ Innovative Europe ’; |
(b) |
the work programme for the implementation of the EIC actions; |
(c) |
the criteria for assessment of the innovativeness and risk profile of the proposals and the appropriate balance of grants, equity and other forms of financing for the EIC accelerator; |
(d) |
the identification of strategic portfolio of projects; |
(e) |
the profile of programme managers. |
2. The EIC Board may upon request address recommendations to the Commission on:
(a) |
any matter which from an innovation perspective may enhance and foster innovation eco-systems across Europe, the achievements and impact of the objectives of the EIC component and the capacity of innovative firms to roll out their solutions; |
(b) |
identifying in cooperation with relevant Commission services and, where appropriate, national and regional authorities and other relevant entities, such as the EIT Governing Board, possible regulatory barriers faced by entrepreneurs, in particular those awarded support under the EIC component; |
(c) |
emerging technology trends from EIC's portfolio, to inform the programming in other parts of the Specific Programme; |
(d) |
identifying specific issues where advice from the EIC Board is needed. |
The EIC Board shall act in the interest of achieving the objectives of the EIC component. It shall act with integrity and probity and carry out its work efficiently and with transparency.
The EIC Board shall act in accordance with its mandate set out in Pillar III of Annex I, section 1.
3. The EIC Board shall be composed of 15 to 20 i ndependent high level individuals drawn from various parts of Europe's innovation ecosystem, including entrepreneurs, corporate leaders, investors , public administration experts and researchers , including academic experts on innovation . It shall contribute to outreach actions, with EIC Board members striving to enhance the prestige of the EIC brand.
The members of the EIC Board shall be appointed by the Commission, following an open call for nominations or for expression of interests or both, whichever the Commission will find more appropriate, and taking into account the need for balance in expertise, gender, age and geographical distribution.
Their term of office shall be limited to two years, renewable twice, with a rolling appointments system (members appointed every two years).
4. The EIC Board shall have a President who shall be appointed by the Commission following a transparent recruitment process. The President shall be a high profile public figure linked to the innovation world , with a solid understanding of R&D .
The President shall be appointed for a term of office limited to four years, renewable once.
The President shall chair the EIC Board, prepare its meetings, assign tasks to members, and may establish dedicated sub-groups, in particular to identify emerging technology trends from EIC's portfolio. He or she shall represent the EIC in the world of innovation. He or she shall also promote the EIC, act as interlocutor with the Commission , through the relevant programme committees, with Member States . The Commission will provide for administrative support for the President to undertake his or her duties.
5. A code of conduct addressing, inter alia, the avoidance of conflict of interests and breach of confidentiality shall be established by the Commission. Members of the EIC Board will accept the code of conduct upon assuming office.
Article 11
Work programmes
1. The Programme shall be implemented by the work programmes referred to in paragraph 2 in accordance with Article 110 of Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council (the ‘ Financial Regulation’) (9). They shall set out the expected impact and be prepared following a strategic planning process as described in Annex I to this Decision. The Commission shall regularly and from an early stage inform the Committee referred to in Article 12 of the overall progress of the implementation of the indirect actions of the specific programme, including missions, also to allow the Committee to provide early appropriate input in the course of the strategic planning process and on the preparation of the work programmes, especially on missions.
Work programmes shall set out, where applicable, the overall amount reserved for blending operations.
2. The Commission shall adopt separate work programmes, by means of implementing acts, for the implementation of actions under the following components, as set out in Article 3(1) of this Decision:
(a) |
the ERC, where the work programme shall be established by the Scientific Council under point (b) of Article 7(2), in accordance with the advisory procedure referred to in Article 12(3). The Commission shall depart from the work programme established by the Scientific Council only when it considers that it is not in accordance with the provisions of this Decision. In that case, the Commission shall adopt the work programme by means of an implementing act in in accordance with the examination procedure referred to in Article 12(4). The Commission shall duly motivate this measure; |
(b) |
all clusters under the pillar ‘Global Challenges and ▌Competitiveness of European Industry ’, MSCA, research infrastructures, support to innovation ecosystems, widening participation and spreading excellence, and reforming and enhancing the European R&I System, in accordance with the examination procedure referred to in Article 12(4); |
(c) |
the EIC, where the work programme shall be prepared following the advice of the EIC Board under point (b) of Article 10(1), in accordance with the examination procedure referred to in Article 12(4); |
(d) |
the JRC, where the multi-annual work programme shall take into account the opinion provided by the Board of Governors of the JRC referred to in Decision 96/282/Euratom. |
3. In addition to requirement in Article 110 of the Financial Regulation, the work programmes referred to in paragraph 2 of this Article shall, as appropriate, contain:
(a) |
an indication of the amount allocated to each action and mission and an indicative implementation timetable; |
(b) |
for grants the priorities, the selection and award criteria and the relative weight of the different award criteria and the maximum rate of funding of the total eligible costs; |
(c) |
the amount allocated to blended finance in accordance with Articles 41 to 43 of Regulation … FP/RfP Regulation: |
(d) |
any additional obligations for beneficiaries, in accordance with Articles 35 and 37 of the FP/RfP Regulation. |
4. The Commission shall adopt, by means of implementing acts, in accordance with the examination procedure referred to in Article 12(4) the following measures:
(a) |
the decision on the approval of the funding of indirect actions, where the estimated amount of the Union contribution under the specific programme is equal to or more than EUR 2,5 million, with the exception of actions under the specific objective ‘European Research Council (ERC)’; for funding of indirect actions in cluster 2 the decision on the approval of the funding of indirect actions, where the estimated amount of the Union contribution under the Specific Programme is equal to or more than EUR 1 million; |
(b) |
the decision on the approval of the funding of actions involving the use of human embryos and human embryonic stem cells and of actions under the cluster ‘Civil Security for Society’ referred to in Article 3(1)(2)(c). |
Article 12
Committee procedure
1. The Commission shall be assisted by a committee (10). That committee shall be a committee within the meaning of Regulation (EU) No 182/2011.
2. The committee shall meet in different configurations as set out in Annex II, having regard to the subject matter to be discussed.
3. Where reference is made to this paragraph, Article 4 of Regulation (EU) No 182/2011 shall apply.
4. Where reference is made to this paragraph, Article 5 of Regulation (EU) No 182/2011 shall apply.
5. Where the opinion of the committee is to be obtained by written procedure, that procedure shall be terminated without result when, within the time-limit for delivery of the opinion, the chair of the committee so decides or a simple majority of committee members so request.
6. In the case of the implementing acts to be adopted under Article 4a(3) where the Committee delivers no opinion, the Commission shall not adopt the draft implementing act and the third subparagraph of Article 5(4) of Regulation (EU) No 182/2011 shall apply.
7 . The Commission shall regularly inform the Committee of the overall progress of the implementation of the specific programme and shall provide it with timely information on all actions and components proposed or funded under Horizon Europe and its externalised parts , as specified in Annex III , including detailed information/analysis of the statistics of the individual calls .
CHAPTER III
TRANSITIONAL AND FINAL PROVISIONS
Article 13
Repeal
Decision 2013/743/EU is repealed with effect from 1 January 2021.
Article 14
Transitional provisions
1. This Decision shall not affect the continuation or modification of the actions concerned, until their closure, under Decision 2013/743/EU, which shall continue to apply to the actions concerned until their closure.
Where necessary, any remaining tasks of the Committee established by Decision 2013/743/EU shall be undertaken by the Committee referred to in Article 12 of this Decision.
2. The financial envelope for the Specific Programme may also cover technical and administrative assistance expenses necessary to ensure the transition between the Specific Programme and the measures adopted under its predecessor Decision 2013/743/EU.
Article 15
Entry into force
This Decision shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.
This Decision is addressed to the Member States.
Done at …,
For the European Parliament
The President
For the Council
The President
(1) OJ C […], […], p. […].
(2) OJ C […], […], p. […].
(3) Position of the European Parliament of 17 April 2019. The underlined text has not been agreed in the framework of interinstitutional negotiations.
(4) OJ C […], […], p. […].
(5) Regulation (EU) No 182/2011 of the European Parliament and of the Council of 16 February 2011 laying down the rules and general principles concerning mechanisms for control by the Member States of the Commission's exercise of implementing powers (OJ L 55, 28.2.2011, p. 13).
(6) Commission Decision 96/282/Euratom of 10 April 1996 on the reorganization of the Joint Research Centre (OJ L 107, 30.4.1996, p. 12).
(7) ▌
(8) OJ C 373, 20.12.2013, p. 23.
(9) Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council of 18 July 2018 on the financial rules applicable to the general budget of the Union, amending Regulations (EU) No 1296/2013, (EU) No 1301/2013, (EU) No 1303/2013, (EU) No 1304/2013, (EU) No 1309/2013, (EU) No 1316/2013, (EU) No 223/2014, (EU) No 283/2014, and Decision No 541/2014/EU and repealing Regulation (EU, Euratom) No 966/2012 (OJ L 193, 30.7.2018, p. 1).
(10) With a view to facilitating the implementation of the programme, for each meeting of the Programme Committee as defined in the agenda, the Commission will reimburse, in accordance with its established guidelines, the expenses of one representative per Member State, as well as one expert/adviser per Member State for those agenda items where a Member State requires specific expertise.
ANNEX I
STRATEGIC PLANNING AND PROGRAMME ACTIVITIES
The following shall apply in the implementation of the Programme.
STRATEGIC PLANNING
As laid down in Article 4 a, the implementation of the Specific Programme shall be facilitated by a multiannual strategic planning for research and innovation activities . The strategic planning process shall ▌focus in particular on the Global Challenges and European Industrial Competitiveness pillar, including relevant activities in other pillars and the Widening Participation and Strengthening the European Research Area part, also in close coordination and synergy with the planning of the KICs of the EIT established by Regulation 294/2008/EC .
The result of the Strategic Planning Process shall be set out in a Strategic Plan for realising content in the work programme.
▌
▌
The Strategic Planning process aims to:
— |
implement Horizon Europe's programme-level objectives in an integrated manner and provide focus on impact for the Programme overall and coherence between its different pillars. |
— |
▌promote synergies between Horizon Europe and other Union Programmes, including the [cohesion funds] and the Euratom programme, thus becoming a point of reference for research and innovation in all related programmes across the EU budget and non-funding instruments. ▌ |
— |
help to develop and realise EU policy for the relevant areas covered, and complement policy development and implementation in the Member States. |
— |
reduce fragmentation of efforts and avoid duplication and overlaps between funding possibilities. |
— |
provide the frame for linking the direct research actions of the Joint Research Centre and other actions supported under the Programme, including the use of results and data for support to policy. |
— |
ensure a balanced and broad approach to research and innovation, at all stages of development, which is not only limited to fostering frontier research, the development of new products processes and services on the basis of scientific and technological knowledge and breakthroughs, but also incorporates the use of existing technologies in novel applications and continuous improvement and non-technological and social innovation. |
— |
ensure a systemic, cross-disciplinary, cross-sectoral and cross-policy approach to research and innovation in order to tackle challenges while also giving rise to new competitive businesses and industries, fostering competition, stimulating private investments and preserving the level playing field in the internal market. |
▌
▌
OTHER PROGRAMME ACTIVITIES
In the ‘Global Challenges and European Industrial Competitiveness’ and the ‘ Innovative Europe ’ Pillars, research and innovation shall be complemented with activities which operate close to the end-users and the market, such as demonstration, piloting or proof-of-concept, excluding however commercialisation activities going beyond the research and innovation phase. This shall also include support to demand-side activities that help accelerate the deployment and diffusion of a broad range of innovations. Emphasis shall be put on non-prescriptive calls for proposals.
Under the ‘Global Challenges and European Industrial Competitiveness’ pillar, building on experience in Horizon 2020, the social sciences and the humanities shall be fully integrated across all clusters, including specific and dedicated activities. Likewise, activities involving marine and maritime research and innovation shall be implemented in a strategic and integrated manner in line with the EU Integrated Maritime Policy, the Common Fisheries Policy ▌and international commitments.
Activities carried out within the ▌FET Flagships▌ on Graphene, the Human Brain Project and Quantum Technology, which are supported under Horizon 2020, will continue being supported under Horizon Europe through calls for proposals included in the work programme ▌. Preparatory actions supported under the FET Flagships part of Horizon 2020 will feed the Strategic Planning process under Horizon Europe and inform the work on missions, co-funded/co-programmed partnerships and regular calls for proposals.
Science and Technology Cooperation dialogues with the EU's international partners and policy dialogues with the main world regions shall make important contributions to the systematic identification of opportunities for cooperation which, when combined with differentiation by country/region, shall support priority setting. Early advice from the ERA-related advisory structure will continue to be sought.
▌
DISSEMINATION AND COMMUNICATION
Horizon Europe will provide dedicated support for open access to scientific publications, to knowledge repositories and other data sources. Dissemination and knowledge diffusion actions will be supported, also from cooperation with other EU programmes, including clustering and packaging results and data in languages and formats for target audiences and networks for citizens, industry, public administrations, academia, civil society organisations, and policy makers. For this purpose, Horizon Europe may make use of advanced technologies and intelligence tools.
There will be appropriate support for mechanisms to communicate the programme to potential applicants (e.g. National Contact Points).
The Commission will also implement information and communication activities relating to Horizon Europe, to promote the fact that results were obtained with the support of EU funding. They will also seek to raise public awareness on the importance of research and innovation and the broader impact and relevance of EU funded research and innovation, by means of e.g. publications, media relations, events, knowledge repositories, databases, multi-channel platforms, websites or a targeted use of social media. Horizon Europe will also provide support to the beneficiaries to communicate their work and its impact to society at large.
EXPLOITATION AND MARKET UPTAKE
The Commission will establish comprehensive measures for exploitation of Horizon Europe results and the knowledge produced. This will accelerate exploitation towards wide market uptake and boost the impact of the Programme.
The Commission will systematically identify and record the results of the research and innovation activities under the Programme and transfer or disseminate these results and knowledge produced in a non-discriminatory fashion to industry and enterprises of all sizes, public administrations, academia, civil society organisations and policy-makers, in order to maximise the European added value of the Programme.
INTERNATIONAL COOPERATION
Greater impact will be obtained through aligning actions with other countries and regions of the world within strengthened international cooperation efforts ▌. Based on mutual benefit, partners from across the world will be invited to join EU efforts as an integral part of initiatives in support of EU action for sustainability, reinforced research and innovation excellence, and competitiveness.
International joint action will ensure effective tackling of global societal challenges and Sustainable Development Goals, access to the world's best talents, expertise and resources, and enhanced supply and demand of innovative solutions.
WORKING METHODOLOGIES FOR EVALUATION
The use of high quality independent expertise in the evaluation process underpins the engagement of the programme across all stakeholders, communities and interests, and is a prerequisite for maintaining the excellence and relevance of the funded activities.
The Commission or funding body will ensure the impartiality of the process, and avoid conflicts of interest in line with Article 61 of the Financial Regulation. It shall also seek geographical diversity in the composition of evaluation committees, expert and advisory groups.
Exceptionally, when justified by the requirement to appoint the best available experts and/or by the limited size of the pool of qualified experts, independent experts assisting or being members of the evaluation committee may evaluate specific proposals for which they declare a potential interest. In this case, the Commission or funding body shall take all necessary remedial measures to ensure the integrity of the evaluation process. The evaluation process will be managed accordingly, including a stage involving an interaction between diverse experts. The evaluation committee will take into account the particular circumstances when identifying proposals for funding.
PILLAR I
EXCELLENT SCIENCE
The scientific, economic, social and cultural progress in all its forms depends on an adequate supply of excellent researchers; the search for breakthroughs in understanding and the acquisition of knowledge at all levels ; the world class facilities needed to achieve this including physical and knowledge infrastructures for research and innovation as well as the means to openly disseminate and share knowledge (open science) methodologies and skills ▌
The achievement of world leading innovation is linked to the advancements of open and excellent science ▌. Scientific and technological paradigm shifts , can be key drivers for productivity growth, competitiveness, wealth, sustainable development and social progress. Such paradigm shifts have historically tended to originate from the public-sector science base before going on to lay the foundations for whole new industries and sectors and for comprehensive societal progress .
Public investment in research, especially through universities and public research institutions (PRIs) and research facilities, often undertakes the longer-term, higher-risk research and complements the activities of the private sector. Besides this, it creates highly skilled human resources , knowhow and experience, new scientific instruments and methodologies, as well creating the networks which transmit the latest knowledge.
European science and European-based researchers have been and continue to be at the forefront in many areas. But this is not a position we can take for granted. ▌ The traditional challenge from countries such as the United States is now being joined by economic giants such as China and India, from the newly industrialising parts of the world in particular, and from all countries where governments recognise the manifold and abundant returns which derive from investing in research.
1. EUROPEAN RESEARCH COUNCIL (ERC)
1.1. Rationale
Although the EU remains the largest producer of scientific publications in the world, it has ▌, relative to its size, comparatively few centres of excellence that standout at the world level and with large areas of average and poor performance. Compared with the US and now China to some degree, the EU follows a ‘distributed excellence model’ in which resources are spread across a larger number of researchers and research institutions. Creating attractive conditions for the best researchers ▌ will help Europe to raise its attractiveness in the global competition for scientific talent.
The global research landscape is evolving dramatically and becoming increasingly multipolar as a result of a growing number of emerging countries, in particular China, expanding their scientific production. So whereas the EU and the United States accounted for nearly two-thirds of world expenditure on research and development in 2000, this share had fallen to less than half by 2013.
The ERC supports the best researchers , including talented researchers who are at an early stage of their career, with flexible, long-term funding to pursue ground breaking, high-gain/high-risk research primarily in Europe . It operates autonomously led by an independent Scientific Council made up of scientists, engineers and scholars of the highest repute and appropriate expertise and diversity. The ERC is able to draw on a wider pool of talents and ideas than would be possible for any national scheme, reinforcing excellence through the way in which the best researchers and the best ideas compete against each other.
Frontier research funded by the ERC has a proven substantial direct impact in the form of advances at the frontiers of knowledge, opening the way to new and often unexpected scientific and technological results and new areas for research. In turn, this generates radically new ideas which drive innovation and business inventiveness and tackle societal challenges. The ERC also has a significant structural impact, driving up the quality of the European research system over and above the researchers and actions it funds directly. ERC-funded actions and researchers set an inspirational target for frontier research in Europe, raising its profile and making it more attractive for the best researchers worldwide as a place to work, and work with. The prestige of hosting ERC grant- holders creates competition between Europe's universities and research organisations to offer the most attractive conditions for top researchers and can indirectly help them to assess their relative strengths and weaknesses and bring about reforms.
▌The ERC funds a relatively small percentage of all European research, but from this achieves a ▌high scientific impact. The average citation impact of the research supported by the ERC is comparable to that of the world’s top elite research universities. The ERC’s research performance is extremely high when compared with the world’s largest research funders. The ERC funds a great deal of frontier research in many of the research areas that have received the highest numbers of citations, including those areas that are rapidly emerging. Although ERC funding is targeted to frontier research it has resulted in a substantial number of patents.
So there is clear evidence that the ERC attracts and funds excellent researchers through its calls and ERC actions are producing a substantial number of the most significant and high impact research findings worldwide in emerging areas leading to breakthroughs and major advances. The work of ERC grantees is also highly interdisciplinary and ERC grantees collaborate internationally and publish their results openly across all fields of research including the social sciences , research on the arts and the humanities.
There is also already evidence of the longer term impacts of ERC grants on careers, on training highly skilled recognised researchers and holders of doctoral degrees ▌, on raising the global visibility and prestige of European research and on national research systems through its strong benchmarking effect. This effect is particularly valuable in the EU's distributed excellence model because ERC funded status can replace and serve as a more accurate indicator of research quality than recognition based on the status of institutions. This allows ambitious individuals, institutions, regions and countries to seize the initiative and scale up the research profiles in which they are particularly strong.
1.2. Areas of intervention
1.2.1. Frontier Science
Research funded by the ERC is expected to lead to advances at the frontier of knowledge, with scientific publications of the highest quality▌ to achieve research results with high societal and economic potential impact and with the ERC setting a clear and inspirational target for frontier research across the EU, Europe and internationally. Aiming to make the EU a more attractive environment for the world's best scientists, the ERC will target a measurable improvement in the EU's share of the world's top 1 % most highly cited publications, and aim to increase in the number of excellent researchers including from outside Europe which it funds.
ERC funding shall be awarded in accordance with the following well-established principles. Scientific excellence shall be the sole criterion on which ERC grants are awarded. The ERC shall operate on a ‘bottom-up’ basis without predetermined priorities.
Broad Lines
— |
Long-term funding to support excellent ideas of investigators of any age and gender, from any country in the world, and their research teams to pursue ground-breaking, high-gain/high-risk research; |
— |
Enabling starting and early-stage career researchers with excellent ideas to make the transition to being independent research leaders in their own right by providing adequate support at the critical stage when they are setting up or ▌consolidating their own research team or programme; |
— |
New ways of working in the scientific world , including the open science approach, with the potential to create breakthrough results and facilitate commercial and social innovation potential of funded research; |
— |
Sharing experience and best practices with regional and national research funding agencies and building links to other parts of the Framework Programme, in particular the MSCA, to promote the support of excellent researchers; |
— |
Raising the profile of frontier research in Europe and the visibility of ERC programmes to researchers across Europe and internationally . |
1.3. Implementation
1.3.1. The Scientific Council
The Scientific Council is the guarantor of the quality of the activity from the scientific perspective and has full authority over decisions on the type of research to be funded.
In the context of the implementation of the framework programme and in order to carry out its tasks, as set out in Article 7, the Scientific Council will:
(1) |
Scientific strategy:
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(2) |
Scientific management, monitoring and quality control:
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(3) |
Communication and dissemination:
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The members of the Scientific Council shall be compensated for the tasks they perform by means of an honorarium and, where appropriate, reimbursement of travel and subsistence expenses.
The President of the ERC will reside in Brussels for the duration of the appointment and devote most of his/her working time (1) to ERC business. He/she will be remunerated at a level commensurate with the Commission's top management and will be provided by the Dedicated Implementation Structure with the necessary support to carry out his or her functions.
The Scientific Council shall elect from amongst its members three Vice-Chairs who shall assist the President in its representation and the organisation of its work. They may also hold the title of Vice-President of the ERC.
Support will be provided to the three Vice-Chairs to ensure adequate local administrative assistance at their home institutes.
1.3.2. Dedicated Implementation Structure
The dedicated implementation structure will be responsible for all aspects of administrative implementation and programme execution, as provided for in the ERC work programme. It will, in particular, implement the evaluation procedures, peer review and selection process in accordance with the strategy established by the Scientific Council and will ensure the financial and scientific management of the grants. The dedicated implementation structure will support the Scientific Council in the conduct of all of its tasks as set out above including the development of its scientific strategy, its monitoring of the operations and its review and assessment of the ERC's achievements as well as its outreach and communications activities, provide access to the necessary documents and data in its possession, and keep the Scientific Council informed of its activities.
In order to ensure an effective liaison with the dedicated implementation structure on strategy and operational matters, the leadership of the Scientific Council and the Director of the dedicated implementation structure will hold regular coordination meetings.
The management of the ERC will be carried out by staff recruited for that purpose, including, where necessary, officials from the EU institutions, and will cover only the real administrative needs in order to assure the stability and continuity necessary for an effective administration.
1.3.3. Role of the Commission
In order to fulfil its responsibilities as set out in Articles 6, 7 and 8 and in the context of its own responsibilities for budget execution, the Commission will:
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ensure the continuity and renewal of the Scientific Council and provide support for a standing Identification Committee for the identification of future Scientific Council members; |
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ensure the continuity of the dedicated implementation structure and the delegation of tasks and responsibilities to it taking into account the views of the Scientific Council; |
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ensure that the dedicated implementation structure carries out the full range of its tasks and responsibilities; |
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appoint the Director and the members of the management of the dedicated implementation structure taking into account the views of the Scientific Council; |
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ensure the timely adoption of the work programme, the positions regarding implementing methodology and the necessary implementing rules including the ERC Rules of Submission and the ERC Model Grant Agreement, taking into account the positions of the Scientific Council; |
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regularly and in a timely manner inform and consult the Programme Committee on the implementation of the ERC activities; |
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as responsible for the overall implementation of the Research Framework Programme, monitor the dedicated implementation structure and evaluate its performance . |
2. MARIE SKŁODOWSKA-CURIE ACTIONS (MSCA)
2.1. Rationale
Europe needs a highly-skilled and resilient human capital base in research and innovation that can easily adapt to and find sustainable solutions for current and future challenges, such as major demographic changes in Europe. To ensure excellence, researchers need to be mobile, collaborate and diffuse knowledge across countries, sectors and disciplines, with the right combination of knowledge and skills to tackle societal challenges and support innovation.
Europe is a scientific powerhouse with around 1,8 million researchers working in thousands of universities, research centres and ▌companies. However, it is estimated that the EU will need to train and employ at least one million new researchers by 2027 in order to achieve the targets beings set for increased investment in research and innovation. This need is particularly acute beyond the ▌academic sector (such as in industry and business, including SMEs, government, civil society organisations, cultural institutions, hospitals etc.) and requires collaboration between the different sectors to provide adequately trained new researchers. The EU must reinforce its efforts to entice more young women and men to a career in research, be more inclusive and promote better work/family life balance, attract researchers from third countries, retain its own researchers and reintegrate European researchers working elsewhere back to Europe. In addition, in order to more widely spread excellence, the conditions under which researchers perform must be further improved throughout the European Research Area (ERA). In this respect, stronger links are needed notably with the European Education Area (EEdA), the European Regional Development Fund (ERDF), and European Social Fund (ESF+).
These challenges can best be addressed at EU level due to their systemic nature and to the cross-country effort needed to solve them.
The Marie Skłodowska-Curie Actions (MSCA) focus on excellent research that is fully bottom-up, open to any field of research and innovation from basic research up to market take-up and innovation services. This includes research fields covered under the Treaty on the Functioning of the European Union and the Treaty establishing the European Atomic Energy Community (Euratom). If specific needs arise and additional funding sources become available, the MSCA may seek links to certain activities in specific challenges (incl. identified missions), types of research and innovation institutions, or geographical locations in order to respond to the evolution of Europe's requirements in terms of skills, research training, career development and knowledge sharing.
The MSCA are the main instrument at EU-level for attracting researchers from third countries to Europe, thus making a major contribution to global cooperation in research and innovation. Evidence shows that the MSCA not only have a positive impact on individuals, organisations, and at system level, but also yield high-impact and breakthrough research results while at the same time contributing significantly to societal as well as strategic challenges. Long-term investment in people pays off, as indicated by the number of Nobel Prize winners who have been either former MSCA fellows or supervisors.
Through global research competition between scientists and between host organisations from both the academic and non-academic sector, and through the creation and sharing of high-quality knowledge across countries, sectors and disciplines, the MSCA contribute notably to the goals of the ‘Jobs, growth and investment’ agenda, the EU Global Strategy and to the United Nations Sustainable Development Goals.
The MSCA contribute to making the ERA more effective, competitive and attractive on a global scale. This is achieved by focusing on a new generation of highly-skilled researchers and providing support for emerging talent from across the EU and beyond including fostering their transition to other components of the programme, such as ERC and EIT ; by fostering the diffusion and application of new knowledge and ideas to European policies, the economy and society, inter alia through improved science communication and public outreach measures; by facilitating cooperation between research-performing organisations and by publishing following the principles of open science and FAIR data ; and by having a pronounced structuring impact on the ERA, advocating an open labour market and setting standards for quality training, attractive employment conditions and open , transparent and merit-based recruitment for all researchers in line with the European Charter for Researchers and the Code of Conduct for the Recruitment of Researchers .
2.2. Areas of Intervention
2.2.1. Nurturing Excellence through Mobility of Researchers across Borders, Sectors and Disciplines
The EU must remain a reference point for excellent research and thus attractive for the most promising researchers, European and non-European alike, at all stages of their careers. This can be achieved by enabling researchers and research-related staff to move and collaborate between countries, sectors and disciplines and thus benefit from high-quality training and career opportunities. This will facilitate career moves between academia and other sectors as well as stimulate entrepreneurial activity.
Broad Lines
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Mobility experiences within or outside Europe for the best or most promising researchers regardless of nationality to undertake excellent research and develop their skills as well as career and broaden their network in academia and other sectors (including research infrastructures) . |
2.2.2. Fostering new Skills through Excellent Training of Researchers
The EU needs a strong, resilient and creative human resource base, with the right combination of skills to match the future needs of the labour market, to innovate and to convert knowledge and ideas into products and services for economic and social benefit. This can be achieved through training researchers to further develop their core research competences as well as enhance their transferable skills such as a creative, responsible, open-to-society and entrepreneurial mindset and awareness of sustainable development . This will allow them to face current and future global challenges, and improve their career prospects and innovation potential.
Broad Lines
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Training programmes to equip researchers with a diversity of skills relevant to current and future global challenges. |
2.2.3. Strengthening Human Resources and Skills Development across the European Research Area
In order to foster excellence, promote cooperation between research-performing organisations and create a positive structuring effect, high-quality training and mentoring standards, good working conditions and effective career development of researchers need to be introduced across the ERA. If appropriate and justified by a study, support for researchers to return to their country of origin within and to the Union shall be provided within the context of the existing broad lines. This will help modernise or enhance research training programmes and systems as well as increasing institutions' ▌attractiveness worldwide .
Broad Lines
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Training programmes to foster excellence and spread best practices across institutions , research infrastructures and research and innovation systems; |
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Inter- and transdisciplinary cooperation , production and diffusion of knowledge within the EU and with third countries. |
2.2.4. Improving and Facilitating Synergies
Synergies between research and innovation systems and programmes at EU, regional and national level need to be further developed . This can be achieved in particular through synergies ▌, complementarities with other parts of Horizon Europe such as the European Institute of Innovation and Technology (EIT) and other EU programmes, notably Erasmus and the ESF+, including via a Seal of Excellence.
Broad Lines
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Training programmes and similar research career development initiatives supported through complementary public or private funding sources at regional, national or EU level. |
2.2.5. Promoting Public Outreach
The awareness of the programme’s activities and the public recognition of researchers need to be enhanced across the EU and beyond, to raise the global profile of the MSCA and to develop a better understanding of the impact of researchers’ work on citizens’ daily lives, and to encourage young people to embark on research careers. This can be achieved by working according to the open science principle which leads to better dissemination, exploitation and diffusion of knowledge and practices. Citizen science could play a valuable role as well.
Broad Lines
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Public outreach initiatives to stimulate interest in research careers, especially amongst young people of all backgrounds ; |
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Promotion activities to raise the global profile, visibility and awareness of the MSCA; |
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Diffusion and clustering of knowledge through cross-project collaboration , national contact points (NCP) projects and other networking activities such as an alumni service. |
3. RESEARCH INFRASTRUCTURES
3.1. Rationale
State of the art research infrastructures provide key services to research and innovation communities, playing an essential role in extending the frontiers of knowledge and laying the basis for research and innovation contributions to tackle the global challenges and industrial competitiveness . Supporting research infrastructures at the EU level helps to mitigate what in many cases is the reality of scattered national and regional research infrastructures and pockets of scientific excellence, and so strengthening the ERA as well as increasing the ▌circulation of knowledge across silos. Scientific progress is increasingly dependent on the collaborations of research infrastructures and industry that develop the necessary instruments based on new key enabling technologies and other new technologies.
The overall aim is to endow Europe with world-class sustainable research infrastructures open and accessible to all researchers in Europe and beyond, which fully exploit their potential for scientific advance and innovation. Key objectives are to reduce the fragmentation of the research and innovation ecosystem, avoiding duplication of effort, and better coordinate the design, development , accessibility and use of research infrastructures , including those financed from ERDF . It is crucial to support open access to research infrastructures for all European researchers as well as, inter alia through the European Open Science Cloud (hereafter ‘EOSC’), increased access to digital research resources, specifically stimulating the up-take of open science and open data practises.
It is also important to improve the long-term sustainability of research infrastructures as they are typically operational for several decades and therefore should produce plans to secure continuous and stable support.
Equally, the EU needs to tackle the rapid increase of global competition for talent by attracting third country researchers to work with European world-class research infrastructures. Increasing the competitiveness and innovation capabilities of European industry is also a major objective, supporting key technologies and services relevant for research infrastructures and their users, thus improving the conditions for supply of innovative solutions.
Past framework programmes have made a significant contribution towards the more efficient and effective use of national research infrastructures as well as developed with the European Strategy Forum on Research Infrastructures (ESFRI) a coherent and strategy-led approach to policy making on pan-European research infrastructures. This strategic approach has generated clear advantages, including reducing duplication of effort with more efficient overall use of resources, as well as standardising processes and procedures. Research mobility plays an important role in facilitating the use of research infrastructures, therefore synergies with national and European mobility schemes have to be considered.
EU supported activity will provide added value through: consolidating and optimising the existing research infrastructure landscape in Europe alongside efforts to develop new research infrastructures of pan-European importance and impact; ensuring similar sets of research infrastructures work together to address strategic issues affecting user communities ; establishing the European Open Science Cloud (EOSC) as an effective scalable and sustainable environment for data-driven research; the interconnection of national and regional research and education networks, enhancing and securing high-capacity network infrastructure for massive amounts of data and access to digital resources across borders and domain boundaries; promoting the pan-European coverage of distributed research infrastructures, also to enable cross-country comparison of research data, e.g. in the SSH and environmental fields; fostering the interoperability of research infrastructures; enhancing and reinforcing knowledge transfer and training of high-skilled human resources; fostering the use and where relevant upgrading of existing world-class pan-European research infrastructures across Horizon Europe; overcoming barriers preventing the best research teams from accessing the best research infrastructures services in Europe ; fostering the innovation potential of research infrastructures, focused on technology development and co-innovation as well as increased use of research infrastructures by industry.
And the international dimension of EU research infrastructures must be reinforced, fostering stronger cooperation with international counterparts and international participation in European research infrastructures for mutual benefit.
Activities will contribute to different Sustainable Development Goals (SDGs) such as: SDG 3 — Good Health and Well-Being for People; SDG 7 — Affordable and Clean Energy; SDG 9 — Industry Innovation and Infrastructure; SDG 13 — Climate Action.
3.2. Areas of intervention
3.2.1. Consolidating and Developing the Landscape of European Research Infrastructures
The establishment, operation and long-term sustainability of research infrastructures identified by ESFRI and other world-class research infrastructures of pan-European relevance is essential for the EU to ensure a leading position in frontier research, training and upskilling of researchers, the creation and use of knowledge and the competitiveness of its industries.
The European Open Science Cloud (EOSC) should become an effective and comprehensive delivery channel for research infrastructures services and should provide Europe's research communities with the next generation of data services for harvesting, storing, processing (e.g. analytics, simulation, visualisation services) and sharing big science data according to the FAIR principles . The EOSC should also provide researchers in Europe with access to the majority of data generated and collected by research infrastructures as well as to HPC and exascale resources , including those deployed under the European Data Infrastructure (EDI) (2).
The pan-European research and education network will link together and enable remote access to research infrastructures and research resources, by providing interconnectivity between universities, research institutes and research and innovation communities at EU level as well as international connections to other partner networks worldwide.
Broad Lines
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The life-cycle of pan European research infrastructures through the design of new research infrastructures; their preparatory and implementation phase, their early-phase operation in complementarity with other funding sources, in case of the research infrastructures supported by structural funds, as well as the consolidation and optimisation of the research infrastructure ecosystem by streamlining the monitoring practice for ESFRI landmarks and other pan-European research infrastructures and facilitating service agreements, evolutions, mergers , pan-European coverage or decommissioning of pan-European research infrastructures; |
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The European Open Science Cloud, including: scalability and sustainability of the access channel; in cooperation with the Member States and the associated countries effective federation of European, national, regional and institutional resources; its technical and policy evolution to cope with new research needs and requirements (e.g. usage of sensitive data sets, privacy by design); data inter-operability and compliance with the FAIR principles; and a wide user base; |
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The pan-European research and education network underpinning the EOSC and EDI as well as enabling the delivery of HPC/data services in a cloud based environment capable of coping with extreme large data sets and computational processes. |
3.2.2. Opening, Integrating and Interconnecting Research Infrastructures
The research landscape will be improved through ensuring openness of key international, national and regional research infrastructures for all European researchers and integrating their services when necessary so as to harmonise access conditions, improve and enlarge service provision and encourage common development strategy of high tech components and advanced services through innovation actions.
Broad Lines
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Networks that bring together national and regional funders of research infrastructures for the co-funding of trans-national access of researchers; |
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Networks of pan -European , national and regional research infrastructures addressing global challenges for the provision of access to researchers as well as for the harmonisation and improvement of the research infrastructures' services. |
3.2.2a The innovation potential of European Research Infrastructures and activities for Innovation and Training
To stimulate innovation both in the ▌research infrastructures themselves and in industries, R&D cooperation with industry will be fostered to develop Union capacities and demand for industrial supply in high-tech ▌areas such as scientific instrumentation ▌. In addition, the use of research infrastructures by industry, e.g. as experimental test facilities or knowledge-based centres, will be encouraged. The development and exploitation of research infrastructures will require appropriate skills for their managers, researchers, engineers and technicians, as well as users. For this purpose, Union funding will support the training of staff managing and operating research infrastructures of pan-European interest, the exchange of staff and best practices between facilities, and the adequate supply of human resources in key disciplines, including the emergence of specific education curricula. Synergies with the Marie Skłodowska-Curie actions will be encouraged .
Broad lines
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Integrated networks of research infrastructures for the preparation and implementation of a common strategy/roadmap for technological development and instrumentation; |
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training of staff managing and operating research infrastructures of pan-European interest. |
3.2.2b Reinforcing European Research Infrastructure policy and International Cooperation
Support is needed so that policy makers, funding bodies or advisory groups such as ESFRI are well-aligned towards developing and implementing a coherent and sustainable long-term European strategy on research infrastructures.
Similarly, enabling strategic international cooperation will strengthen of the position of European research infrastructures at international level, ensuring their global networking ▌, interoperability and reach.
Broad Lines
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Survey, monitoring and assessment of research infrastructures at EU level, as well as policy studies, communication and training actions, strategic international cooperation actions for research infrastructures, and specific activities of relevant policy and advisory bodies. |
PILLAR II
GLOBAL CHALLENGES AND EUROPEAN INDUSTRIAL COMPETITIVENESS
▌ The EU is confronted by many challenges , some of which ▌are also global challenges. The scale and complexity of the problems are vast, ▌ need to be tackled jointly and matched by adequate, properly trained and skilled human resources, by the appropriate amount of financial resources and a proportionate effort in order to find solutions. These are precisely the areas where the EU must work together; smart, flexible and joined-up for the benefit and well-being of all our citizens.
Greater impact can be obtained through aligning actions with other nations and regions of the world within ▌international cooperation along the lines indicated by the United Nations 2030 Agenda for Sustainable Development and the Sustainable Development Goals and the Paris climate agreement. Based on mutual benefit, partners from across the world will be invited to join EU efforts as an integral part of research and innovation for sustainable development .
Research and innovation are key drivers of sustainable and inclusive growth and technological and industrial competitiveness ▌. They will contribute to finding solutions to today’s problems, and the problems of tomorrow, in order to reverse as quickly as possible, the negative and dangerous trend that currently links economic development▌with the growing use of natural resources and growing social challenges. This will turn the challenges into new business opportunities and into rapid benefits for society .
The EU will benefit as user and producer of knowledge, technologies and industries showcasing how modern industrialised, sustainable, inclusive, creative, resilient, open and democratic society and economy can function and develop. The growing economic-environmental-social examples of the sustainable ▌economy of the future will be fostered and boosted, be they for: health and well-being for all; or resilient , creative and inclusive ▌societies; or societies strengthened by civil security; or available clean energy and mobility; or a digitised economy and society; or a transdisciplinary and creative industry; or space related, marine or land-based solutions; or a well-functioning bioeconomy, including food and nutrition solutions; sustainable use of natural resources▌, protection of the environment, climate change mitigation and adaptation, all generating wealth in Europe and offering higher quality jobs. Industrial transformation will be crucial , as well as developing EU innovative industrial value chains .
New technologies affect virtually all policy areas. For each separate technology there is often a combination of social and economic opportunities, opportunities for efficiency and quality and improvement of the government, consequences for employment and education, but also possible risks for safety, privacy and ethics.Technology policy therefore necessarily requires an integral weighing of interests, and cross-sectoral cooperation and strategy formulation.
Research and innovation under this pillar of Horizon Europe is grouped into integrated , non-siloed broad clusters of activities. Rather than addressing sectors, the investments aim at systemic changes for our society and economy along a sustainability vector. These will only be achieved if all actors, both private and public, engage in co-designing and co-creating research and innovation; bringing together end-users, scientists, technologists, producers, innovators, businesses, educators, policy-makers, citizens and civil society organisations. Therefore, none of the ▌clusters is intended for only one set of actors and all activities will be implemented primarily by collaborative research and innovation projects selected on the basis of competitive calls for proposals .
In addition to addressing global challenges, activities in the clusters will also develop and apply ▌key enabling and emerging technologies (either or not digital-based) as part of a common strategy to promote the EU's industrial and social leadership. Where appropriate this will use EU space-enabled data and services. All TRL levels up to 8 will be covered in this pillar of Horizon Europe without prejudice to Union competition law.
Actions will generate new knowledge and develop technological and non-technological solutions, bring technology from lab to market and to develop applications including pilot lines and demonstrators, and include measures to stimulate market uptake and to boost private sector commitment and incentives to standardisation activities within the Union. Technologies require critical mass of European researchers and industry to establish world leading eco-systems, that include state of the art technology infrastructures e.g. for testing . Synergies with other parts of Horizon Europe and the EIT, as well as other programmes will be maximised.
The clusters will boost the quick introduction of first-of-its-kind innovation in the EU through a broad range of embedded activities, including communication, dissemination and exploitation, standardisation as well as support to non-technological innovation and innovative delivery mechanisms, helping create innovation friendly societal, regulatory and market conditions such as the innovation deals. Pipelines of innovative solutions originating from research and innovation actions will be established and targeted to public and private investors as well as other relevant EU and national or regional programmes. Synergies will be developed with the third pillar of Horizon Europe in that perspective.
Gender equality is a crucial factor in order to obtain sustainable economic growth. It is therefore important to integrate a gender perspective in all global challenges.
1. CLUSTER ‘HEALTH’
1.1. Rationale
The EU Pillar of Social Rights asserts that everyone has the right to timely access to affordable, preventive and curative health care that is safe and of good quality. This underlines the EU’s commitment to the UN’s Sustainable Development Goals calling for universal health coverage for all and at all ages by 2030, leaving no one behind, and ending preventable deaths.
A healthy population is vital for a stable, sustainable and inclusive society, and improvements in health are crucial in reducing poverty, in dealing with an ageing European society, in fostering social progress and prosperity, and in increasing economic growth. According to the OECD a 10 % improvement in life expectancy is▌associated with a rise in economic growth of 0,3-0,4 % a year. Life expectancy in the EU increased by 12 years since its establishment as a result of tremendous improvements achieved in the quality of life, environment, education, health and care of its people. In 2015, overall life expectancy at birth was 80,6 years in the EU compared to 71,4 years globally. In the past years, it increased in the EU on average by 3 months annually. Besides these improvements social and gender-specific differences in life expectancy can be observed between specific groups and across European countries.
Health ▌research and innovation have played a significant part in this achievement but also in improving productivity and quality in the health and care industry. However, the EU continues to face novel, newly emerging or persisting challenges that are threatening its citizens and public health, the sustainability of its health care and social protection systems, as well as the competitiveness of its health and care industry. Major health challenges in the EU include: accessibility and affordability of health and care; the lack of effective health promotion and disease prevention; the rise of non-communicable diseases; the increased cases of cancer; the increase of mental illness; the spread of antimicrobial drug resistance and the emergence of infectious epidemics; increased environmental pollution; the persistence of health inequalities among and within countries ▌disproportionally affecting people that are disadvantaged or in vulnerable stages of life; the detection, understanding, control, prevention and mitigation of health risks , including poverty-related aspects, in a rapidly changing social, urban , rural and natural environment; demographic change, including ageing-related issues, and the increasing costs for European health care systems▌ and the increasing pressure on the European health and care industry to remain competitive in and by developing health innovation vis-a-vis ▌emerging global players. In addition, vaccine hesitancy may decrease immunisation coverage among certain population groups.
These health challenges are complex, interlinked and global in nature and require multidisciplinary, technical and non-technical, cross-sectorial and transnational collaborations. Research and innovation activities will build close linkages between discovery, clinical, translational epidemiological, ethical, environmental and socio-economic research as well as with regulatory sciences. They will address areas of unmet clinical needs such as for example rare or hard to treat diseases (cancers, such as paediatric and lung cancer). They will harness the combined skills of academia, practitioners, regulatory bodies and industry and foster their collaboration with health services, social services, patients, policy-makers and citizens in order to leverage on public funding and ensure the uptake of results in clinical practice as well as in health care systems taking into account the competencies of Member States regarding the organisation and financing of their health systems . Full advantage will be taken of genomic and other multiomics frontier research, as well as the progressive introduction of personalised medicine approaches, relevant for addressing a variety of non-communicable diseases and the digitalisation in health and care.
Research and innovation will foster strategic collaboration at EU and international level in order to pool the expertise, capacities and resources needed to create scope, speed and economies of scale, ▌as well as to exploit synergies, avoid duplication of effort and share the expected benefits and financial risks involved. Synergies in health research and innovation in Horizon Europe shall be promoted, in particular with the Health Strand within the European Social Fund Plus.
Digital health solutions have created many opportunities to solve the problems of care services and to address other emerging issues of ageing society. Full advantage should be taken of the opportunities that digitalisation in health and care can provide without jeopardising the right to privacy and data protection. Digital devices and software have been developed to diagnose, treat and facilitate patients’ self-management of illness, including chronic diseases. Digital technologies are also increasingly used in medical training and education and for patients and other healthcare consumers to access, share and create health information.
The research and innovation activities of this global challenge will develop the knowledge base, exploit existing knowledge and technologies, consolidate and create the research and innovation capacity and develop the solutions needed for a more effective promotion of health and the integrated prevention, diagnosis, monitoring, treatment , rehabilitation and cure of diseases and (long-term and palliative) care . Results of research will be translated as recommendations for action and communicated with the relevant stakeholders. Improving health outcomes will in turn result in increased well-being and life expectancy, healthy active lives , improved quality of life and productivity▌, more healthy life years and sustainability of health and care systems. In line with articles 14 and 15 of the Regulation and the Charter for Human Rights and Fundamental Principles, ethics, protection of human dignity, gender and ethnical aspects and the needs of disadvantaged and vulnerable people will receive special attention.
Addressing major health challenges will support the EU’s commitment to the United Nation's 2030 Agenda for Sustainable Development and those in the context of other UN organisations and international initiatives, including the global strategies and plans of action of the World Health Organization (WHO). It will contribute to the EU's policy goals and strategies, notably to the EU Pillar of Social Rights, the EU Digital Single Market, the EU Directive on cross-border healthcare, and the European One Health Action Plan against antimicrobial resistance (AMR), and to the implementation of the relevant EU regulatory frameworks.▌
Activities will contribute directly to the following Sustainable Development Goal (SDGs) in particular: SDG 3 — Good Health and Well-Being for People; SDG13 — Climate Action.
1.2. Areas of Intervention
1.2.1. Health throughout the Life Course
People in vulnerable stages of life ( perinatal, birth, infancy, childhood, adolescence, pregnancy, mature and late adulthood), including people with disabilities or injuries, have specific health needs that require better understanding and tailored solutions , taking gender and ethical aspects into consideration . This will allow reducing related health inequalities and improving health outcomes to the benefit of active and healthy ageing throughout the life course, including through a healthy start of life and diet reducing the risk of mental and physical diseases later in life. Prevention and communication will consider characteristics of specific audiences.
Broad Lines
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Understanding the early development and the aging process throughout the life course; |
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pre- and neo-natal, maternal , paternal, infant and child health as well as the role of parents , family and educators ; |
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Health needs of adolescents , including factors influencing mental health ; |
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Health consequences of disabilities and injuries; |
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Research on measures to plan, implement and monitor rehabilitation throughout the life course and especially early individual rehabilitation programme (EIRP) for children affected by disabling pathologies; |
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Healthy ageing, independent and active life , including social participation for the elderly and/or disabled people; |
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Health education and ▌health literacy , including digital . |
1.2.2. Environmental and Social Health Determinants
Improved understanding of health drivers and risk factors determined by the social, cultural, economic and physical environment in people’s everyday life and at the workplace, including the health impact of digitalisation, human mobility (such as migration and travel), pollution, nutrition, climate change and other environmental issues, will contribute to identify , prevent and mitigate health risks and threats; to reducing death and illness from exposure to chemicals and environmental pollution; to supporting safe, environmental-friendly, healthy, resilient and sustainable living and working environments; to promoting healthy lifestyles and consumption behaviour; and to developing an equitable, inclusive and trusted society. This will also be based on population based cohorts, human biomonitoring and epidemiological studies.
Broad Lines
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Technologies and methodologies for assessing hazards, exposures and health impact of chemicals, indoor and outdoor pollutants and other stressors related to climate change, workplace, lifestyle or the environment and combined effects of several stressors; |
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Environmental, occupational, socioeconomic, cultural, genetic and behavioural factors impacting physical and mental health and well-being of people and their interaction, with special attention to vulnerable and disadvantaged people , age-specific and gender-specific issues where relevant, and including the impact on health of the design of buildings, products and services ; |
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Risk assessment, management and communication, supported by transdisciplinary approaches, where relevant, and improved tools for evidence-based decision-making, including replacement of and alternatives to animal testing; |
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Capacity and infrastructures to securely collect, share , use, re-use and combine data on all health determinants, including human exposure and ensure their connection with databases on environmental parameters, lifestyles , health status and diseases, at EU and international level; |
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Health promotion and primary prevention interventions , including occupational aspects . |
1.2.3. Non-Communicable and Rare Diseases
Non-communicable diseases (NCDs), including cancer, rare diseases, pose a major health and societal challenge and call for improved understanding and taxonomy, as well as more effective approaches ▌, including personalised medicine (also called ‘precision medicine’) approaches, in prevention, diagnosis, monitoring, treatment, rehabilitation and cure as well as understanding of multimorbidities .
Broad Lines
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Understanding the mechanisms underlying the development of non-communicable diseases, including Cardiovascular diseases; |
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Longitudinal population studies to support understanding health and disease parameters and help stratifying populations in support of the development of preventive medicine; |
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Diagnostic tools and techniques for earlier and more accurate diagnosis and for timely patient-adapted treatment , enabling delay and/or reversal of the progression of disease ; |
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Prevention and screening programmes , in line with or going beyond WHO, UN and EU recommendations ; |
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Integrated solutions for self-monitoring, health promotion, disease prevention, and management of chronic conditions and multi-morbidities , including neurodegenerative and cardiovascular diseases ; |
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Treatments , ▌ cures or other therapeutic interventions , including both pharmacological and nonpharmacological treatments; |
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Palliative care; |
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Areas of high unmet clinical need, such as rare diseases, including paediatric cancers; |
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Assessment of comparative effectiveness of interventions and solutions , including based on Real World Data (RWD) ; |
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Implementation research to scale up health interventions and support their uptake in health policies and systems; |
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Development of research and improvement of information, care and treatment, including personalised medicine, for rare diseases. |
1.2.4. Infectious Diseases , including poverty-related and neglected diseases
Protecting people against cross-border health threats is a major challenge for public and global health, calling for effective international cooperation at EU and global level. This will involve understanding and prevention of , preparedness for , early detection of and research response to outbreaks , treatment and cure of infectious diseases, including poverty-related and neglected diseases, and also tackling antimicrobial resistance (AMR) following a ‘One Health approach’.
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Understanding infection-related mechanisms; |
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Drivers for the emergence or re-emergence of infectious diseases and their spread, including transmission from animals to humans (zoonosis), or from other parts of the environment (water, soil, plants, food) to humans , as well as impact of climate change and ecosystems evolutions on the dynamics of infectious diseases ; |
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Prediction, early and rapid detection , control and surveillance of infectious diseases, ▌ healthcare-associated infections and environmental related factors; |
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Combatting antimicrobial resistance, including epidemiology, prevention, diagnosis, as well as the development of new antimicrobials and vaccines; |
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Vaccines, including vaccine platform technologies, diagnostics, treatments and cures for infectious diseases, including co-morbidities and co-infections; |
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Addressing low vaccine uptake, understanding vaccine hesitancy and building vaccine confidence; |
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Effective health emergency preparedness, response and recovery measures and strategies, involving communities , and their coordination at regional, national and EU level ; |
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Barriers to the implementation and uptake of medical interventions in clinical practice as well as in the healthcare system; |
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Trans-border aspects of infectious diseases and specific challenges in low- and middle-income countries (LMICs), such as AIDS, tuberculosis and tropical diseases , including malaria, also in relation to migratory flows and, in general, to increased human mobility . |
1.2.5. Tools, Technologies and Digital Solutions for Health and Care, including personalised medicine
Health technologies and tools are vital for public health and contributed to a large extent to the important improvements achieved in the quality of life, health and care of people, in the EU. It is thus a key strategic challenge to design, develop, deliver ▌, implement and evaluate suitable, trustable, safe, user-friendly and cost-effective tools and technologies for health and care, taking due account of the needs of people with disabilities and the aging society. These include key enabling technologies from new biomaterials to biotechnology as well as single cell methods, multiomics and systems medicine approaches, artificial intelligence and other digital technologies, offering significant improvements over existing ones, as well as stimulating a competitive and sustainable health-related industry that creates high-value jobs. The European health-related industry is one of the critical economic sectors in the EU, accounting for 3 % of GDP and 1,5 million employees. Relevant stakeholders need to be involved as early as possible, and the non-technological dimension will be taken into account, in order to ensure acceptability of new technologies, methodologies and tools. This includes citizens, health care providers and professionals.
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Tools and technologies for applications across the health spectrum and any relevant medical indication, including functional impairment; |
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Integrated tools, technologies , medical devices, medical imaging, biotechnology, nanomedicine and advanced therapies (including cellular and gene therapy), and digital solutions for human health and care , including artificial intelligence, mobile solutions and telehealth , while addressing, when relevant, cost-efficiency production aspects at an early stage (in order to optimize the industrialisation stage and the potential of innovation to become an affordable medicinal product) ; |
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Piloting, large-scale deployment, optimisation, and innovation procurement of health and care technologies and tools in real-life settings including clinical trials, implementation research including diagnostics based on personalised medicine ; |
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Innovative processes and services for the development, manufacturing and rapid delivery of tools and technologies for health and care; |
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The safety, efficacy , cost-effectiveness, interoperability and quality of tools and technologies for health and care as well as their ethical, legal and social impact , including social acceptance issues ; |
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Regulatory science and standards for health and care technologies and tools; |
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Health data management, including data interoperability, integration, analytical and visualisation methods, decision making processes, building on artificial intelligence, data mining, big data technologies, bioinformatics and high performance computing technologies to foster personalised medicine including prevention, and to optimise the health journey. |
1.2.6. Health Care Systems
Health systems are a key asset of the EU social systems, accounting for 24 million employees in the health and social work sector in 2017. It is a main priority of Member States to render health systems safe and secure, accessible for all, integrated , cost-effective, resilient, sustainable and trusted with timely and relevant services, as well as to reduce inequalities, including by unleashing the potential of data-driven and digital innovation for better health and person-centred care building on open and safe European data infrastructures. New opportunities such as 5G deployment, the concept of ‘digital twins’ and the Internet of Things will advance the digital transformation of health and care.
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Supporting the knowledge base for reforms in health systems and policies in Europe and beyond; |
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New models and approaches for health and care , including personalised medicine approaches, management and organisational aspects, and their transferability or adaptation from one country/region to another; |
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Improving health technology assessment; |
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Evolution of health inequality and effective policy response; |
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Future health workforce and its needs , including digital skills ; |
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Improving timely , reliable, safe and trustworthy health information and use /reuse of health data, including electronic health records, with due attention to data protection, including the misuse of personal life style and health information, security, accessibility , interoperability, standards, comparability and integrity; |
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Health systems resilience in absorbing the impact of crises and to accommodate disruptive innovation; |
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Solutions for citizen and patient empowerment, self-monitoring, and interaction with health and social care professionals, for more integrated care and a user-centred approach , while considering equal access ; |
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Data, information, knowledge and best practice from health systems research at EU-level and globally building on existing knowledge and databases . |
2. CLUSTER ‘ CULTURE, CREATIVITY AND ▌INCLUSIVE SOCIETY’
2.1. Rationale
The EU stands for a unique way of combining economic growth with sustainable development goals and social policies, with high levels of social inclusion, shared values embracing democracy, human rights, gender equality and the richness of diversity. This model is constantly evolving and needs to deal with the challenges from amongst other things, globalisation and technological change and rising inequalities . ▌
The EU must promote a model of inclusive and sustainable growth while reaping the benefits of technological advancements, enhancing trust in and promoting innovation of democratic governance, fostering education, combatting inequalities, unemployment, marginalisation, discrimination and radicalisation, guaranteeing human rights, fostering cultural diversity and European cultural heritage and empowering citizens through social innovation. The management of migration and the integration of migrants will also continue to be priority issues. The role of research and innovation in ▌ social sciences , ▌ humanities , and arts, as well as in the cultural and creative sectors, in responding to these challenges and achieving the EU’s goals is fundamental. In particular SSH aspects are included in all intervention areas of this cluster.
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The magnitude, complexity , intergenerational and trans-national character of the challenges call for multi-layered EU action. Addressing such critical social, political, cultural and economic issues ▌ only at national level would carry the danger of inefficient use of resources, fragmented approaches and dissimilar standards of knowledge and capacity.
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Research and Innovation activities in this Global Challenge will be overall aligned with the EU 's priorities on Democratic Change; Jobs, Growth and Investment; Justice and Fundamental Rights; Migration; A Deeper and Fairer European Monetary Union; Digital Single Market. It will respond to the commitment of the Rome Agenda to work towards: ‘a social Europe’ and ‘a Union which preserves our cultural heritage and promotes cultural diversity’. It will also support the European Pillar of Social Rights, and the Global Compact for safe, orderly and regular migration. ▌ Synergies with the Justice Programme and with the Rights and Values Programme, which support activities in the area of access to justice, victims' rights, gender equality, non-discrimination, data protection and promotion of the European citizenship , as well as with the Creative Europe and Digital Europe programme, Erasmus, Erasmus+ and European Social Fund Plus, will be exploited.
Activities will contribute directly to the following Sustainable Development Goals (SDGs) in particular: SDG 1 — No Poverty; SDG 3 — Good Health and Well-Being for People; SDG 4 — Quality Education; SDG 5 — Gender Equality; SDG 8 — Decent Work and Economic Growth; SDG 9 — Industry, Innovation and Infrastructure; SDG 10 — Reducing Inequalities; SDG 11- Sustainable Cities and Communities; SDG 16 — Peace, Justice and Strong Institutions.
2.2. Areas of Intervention
2.2.1. Democracy and Governance
Trust in democracy and established political institutions seems to be receding. Disenchantment with politics is increasingly articulated by anti-establishment and populist parties and a resurgent nativism. This is compounded by socio-economic inequalities, high migration flows and security concerns , among others . Responding to present and future challenges requires new thinking on how democratic institutions at all levels must adapt in a context of greater diversity, global economic competition, rapid technological advancements and digitisation, with citizens' experience of democratic discourses , practices and institutions being crucial.
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The history, evolution and efficacy of democracies, at different levels and in different forms; ▌ the role of education , cultural and youth policies as cornerstones of democratic citizenship; |
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The role of social capital and access to culture in strengthening democratic dialogue and civic participation, open and trusting societies. |
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Innovative and responsible approaches to support the transparency, accessibility, responsiveness, accountability , trustworthiness, resilience, effectiveness and legitimacy of democratic governance in full respect of fundamental and human rights and of the rule of law; |
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Strategies to address populism, racism, polarisation, corruption, extremism, radicalisation, terrorism and to include , empower and engage ▌ citizens; |
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Analysis and development of social, economic and political inclusion and inter-cultural dynamics in Europe and beyond; |
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Better understand the role of journalistic standards and user-generated content in a hyper-connected society and develop tools to combat disinformation; |
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The role of multi-cultural including spiritual identities in relation to democracy, citizenship and political engagement , as well as EU founding values such as respect, tolerance, gender equality, cooperation and dialogue ; |
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Support research to understand identity and belonging across communities, regions and nations; |
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The impact of technological and scientific advancements, including big data, online social networks and artificial intelligence on democracy , privacy and the freedom of speech ; |
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Deliberative , ▌ participatory and direct democracy and governance and active and inclusive citizenship, including the digital dimension; |
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The impact of economic and social inequalities on political participation and democratic governance, and research on to what extent it can contribute to reversing inequalities and combatting all forms of discrimination including gender, to a more resilient democracy; |
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Human, social and political dimensions of criminality, dogmatism and radicalisation, in relation to those engaged or potentially engaged in such behaviour as well as to those affected or potentially affected; |
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Combatting disinformation, fake news and hate speech, and their impact in shaping the public sphere; |
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The EU as an international and regional actor in multilateral governance, including new approaches to science diplomacy. |
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Efficiency of justice systems and improved access to justice based on judiciary independence and principles and human rights, with fair, efficient and transparent procedural methods both in civil and criminal matters. |
2.2.2. Cultural Heritage
The European cultural and creative sectors build bridges between arts, culture, spiritual beliefs and experiences and cultural heritage, business and technology. Furthermore, Cultural and Creative Industries (CCIs) play a key role in reindustrialising Europe, are a driver for growth and are in a strategic position to trigger innovative spill-overs in other industrial sectors, such as tourism, retail, media and digital technologies and engineering. Cultural heritage forms an integral part of the cultural and creative sectors and is the fabric of our lives, meaningful to communities, groups and societies, giving a sense of belonging. It is the bridge between the past and the future of our societies. A better understanding of our cultural heritage and how it is perceived and interpreted are vital to creating an inclusive society in Europe and worldwide. It is also a driving force of European, national, regional and local economies and a powerful source of inspiration for creative and cultural industries. Accessing, conserving, safeguarding and restoring, interpreting and harnessing the full potential of our cultural heritage are crucial challenges now and for future generations. Cultural heritage , tangible and intangible, is the major input and inspiration for the arts, traditional craftsmanship, the cultural, creative and entrepreneurial ▌ sectors that are drivers of sustainable economic growth, new job creation and external trade. In this sense, both innovation and resilience of cultural heritage need to be considered in collaboration with local communities and relevant stakeholders. It also may serve as an agent of cultural diplomacy and as a factor of identity building and cultural and social cohesion.
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Heritage studies and sciences, with cutting edge technologies and innovative methodologies, including digital ones; |
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Access to and sharing of cultural heritage, with innovative patterns and uses and participatory management models; |
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Research for the accessibility of cultural heritage through new technologies, such as cloud services, including but not limited to a European cultural heritage collaborative space, as well as encouraging and facilitating transmission of know-how and skills. This will be preceded by an impact assessment; |
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Sustainable business models to strengthen the financial foundation of the heritage sector; |
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Connect cultural heritage with emerging creative sectors , including interactive media, and social innovation ; |
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The contribution of cultural heritage to sustainable development through conservation, safeguarding , developing and regeneration of cultural landscapes, with the EU as a laboratory for heritage-based innovation and sustainable cultural tourism; |
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Conservation, safeguarding, enhancement , ▌ restoration and sustainable management of cultural heritage and languages including the use of traditional skills and crafts or cutting edge technologies including digital; |
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Influence of cultural memories, traditions, behavioural patterns, perceptions, beliefs, values, sense of belonging and identities. The role of culture and cultural heritage in multi-cultural societies and patterns of cultural inclusion and exclusion . |
2.2.3. Social and Economic Transformations
European societies are undergoing profound socio-economic and cultural transformations, especially as a result of globalisation and technological innovations. At the same time there has been an increase in income inequality in most European countries (3). Forward-looking policies are needed, with a view to promoting sustainable and inclusive growth , gender equality, well-being and reversing inequalities, boosting productivity (including advancements in its measurement), socio-spatial inequalities and human capital, understanding and responding to migration and integration challenges and supporting intergenerational solidarity , intercultural dialogue and social mobility. Accessible, inclusive and high quality education and training systems are needed for a more equitable and prosperous future.
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Knowledge base for advice on investments and policies especially education and training, for high value added skills, productivity, social mobility, growth, social innovation and job creation. The role of education and training to tackle inequalities and underpin inclusion, including school-failure prevention ; |
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Social sustainability beyond GDP only indicators especially new economic and business models and new financial technologies; |
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Statistical and other economic tools for a better understanding of growth and innovation in a context of sluggish productivity gains and/or structural economic changes ; |
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New governance models in emerging economic areas and market institutions; |
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New types of work, the role of work, upskilling, trends and changes in labour markets and income in contemporary societies, and their impacts on income distribution, work-life balance, working environments, non-discrimination including gender equality and social inclusion; |
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Greater understanding of the societal changes in Europe and their impact; |
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The effects of social, technological and economic transformations on access to safe, healthy, affordable and sustainable housing; |
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Tax and benefits systems together with social security and social investment policies with a view to reversing inequalities in a fair and sustainable way and addressing the ▌ impacts of technology, demographics and diversity; |
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Inclusive and sustainable development and growth models for urban, semi-urban and rural environments; |
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Understanding human mobility and its impacts in the context of social and economic transformations, considered in the global and local scales for better migration governance, respect of differences, long-term integration of migrants including refugees and impact of related policy interventions ; respect of international commitments and human rights and issues of development aid and cooperation ; greater, improved access to quality education, training, l abour market, culture, support services, active and inclusive citizenship especially for the vulnerable , including migrants ; |
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Tackling of major challenges concerning European models for social cohesion, immigration, integration, demographic change, ageing, disability, education, poverty and social exclusion; |
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Advanced strategies and innovative methods for gender equality in all social, economic and cultural domains, and to deal with gender biases and gender-based violence. |
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Education and training systems to foster and make the best use of the EU's digital transformation, also to manage the risks from global interconnectedness and technological innovations, especially emerging online risks, ethical concerns, socio-economic inequalities and radical changes in markets; |
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Modernisation of public authorities governance and management systems to engage citizens and meet their expectation regarding service provision, transparency, accessibility, openness, accountability and user centricity. |
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3. CLUSTER ‘CIVIL SECURITY FOR SOCIETY’
3.1. Rationale
European cooperation has contributed to an era of unprecedented peace, stability and prosperity on the European continent. However, Europe has to respond to the challenges arising from persistent threats to the security of our increasingly complex and digitalised society. Terrorist attacks and radicalisation, as well as cyber-attacks and hybrid threats, raise major security concerns and put particular strain on societies. New, emerging security threats caused by new technologies in the near future, also require attention. Future security and prosperity depend on improving the abilities to protect Europe against such threats. These cannot be dealt with purely by technological means but require knowledge about people, their history, culture and behaviour, and include ethical considerations regarding the balance between security and freedom. Moreover, Europe has to ensure its non-dependence on security-critical technologies and support the development of breakthrough security technologies.
European citizens, state institutions, EU bodies and the economy need to be protected from the continued threats of terrorism and organised crime, including firearms trafficking, drug trafficking and trafficking in human beings and trafficking of cultural goods. Human and social dimensions of criminality and violent radicalisation require better understanding so as to improve public policies in terms of security. Strengthening protection and security through better border management, including maritime and land borders, is also key. Cybercrime is on the increase and related risks are diversifying as the economy and society digitalise. Europe needs to continue its efforts to improve cybersecurity, digital privacy, personal data protection and combat the spread of false and harmful information in order to safeguard democratic, social and economic stability. Further efforts are required to limit the effects on lives and livelihoods of extreme weather events which are intensifying due to climate change, such as floods, storms, heat waves or droughts leading to forest fires, land degradation and other natural disasters, e.g. earthquakes. Disasters, whether natural or human-made, can put at risk important societal functions and critical infrastructures, such as communication, health, food, drinking water, energy supply, transport, security and government.
This requires both technical research and research into the human factors involved to improve disaster resilience, including, where appropriate, testing applications, training and cyber hygiene and education. More efforts are needed to evaluate the results of security research and promote their uptake.
This cluster will seek synergies, in particular with the following Programmes: Internal Security Fund, Integrated Border Management Fund and Digital Europe as well as improved research and innovation cooperation between intergovernmental agencies and organisations including through exchange and consultation mechanisms for example in the intervention area ‘Protection and Security’.
Security research is part of the wider comprehensive EU response to security threats. It contributes to the capability development process by enabling the future availability of technologies, techniques and applications to fill capability gaps identified by policy-makers and practitioners and civil society organisations. Already, funding to research through the EU's framework programme has represented around 50 % of total public funding for security research in the EU. Full use will be made of available instruments, including the European space programme (Galileo and EGNOS, Copernicus, Space Situational Awareness and Governmental Satellite Communications). Whereas research and innovation activities under this Programme will have an exclusive focus on civil applications, coordination with EU-funded defence research will be sought in order to strengthen synergies, recognizing that there are areas of dual-use technology. Duplication of funding is avoided. Cross-border collaboration contributes to developing a European single security market and improving industrial performance, underpinning the EU's autonomy. Due attention will be given to the human understanding and perception of security.
Security research responds to the commitment of the Rome Agenda to work towards ‘a safe and secure Europe’, contributing to a genuine and effective Security Union
Activities will contribute directly to the following Sustainable Development Goals (SDGs) in particular: SDG 16 — Peace, Justice and Strong Institutions.
3.1.1. Disaster-Resilient Societies
Disasters may arise from multiple sources, whether natural or human -made, including those from terrorist attacks, climate-related and other extreme events (including from sea level rises), from forest fires, heat waves, floods, droughts, desertification, earthquakes, tsunamis and volcanic events, from water crises, from space weather events, from industrial and transport disasters, from CBRN events, as well as those from resulting cascading risks. The aim is to prevent and reduce the loss of life, harm to health and the environment, trauma as well as economic and material damage from disasters, ensure food, medicine supply and services and water security as well as to improve the understanding and reduction of disaster risks and enhance post-disaster recovery . This implies covering the full spectrum of crisis management: from prevention and training, to crisis management and post-crisis management and resilience.
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Technologies, capabilities and governance for first responders for emergency operations in crisis , disaster and post- disaster situations and the initial phase of recovery ; |
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The capacities of society to better prevent, manage and reduce disaster risk, including through nature-based solutions, by enhancing forecasting capabilities, prevention, preparedness and response to existing and new risks and domino effects, impact assessment and a better understanding of the human factor in risk management and risk communication strategies ; |
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More effectively support the build-back-better philosophy of the Sendai Framework through better understanding of post-disaster recovery and research into more effective post-disaster risk assessment. |
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Interoperability of equipment and procedures to facilitate cross-border operational cooperation and an integrated EU market. |
3.1.2. Protection and Security
There is a need to protect citizens from and to respond to security threats from criminal including terrorist activities and hybrid threats; to protect people, public spaces and critical infrastructure, from both physical (including CBRN-E) attacks and cyber-attacks; to fight terrorism and violent radicalisation, including understanding and tackling terrorist ideas and beliefs; to prevent and fight serious crime, including cybercrime, and organised crime (such as piracy and counterfeiting of products); to support victims; to trace criminal financial flows ; to develop new forensic capabilities ; to support the use of data for law enforcement and to ensure the protection of personal data in law enforcement activities; to strengthen border protection capabilities, to support air, land and sea EU border management, for flows of people and goods and to understand the human factor in all these security threats and in their prevention and mitigation . It is essential to maintain flexibility to rapidly address new and unforeseen security challenges that may arise.
Broad Lines
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Innovative approaches and technologies for security practitioners (such as police forces, fire brigades, medical services, border and coast guards, customs offices), in particular in the context of digital transformation and interoperability of security forces, operators of infrastructure, civil society organisations, and those managing open spaces; |
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Analysis of cross-border crime phenomena, advanced methods of fast, reliable, standardised and privacy enhanced data sharing and collection as well as best practices; |
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Human and socio-economic dimensions of criminality and violent radicalisation, in relation to those engaged or potentially engaged in such behaviour as well as to those affected or potentially affected , including understanding and tackling terrorist ideas and beliefs and crimes based on gender, sexual orientation or racial discrimination ; |
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Analysis of security aspects of new technologies such as DNA-sequencing, genome editing, nanomaterials and functional materials, Artificial Intelligence, autonomous systems, drones, robotics, quantum computing, cryptocurrencies, 3D printing and wearables, blockchain, as well as improving awareness of citizens, public authorities and industry to prevent the creation of new security risks and to reduce existing risks, including from those new technologies ▌ ; |
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Improved foresight and analysis capabilities for policy making and at strategic level on security threats; |
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Protection of critical infrastructures as well as open and public spaces from physical, digital and hybrid threats, including the effects of climate change; |
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Monitoring and combatting disinformation and fake news with implications for security , including developing capabilities to detect the sources of manipulation ; |
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Technological development for civil applications with the scope to enhance, where appropriate, interoperability between civil protection and military forces; |
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Interoperability of equipment and procedures to facilitate cross-border , intergovernmental and inter-agency operational cooperation, and develop an integrated EU market; |
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Developing tools and methods for an effective and efficient Integrated Border Management, in particular to increase reaction capability and improved capacity to monitor movements across external borders to enhance risk detection, incident responding and crime prevention; |
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Detection of fraudulent activities at border crossing points and throughout the supply chain, including identifying forged or otherwise manipulated documents and detecting trafficking in human beings and illicit goods; |
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Ensuring the protection of personal data in law enforcement activities, in particular in view of rapid technological developments , including confidentiality and integrity of information and traceability and processing of all transactions; |
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Developing techniques for identifying counterfeit products, for enhancing protection of original parts and goods and for controlling transported products. |
3.1.3. Cybersecurity
Malicious cyber activities not only threaten our economies but also the very functioning of our democracies, our freedoms and our values. Cyber threats are often criminal, motivated by profit, but they can also be political and strategic. Our future security , freedom, democracy and prosperity depend on improving our ability to protect the EU against cyber threats. The digital transformation requires improving cybersecurity substantially, to ensure the protection of the huge number of IoT devices expected to be connected to the internet, and the safe operation of network and information systems, including for power grids, drinking water supply and distribution, vehicles and transport systems , hospitals, finances, public institutions, factories, homes. Europe must build resilience to cyber-attacks and create effective cyber deterrence , while making sure that data protection and the freedom of citizens are strengthened . It is in the Union's interest to ensure that it develops and retains essential cybersecurity strategic capacities in order to secure the Digital Single Market, and, in particular, to ensure the protection of critical networks and of information systems and to provide key cybersecurity services. The Union must be in a position to autonomously secure its digital assets and to compete on the global cybersecurity market.
Broad Lines
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Technologies across the digital value chain (from secure components and quantum-resistant cryptography to self-healing software and networks); |
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Technologies , methods, standards and best practices to address ▌ cybersecurity threats, anticipating future needs, and sustaining a competitive European industry , including tools for electronic identification, threat detection, cyber hygiene, as well as training and education resources ; |
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An open collaboration for European cybersecurity competence network and competence centre. |
4. CLUSTER ‘DIGITAL, INDUSTRY AND SPACE’
4.1. Rationale
To ensure industrial competitiveness and the capacity to address the global challenges ahead, the EU must increase its technological sovereignty and its scientific, technological and industrial capacities in the key areas that underpin the transformation of our economy , the work place and society.
EU industry provides one out of five jobs and two thirds of private sector R&D investments and generates 80 % of EU exports. A new wave of innovation, involving a merging of physical and digital technologies, will trigger huge opportunities for EU industry and improve the quality of life for EU citizens.
Digitisation is a major driver. As it continues at a rapid pace across all sectors, investment in priority areas ranging from trustworthy artificial intelligence to next generation internet, high performance computing, photonics , quantum technologies, robotics and micro-/ nano-electronics, becomes essential for the strength of our economy and the sustainability of our society. Investing, producing and using digital technologies provides a major boost to EU economic growth, amounting to an increase of 30 % between 2001 and 2011 alone. In this context, the role of SMEs remains fundamental in the EU, both in terms of growth and jobs. Digital uptake among SMEs promotes competitiveness and sustainability.
Key enabling technologies (4) underpin the blending of the digital and the physical worlds, central to this new global wave of innovation. Investing in research, development, demonstration and deployment of key enabling technologies, and ensuring a secure, sustainable and affordable supply of raw and advanced materials, will secure EU strategic autonomy and help EU industry to significantly reduce its carbon and environmental footprints.
Specific future and emerging technologies will also be pursued as appropriate.
Space is of strategic importance; around 10 % of the EU's GDP depends on the use of space services. The EU has a world-class space sector, with a strong satellite manufacturing industry and a dynamic downstream services sector. Space provides important tools for monitoring, communication, navigation, and surveillance and opens up many business opportunities especially in combination with digital technologies and other sources of data. The EU must make the most of these opportunities by fully exploiting the potential of its space programmes Copernicus, EGNOS and Galileo, and by protecting space and ground infrastructures against threats from space.
The EU has the unique chance of being a global leader and increase its share of world markets, by showcasing how digital transformation, leadership in key enabling and space technologies, the transition to a low-carbon, circular economy and competitiveness can reinforce each other through scientific and technological excellence.
To make the digitised, circular, low-carbon and low-emission economy a reality, action is needed at EU level because of the complexity of value chains, the systemic and multi-disciplinary nature of the technologies and their high development costs, and the cross-sectoral nature of the problems to be addressed. The EU must ensure that all industrial players, and society at large, can benefit from advanced and clean technologies and digitalisation . Developing technologies alone will not suffice. A societal understanding of these technologies and evolutions is crucial for engaging end users and behavioural change .
Industrially-oriented infrastructures, including pilot lines, will help EU businesses, and in particular SMEs, deploy these technologies and improve their innovation performance and may be facilitated also by other EU programmes.
A strong engagement of industry and civil society is essential for setting priorities and developing research and innovation agendas, increasing the leverage of public funding through private and public investments , and ensuring the better uptake of results. Societal understanding and acceptance , including consideration of the design of products, goods and services, are key ingredients for success, as well as a new agenda for industry-relevant skills and standardisation.
Bringing together activities on digital, key enabling and space technologies, as well as a sustainable supply of raw materials, will allow for a more systemic approach, and a faster and more profound digital and industrial transformation. It will ensure that research and innovation in these areas feed into, and contribute to the implementation of, the EU’s policies for industry, digitisation, environment, energy and climate, circular economy, raw and advanced materials and space.
Complementarity will be ensured with activities in particular under the Digital Europe Programme and the Space Programme, while respecting the delineation between ▌ Programmes and avoiding ▌ overlaps.
Activities will contribute directly to the following Sustainable Development Goals (SDGs) in particular: SDG 8 — Decent Work and Economic Growth; SDG 9 — Industry, Innovation and Infrastructure; SDG 12 — Responsible Consumption and Production; SDG-13 Climate Action.
4.2. Areas of Intervention
4.2.1. Manufacturing Technologies
Manufacturing is a key driver of employment and prosperity in the EU, producing over three quarters of the EU's global exports and providing over a 100 million direct and indirect jobs. The key challenge for EU manufacturing is to remain competitive at a global level with smarter and more customised products of high added value, produced at much lower energy and material resource costs as well as with a reduced carbon and environmental footprint . Creative and cultural inputs as well as perspectives from social sciences and humanities on the relation between technology and people in production will be vital to help generate added value. The impact on work life and employment will be studied as well.
Broad Lines
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Breakthrough manufacturing technologies such as biotechnological production, additive manufacturing, industrial , collaborative, flexible and intelligent robotics, human integrated manufacturing systems, also promoted via an EU network of industrially-oriented infrastructures , which provide services to accelerate technological transformation and uptake by EU industry ; |
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Breakthrough innovations using different enabling technologies across the value chain. Examples are converging technologies, artificial intelligence, digital twin, data analytics, control technologies, sensor technologies, industrial , collaborative and intelligent robotics, human-centred systems, biotechnological production , advanced batteries and hydrogen, including renewable based hydrogen, and fuel cell technologies, advanced plasma and laser technologies ; |
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Skills, workspaces and businesses fully adapted to the new technologies, in line with European social values; |
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Flexible, high-precision, zero-defect , low-pollution and ▌ waste , sustainable and climate-neutral cognitive plants , in line with the circular economy approach, smart and energy efficient manufacturing systems meeting customer needs; |
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Breakthrough innovations in techniques for exploring construction sites, for full automation for on-site assembly and prefabricated components. |
4.2.2. Key Digital Technologies
Maintaining and autonomously developing strong design and production capacities in essential digital technologies such as micro- and nano-electronics, microsystems, photonics, software and cyber-physical systems, and their integration as well as advanced materials for these applications will be essential for a competitive citizen-centered and social EU.
Broad Lines
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Micro- and nano- electronics , including design and processing concepts , components and manufacturing equipment responding to the specific requirements of digital transformation and global challenges, in terms of performance functionality, energy and material consumption and integration; |
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Efficient and secure sensing and actuating technologies and their co-integration with computational units as the enabler of industry and the Internet of Things, including innovative solutions on flexible and conformable materials for human-friendly interacting objects; |
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Technologies as complements or alternatives to nano-electronics, such as ▌ integrated quantum computing , transmission and sensing as well as neuromorphic computing components and spintronics ; |
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Computing architectures and accelerators, low-power processors for a wide range of applications including neuromorphic computing powering artificial intelligence applications, edge computing, digitisation of industry, big data and cloud computing , smart energy and connected and automated mobility ; |
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Computing hardware designs delivering strong guarantees of trusted execution, with built-in privacy and security protection measures for input/output data , quantum computing as well as processing instructions and adequate human machine interfaces ; |
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Photonics technologies enabling applications with breakthrough advances in functionality , integration and performance; |
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System and control engineering technologies to support flexible, evolvable and fully autonomous systems for trustworthy applications interacting with the physical world and humans , including in industrial and safety critical domains; |
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Software technologies enhancing software quality, cybersecurity and reliability with improved service life, increasing development productivity, and introducing built-in artificial intelligence and resilience in software and their architecture ; |
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Emerging technologies expanding digital technologies ▌ . |
4.2.3. Emerging enabling technologies
Key Enabling Technologies have demonstrated their potential to stimulate innovation in and across many sectors (5) . To facilitate the development of new enabling technologies and feed the innovation pipeline, transformative research themes must be identified and supported from an early exploratory stage to demonstrations in pilot applications. Furthermore, emerging, often interdisciplinary, communities need to be assisted to reach the critical mass enabling them to systematically develop and mature promising technologies. The goal is to bring emerging enabling technologies to levels of maturity that allow inclusion into industrial research and innovation roadmaps.
Broad lines
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support for future and emerging trends in key enabling technologies; |
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support for emerging communities involving a human-centred approach from the outset; |
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assessing the disruptive potential of new emerging industrial technologies, and their impact on people, industry, society and the environment, building interfaces with industrial roadmaps; |
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broaden the industrial basis for adopting technologies and innovation with breakthrough potential, including development of human resources and in the global context. |
4.2.4. Advanced Materials
The EU is a global leader in advanced materials and associated processes, which make up 20 % of its industry base and form the root of nearly all value chains through the transformation of raw materials. To remain competitive and meet citizens’ needs for sustainable, safe and advanced materials, the EU must invest in research for novel materials, including bio-based ones and resource efficient innovative building materials, and must improve the durability and recyclability of materials, reduce the carbon and environmental footprint, and drive cross-sectoral industrial innovation by supporting new applications in all industry sectors. Furthermore, advanced materials have a tremendous impact regarding citizens’ needs.
Broad Lines
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Materials (including polymers , bio-, nano-, two-dimensional, smart and multi- materials (including lignocelluloses), composites, metals and alloys) and advanced materials (e.g. quantum, responsive, photonic and superconducting materials) designed with new properties and functionalisation and meeting regulatory requirements (while not leading to increased environmental pressures during their whole life-cycle, from production to use or end-of-life); |
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Integrated materials processes and production following a customer-oriented and ethical approach, including pre-normative activities and life-cycle assessment, sourcing and management of raw materials, durability, reusability and recyclability, safety, risk assessment for human health and environment and risk management; |
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Advanced materials enablers like characterisation (e.g. for quality assurance), modelling and simulation , piloting and upscaling; |
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An EU innovation ecosystem of technology infrastructures (6), networked and accessible to all relevant stakeholders, identified and prioritised in agreement with Member States, which provide services to accelerate technological transformation and uptake by EU industry, notably by SMEs; this will cover all key technologies necessary to enable innovations in the field of materials; |
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Solutions based on advanced materials for cultural heritage , design, architecture and general creativity, with a strong user orientation, for adding value to industrial sectors and the creative industries. |
4.2.5. Artificial Intelligence and Robotics
Making any object and device intelligent and connected is one of the megatrends. Researchers and innovators developing Artificial Intelligence (AI) and offering applications in Robotics and other areas will be key drivers of future economic and productivity growth. Many sectors including health, manufacturing, ship-building, construction, service industries and farming will use and further develop this key enabling technology, in other parts of the Framework Programme. AI developments must be conducted openly across the EU, ensure the safety , the societal and environmental soundness of AI-based applications, consider ethical aspects from the outset, assess the risks and mitigate its potential for malicious use and unintended discrimination such as gender, racial or disability bias. It must also be ensured that AI is developed within a well-coordinated framework which respects the EU's values , ethical principles and the Charter of Fundamental Rights of the European Union. This Programme will be complemented by activities set out under the Digital Europe Programme.
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Enabling AI technologies such as explainable AI, ethical AI, human-controlled AI, unsupervised machine learning and data efficiency and advanced human-machine and machine-machine interactions; |
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Safe, smart , collaborative and efficient robotics and complex embodied and autonomous systems; |
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Human-centric AI technologies for AI-based solutions; |
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Developing and networking the research competences in the area of AI ▌ across Europe under an open collaborative perspective while also developing the capacity for closed testing ; |
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The employment of AI and robotics to support people affected by disability, and inclusion of marginalised individuals; |
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Technologies for open AI platforms including software algorithms, data repositories, agent-based systems, robotics and autonomous systems platforms. |
4.2.6. Next Generation Internet
The Internet has become a key enabler of the digital transformation of all sectors of our economy and society. The EU needs to take the lead in driving the next generation Internet towards a human-centric ecosystem in line with our social and ethical values. Investing in technologies and software for the Next Generation Internet will improve EU industrial competitiveness in the global economy. Optimising EU wide take up will require large-scale cooperation across stakeholders. Ethical norms regulating next-generation internet should be also considered.
Broad Lines
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Technologies and systems for trusted and energy-efficient smart network and service infrastructures (connectivity beyond 5G, software defined infrastructures, Internet of things, systems of systems, cloud infrastructures, next generation optical networks, quantum, cognitive clouds and quantum internet, integration of Satellite Communications ), enabling real-time capabilities, virtualisation and decentralised management (ultrafast and flexible radio, edge computing, shared contexts and knowledge) to ensure scalable, efficient, reliable and trustworthy network performance suited for massive service deployment ; |
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Next Generation Internet applications and services for consumers, industry and society building on trust, fairness, interoperability, better user control of data, transparent language access, new multi modal interaction concepts, inclusive and highly personalised access to objects, information and content, including immersive and trustworthy media, social media and social networking as well as business models for transactions and services over shared infrastructures ; |
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Software-based middleware, including distributed ledger technologies such as blockchains , working in highly distributed environments, facilitating data mapping and data transfer across hybrid infrastructures with inherent data protection, embedding artificial intelligence, data analytics, security and control in Internet applications and services predicated on the free flow of data and knowledge. |
4.2.7. Advanced Computing and Big Data
High Performance Computing and Big Data have become indispensable in the new global data economy, where to out-compute is to out-compete. High Performance Computing and Big Data analytics shall be encouraged throughout the EU and are critical to support policy making, scientific leadership, innovation and industrial competitiveness, and to maintain national sovereignty while respecting ethical issues. These activities will be complemented by activities under the Digital Europe Programme.
Broad Lines
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High Performance Computing (HPC): next generation of key exascale and post-exascale technologies and systems (e.g. low-power microprocessors, software, system integration); algorithms, codes and applications, and analytic tools and test-beds; industrial pilot test-beds and services; supporting research and innovation , and preferably participation by all the Member States, for a world-class HPC infrastructure, including the first hybrid HPC/Quantum computing infrastructures and for shared services in the EU; |
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Big Data: Extreme-performance data analytics; ‘Privacy by design’ in the analysis of personal and confidential Big Data; technologies for full-scale data platforms for re-use of industrial, personal and open data; data management, interoperability and linking tools; data applications for global challenges; methods for data science; |
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Reduced carbon footprint of ICT processes, covering hardware, a rchitecture, communication protocols, software, sensors, networks, storage and data centres, and including standardised assessments. |
4.2.8. Circular Industries
Europe is at the forefront of the global transition towards a circular economy. Europe's industry should become a circular industry: the value of resources, materials and products should be maintained much longer compared to today, even opening up new value chains. Engagement of citizens is crucial.
Primary raw materials will continue to play an important role in the circular economy and attention must be paid to their sustainable sourcing, usage and production. Safe and sustainable materials cycles shall be ensured. In addition, entirely new materials , including bio-based materials , products and processes should be designed for circularity. Building a circular industry will have several advantages for Europe: It will lead to a secure, sustainable and affordable supply of raw materials, which will in turn protect the industry against scarcity of resources and price volatility. It will also create new business opportunities and innovative, more resource and energy efficient ways of production . Research and development focused on developing less hazardous substances will be encouraged and stimulated.
The objective is to develop affordable breakthrough innovations and deploy a combination of advanced technologies and processes so as to extract maximum value from all resources.
Broad Lines
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Industrial symbiosis with resource flows between plants across sectors and urban communities; processes and materials, to transport, transform, re-use and store resources, combining the valorisation of by-products, waste , waste-water and CO2; |
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Valorisation and life-cycle assessment of materials and product streams with use of new alternative feedstocks, resource control, material tracking and sorting (including validated testing methods and tools for risk assessment for human health and environment) ; |
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Eco-designed products, services and new business models for enhanced life-cycle performance, durability, upgradeability and ease of repair, dismantling , reuse and recycling; |
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Effective recycling industry, maximising potential and safety of secondary materials and minimising pollution (non-toxic material cycles) , quality downgrading, and quantity dropouts after treatment; |
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Elimination or, if no alternative, safe handling of substances of concern in the production and end-of-life phases; safe substitutes, and safe and cost-efficient production technologies; |
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Sustainable supply and substitution of raw materials, including critical raw materials, covering the whole value chain. |
4.2.9. Low-Carbon and Clean Industries
Industrial sectors, including energy-intensive industries , such as steel, contribute millions of jobs and their competitiveness is key for the prosperity of our societies. However, they account for 20 % of the global greenhouse gas emissions and have a high environmental impact (particularly in terms of air, water and soil pollutants).
Breakthrough technologies to achieve significant reductions in greenhouse gases and pollutants and EU’s energy demand , often combined with the technologies for circular industry above, will lead to strong industrial value chains, revolutionise manufacturing capacities and improve the global competitiveness of industry; and at the same time make key contributions to our targets for climate action and environmental quality.
Broad Lines
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Process technologies, including heating and cooling, digital tools , automation and large-scale demonstrations for process performance and resource and energy efficiency; substantial reductions or avoidance of industrial emissions of greenhouse gases and pollutants, including particulate matter; |
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▌ CO2 valorisation from industry and other sectors ; |
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Conversion technologies for the sustainable utilization of carbon sources to increase resource efficiency and reduce emissions, including hybrid energy systems for the industry and energy sector with a decarbonisation potential; |
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Electrification and use of unconventional energy sources within industrial plants, and energy and resource exchanges between industrial plants (for instance via industrial symbiosis); |
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Industrial products that require low or zero carbon emissions production processes through the life cycle. |
4.2.10. Space , including Earth Observation
EU space systems and services reduce costs and improve efficiency, offer solutions to societal challenges, increase societal resilience , help monitoring and fighting climate change and foster a competitive and sustainable economy. EU support has been instrumental in helping to realise these benefits and impacts. Research and innovation activities should also support the evolution of the Union Space Programme which must ▌ remain at the forefront.
The EU will support synergies between space and key enabling technologies ( ▌ advanced manufacturing, Internet of Things, big data, photonics, quantum technologies, robotics and artificial intelligence); foster a thriving and entrepreneurial and competitive upstream and downstream space sector , including industry and SMEs; boost application of space technologies, data and services in other sectors and help secure technological non-dependence in accessing and using space in a strategic, safe and secure manner ; and will promote capacity building measures . Activities will be generally roadmap-based, taking account of the ESA harmonisation process and relevant Member States initiatives, and will be implemented with ESA and the EU Agency for the Space Programme, in accordance with the Regulation establishing the Space Programme for the European Union. However, the space part will also support bottom up calls to allow the emergence of future space technologies .
There is a need for a wider deployment, exploitation and update of new technologies and continued research and innovation to address gaps in Earth Observation (EO) on land and sea and in the atmosphere (e.g. healthy oceans and seas, ecosystem protection), benefiting from Copernicus and other relevant European programmes as essential sources and coordinating through the Global Earth Observation System of Systems (GEOSS) and its European component EuroGEOSS.
Broad Lines
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European Global Navigation Satellite Systems (Galileo and EGNOS): innovative applications, global uptake including international partners, solutions improving robustness, authentication, integrity of services, development of fundamental elements such as chipsets, receivers and antennas, sustainability of supply chains, at cost-effective and affordable conditions , new technologies (e.g. quantum technologies, optical links, reprogrammable payloads), towards sustained exploitation of services for impact on societal challenges. Next generation systems development for new challenges such as security or autonomous driving; |
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European Earth Observation system ( Copernicus ): leveraging the full, free and open data policy, develop innovative applications, European and global uptake , including non-space actors and international partnerships, research needed to maintain, improve and expand core services and research for space data assimilation and exploitation, robustness and evolution of services, sustainability of supply chains, sensors, systems and mission concepts (e.g. High Altitude Platforms, drones, light satellites); calibration and validation; sustained exploitation of services and impact on societal challenges; Earth observation data processing techniques, including big data, computing resources and algorithmic tools. Next generation systems development for ▌ challenges such as climate change, polar and security; extension of the Copernicus product and service portfolio; |
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Space Situational Awareness: developments to support robust EU capacity to monitor and forecast the state of the space environment e.g. space weather, including radiation hazards, space debris and near Earth objects . Developments of sensors technologies and new service concepts, such as space traffic management, applications and services to secure critical infrastructure in space and on Earth; |
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Secure Satellite Communications for EU governmental actors: solutions supporting the EU’s autonomy for ▌ governmental users including associated user equipment and architectural, technological and system solutions for space and ground infrastructure ▌ ; |
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Satellite Communications for citizens and businesses: integration of cost-effective, advanced satellite communications in the terrestrial networks to connect assets and people in underserved areas, as part of 5G-enabled ubiquitous connectivity , ▌ Internet of Things (IoT), and contributing to the Next Generation Internet (NGI) infrastructure. Enhancing the ground segment and user equipment, standardisation and interoperability , and preparation of quantum key communication by satellite to ensure EU industrial leadership; |
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Non-dependence and sustainability of the supply chain: increased technology readiness levels in satellites and launchers; associated space and ground segments, and production and testing facilities in complementarity with ESA . To secure EU technological leadership and autonomy, improved supply chain sustainability at cost-effective and affordable conditions , reduced dependence on non-EU critical space technologies and improved knowledge of how space technologies can offer solutions to other industrial sectors and vice-versa ; |
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Space systems : in-orbit validation and demonstration services, including rideshare services for light satellites; space demonstrators in areas such as hybrid, smart or reconfigurable satellites, in-orbit servicing, manufacturing and assembly, energy supply using diversified sources; new industrial processes and production tools; ground systems ; breakthrough innovations, and technology transfer, in areas such as recycling, green space, sustainable and peaceful use of space resources, artificial intelligence, robotics, digitisation, cost-efficiency, miniaturisation; |
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Access to space: innovative technologies for increasing the technical compatibility and economic efficiency of European space launch systems, with regard to the launch of European Union satellites: low cost production processes, launcher reusability technologies and concepts for cost reduction; concepts for future launcher ground segments and adaptations of existing ground infrastructures (e.g. digitalisation, advanced data management); innovative space transportation services/concepts, including launch systems dedicated to light satellites (e.g. micro launchers), in complementarity with ESA. |
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Space science: exploitation of scientific data delivered by scientific and exploration missions, combined with the development of innovative instruments in an international and interdisciplinary environment; contribution to precursor scientific missions for the evolution of the Space Programme. |
5. CLUSTER ‘CLIMATE, ENERGY AND MOBILITY’
5.1. Rationale
The intersection of research and innovation on climate, energy and mobility will address in a highly integrated and effective way, one of the most important global challenges for the sustainability and future of our environment, economy and way of life.
To meet the objectives of the Paris Agreement the EU will need to transition to climate neutral , resource-efficient and resilient economies and societies. This will entail profound changes in technology , processes, products and services, to the ways in which businesses and consumers behave . The transformation of the energy market will take place through interaction of technology, infrastructure, the market as well as policy and regulatory frameworks, including new forms of governance. Pursuing efforts to limit the temperature increase to 1,5 oC, requires rapid progress in decarbonising the energy ▌, transport , buildings, industrial and agriculture sectors . New impetus is needed to accelerate the pace of developing next-generation breakthroughs as well as demonstrating and deploying cost-efficient innovative technologies and solutions, using also the opportunities provided by digital , bio and space technologies , as well as key enabling technologies and advanced materials . This will be pursued through an integrated approach encompassing decarbonisation, resource efficiency, improved recovery, reuse and recycling, reduction of air pollution, access to raw materials and circular economy in Horizon Europe .
Progress in these sectors — but also across the spectrum of EU industry including energy infrastructures, transport, agriculture and forestry, tourism, buildings, industrial processes and product use, ▌ waste management and recycling (7)- will require continued efforts to better understand the mechanisms and dynamics of climate change and the associated impacts across the economy and society, exploiting synergies with regional and national activities, other EU types of actions and international cooperation , including through Mission Innovation .
Over the past decades , considerable advances have been made in climate science, in particular in observations and data assimilation and climate modelling. However, the complexity of the climate-system and the need to support implementation of the Paris Agreement, the Sustainable Development Goals and EU policies necessitate a reinforced effort to fill the remaining knowledge gaps , further enhance spatial and temporal granularity of climate science while ensuring adequate interaction with citizens and other stakeholders .
The EU has established a comprehensive policy framework in the Energy Union strategy, with binding targets, legislative acts and research and innovation activities aiming to lead in developing and deploying efficient energy production systems based on renewable and alternative energy (8).
Transport , including vehicles, ensures the mobility of people and goods necessary for an integrated European single market, territorial cohesion and an open and inclusive society. At the same time, transport can have significant ▌ effects on human health, congestion, land, water, climate, air quality and noise, as well as safety resulting in numerous premature deaths and increased socio-economic costs. Demand for goods and mobility will continue to grow. Therefore, innovation will have to bridge growing demand with cleaner and more efficient mobility and transport systems that need to be also , safe, smart, secure, silent, reliable , accessible, inclusive and affordable, offering a seamless integrated door-to-door service to all .
Both sectors are major drivers of Europe’s economic competitiveness and growth. Transport is a fundamental sector for and of the economy with the EU being a world leader in vehicle, rail, aircraft and vessel design and manufacturing. It embraces a complex network of around 1,2 million private and public companies in the EU, employing around 10,5 million people. The sector is also important for the EU's international trade: in 2016, 17,2 % of the EU's total exports of services were transport related. At the same time, the EU has upwards of 2 million people working in the field of renewables and energy efficiency, while patenting of innovative clean energy technologies, places the EU in second place worldwide.
The issues faced by the energy and transport ▌ sectors go therefore beyond the need for emission reduction. Effective solutions are needed to respond to changes in user behaviour and mobility patterns ▌ , globalisation, increasing international competition and an older, more urban and increasingly diverse, population. At the same time, the increasing penetration of digital and space-based technologies, automated vehicles, Artificial Intelligence, robotics, new market entrants, disruptive business models and the need for increased system resilience against multifaceted hazards (including cyber threats) bring substantive transformation and create challenges and opportunities for the competitiveness of the European transport and energy sectors.
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Cities' ability to function will become dependent on technology and the liveability of cities will evolve around mobility, energy and resource efficiency, spatial planning and competition in space use. Developments will also be posing a challenge to the sustainability of existing social models and social participation, aspects of inclusion and accessibility as well as affordability.
Finding new ways to accelerate the deployment of renewable energy-based and energy efficient technologies (including through intermediate carriers such as power-to-gas and hydrogen) and other non-technological solutions for the decarbonisation of the European economy requires also increased demand for innovation. This can be stimulated through the empowerment of citizens , greening of public procurement as well as socio-economic and public sector innovation and will lead to approaches broader than technology-driven innovation. Socio-economic research covering inter alia user needs and patterns, foresight activities, environmental, regulatory, economic, social , cultural and behavioural aspects, business cases and models and pre-normative research for standard setting and market uptake innovation , will also facilitate actions fostering regulatory, financing and social innovation, skills, as well as engagement and empowerment of market players, consumers and citizens . A better coordination, complementarity and synergy between national and European research and innovation efforts by promoting information exchange and cooperation among EU countries, industries and research institutions will build on the achievements of e.g. the SET-Plan and the Strategic Transport Research and Innovation Agenda (STRIA). Complementarity between this cluster and the EU ETS Innovation Fund will be ensured.
Activities under this Cluster contribute in particular to the goals of the Energy Union, the Paris Agreement commitments as well as to those of the Digital Single Market, the Jobs, Growth and Investment agenda, the strengthening of the EU as a global actor, the new EU Industrial Policy Strategy, the Bioeconomy Strategy, the Circular Economy Action Plan, the European Battery Alliance Initiative , the Raw Materials Initiative, the Security Union and the Urban Agenda, as well as the Common Agricultural Policy of the EU as well as EU legal provisions to reduce noise and air pollution.
Activities will contribute directly to the following Sustainable Development Goals (SDGs) in particular: SDG 6 — Clean water and sanitation; SDG 7 — Affordable and Clean Energy; SDG 9 — Industry, Innovation and Infrastructure; SDG 11 — Sustainable Cities and Communities; SDG 12 — Responsible consumption and production; SDG 13 — Climate Action.
5.2. Areas of Intervention
5.2.1. Climate Science and Solutions
Effective implementation of the Paris Agreement has to be based on science, requiring continuously improving of our knowledge on the climate-earth system, as well as the mitigation and adaptations options available, allowing for a systemic and comprehensive picture of challenges and climate-responsible opportunities for the EU's economy and society . On this basis, science-based solutions for a cost-effective transition to a climate neutral , climate-resilient and resource-efficient society will be developed , considering behavioural, regulatory, socio-economic and governance aspects .
Broad Lines
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Knowledge base on the current functioning and future evolution of the earth-climate and living system, as well as associated impacts, risks, and climate-responsible opportunities; effectiveness of different climate mitigation and adaptation solutions; |
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Integrated climate neutral pathways, mitigation actions and policies covering all sectors of the economy, compatible with Earth system analyses, the Paris Agreement and the United Nations Sustainable Development Goals; |
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Climate models, projections and techniques aiming to improve predictive capacity and climate services for businesses, public authorities and citizens , including cross-cutting aspects with air quality improvement ; |
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Adaptation pathways and support policies for vulnerable ecosystems, urban areas, critical economic sectors and infrastructure in the EU (local/regional/national), including improved risk assessment tools; water cycle and adaptation to climate change, such as flooding and water scarcity . |
5.2.2. Energy Supply
The EU aims to be world leader in affordable, secure and sustainable energy technologies improving its competitiveness in global value chains and its position in growth markets. Diverse climatic, geographical, environmental and socio-economic conditions in the EU as well as the need to ensure climate resilience, energy security and access to raw materials, dictate a broad portfolio of energy solutions, including of non-technical nature. As regards renewable energy technologies, costs need to decrease further, performance must improve, integration into the energy system must be improved, breakthrough technologies need to be developed , benefiting also from advances in photonics, and hybrid solutions (e.g. for desalination) should be explored . As regards fossil fuels, decarbonising their usage is essential to meet the climate objectives.
Broad Lines
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Renewable energy and energy conservation technologies and solutions for power generation, heating and cooling, sustainable transport fuels and intermediate carriers, at various scales and development stages, adapted to geographic and socio-economic conditions and markets, both within the EU and worldwide; |
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Disruptive renewable energy technologies for both existing and new applications and for breakthrough solutions including their environmental, economic and social impact ; |
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Technologies and solutions to reduce greenhouse gas emissions from fossil fuel-based as well as from bio- and waste-to-energy-based approaches producing power, heating, cooling or biofuels including via carbon capture, utilisation and storage (CCUS) and studies of socio-economic and ecological feasibility . |
5.2.3. Energy Systems and Grids
The expected growth of variable electricity production and shift towards more electric heating, cooling and transport dictates the need for new approaches to manage energy grids. Next to decarbonisation, the goal is to ensure energy affordability, security , climate resilience, and stability of supply, achieved through investments in innovative network infrastructure technologies , increased flexibility of dispatchable power generation, notably from renewable sources and innovative system management as well as by facilitating actions fostering regulatory and social innovation, skills, and engaging and empowering market players, consumers and communities . Energy storage in different forms will play a key role in providing services to the grid, also improving and reinforcing network capacities and system flexibility . Exploiting synergies between different networks (e.g. electricity grids, heating and cooling networks, gas networks, transport recharging and refuelling infrastructure, hydrogen, including its infrastructure, and telecom networks) and actors (e.g. industrial sites, network operators, data centres, self-producers , consumers, renewable energy communities) as well as demand-response and developing and integrating European and international standards will be crucial for enabling the smart, integrated operation of the relevant infrastructures.
Broad Lines
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Technologies and tools for ▌ networks to integrate renewables , storage solutions and new loads such as electro-mobility and heat pumps as well as the electrification of industrial processes ; |
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Multidisciplinary approaches to regionally dependent climate change related impact to energy security, including adaptation of existing technologies, as well as transition into the new energy supply paradigms; |
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Pan-European energy network approaches to reliable energy supply, transmission and distribution ; |
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Integrated approaches to match renewable energy production and consumption at local level including on islands or remote regions , based on new services and community initiatives; |
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Generation and network flexibility , interoperability and synergies between the different energy sources, networks, infrastructures and actors , also exploiting specific technologies ; |
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Technologies, services and solutions empowering consumer to be an active market player. |
5.2.4. Buildings and Industrial Facilities in Energy Transition
Buildings and industry installations play an increasingly active role in their interaction with the energy system. Therefore, they are crucial elements in the transition to a carbon-neutral society based on renewable energy and increased energy efficiency .
Buildings are an important factor for quality of life of citizens. Integrating different technologies, appliances and systems and linking various energy uses, buildings as well as their inhabitants and users represent a very high potential for climate change mitigation, energy generation , energy savings, storage , system flexibility and efficiency improvements.
Industries, and especially those that are energy-intensive, could further improve energy efficiency, reduce their energy consumption and favour the integration of renewable energy sources. Industrial facilities’ role in the energy system is changing, due to the need to reduce emissions, based on direct or indirect electrification, also a source of materials for production processes (e.g. hydrogen). Industrial and manufacturing complexes where many different processes take place near to each other can optimise the exchange of flows of energy and other resources (raw materials) between them.
Broad Lines
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Improve sector coupling: Processes, systems and business models supporting flexibility and efficiency of electricity and heat flows between an industrial plant or industrial clusters and the energy as well as transport system ▌ ; |
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Tools and infrastructure for process control of production plants to optimise energy flows and materials in interaction with the energy system; |
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Relevant processes, design and materials , including low- and zero- emission industrial processes ; |
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Flexibility and efficiency of electricity, feedstock and heat in industrial plants and the energy system; |
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Improved or new processes, design and materials to efficiently use, produce or store energy (including heat and cold) in sectors not covered by the ‘Digital, Industry and Space’ cluster; |
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Strategies and low emission technologies for revitalising coal- and carbon-intensive areas in transition; |
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Smart buildings and large mobility hubs (ports, airports, logistic centres) as active elements of wider energy networks and of innovative mobility solutions; |
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Buildings life-cycle design, construction, operation , including heating and cooling and dismantling, taking into account circularity , energy and environmental performance, as well as indoor environmental quality, for energy and resource efficiency, for well-being and health impact on the inhabitants, climate resilience, carbon footprint and recycling; development and optimization of novel advanced materials to increase the energy, carbon and environmental performances of buildings over the life cycle; |
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New business models, approaches and services for renovation financing, enhancement of construction skills, engagement of buildings occupants and other market actors , addressing energy poverty and prenormative activities ; |
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Energy performance of buildings monitoring and control technologies for optimising energy consumption and production of building as well as their interaction with the overall energy system ; |
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Tools and smart appliances for energy efficiency gains in buildings; |
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Renovation processes of existing buildings towards ‘Nearly Zero Energy Buildings’ and innovative technologies, including social aspects, e.g. citizen empowerment, and consumer awareness and engagement. |
5.2.5. Communities and Cities
It is estimated that by 2050, more than 80 % of the EU's population will live in urban areas, consuming the lion's share of available resources, including energy, and being areas particularly vulnerable to the adverse meteorological change impacts worsen by climate change and natural disasters already now and increasingly in the future. A key challenge is to significantly increase the overall energy and resource efficiency as well as climate-resilience of Europe's communities and cities in a systematic and holistic approach , targeting the building stock, energy systems, mobility, climate change, migration, as well as water, soil, air quality, waste and noise , taking into account Europe's cultural heritage, sustainable tourism management, social sciences, humanities and arts aspects, including lifestyle . Synergies with ERDF- funded urban policy and actions should be investigated and exploited.
Broad Lines
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City/district energy/mobility systems towards the EU-wide deployment of ▌ carbon neutral , Positive Energy Districts and zero-emission mobility and logistics by 2050, boosting the global competitiveness of integrated EU solutions; |
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Systemic urban planning, infrastructures ▌ systems and services including mutual interfaces and interoperability, standardisation, nature-based solutions and the use of digital technologies and space based services and data, taking into account the effects of projected climate change and integrate climate resilience and the influence on air and water quality ; |
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Quality of life for the citizens, safe , flexible, accessible and affordable energy and multi-modal mobility, urban social innovation and citizen engagement , cities' circular and regenerative capacity, urban metabolism and reduced environmental footprint and pollution; |
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Global cities research agenda ; mitigation, adaptation and resilience strategy development, spatial planning and other relevant planning processes . |
5.2.6. Industrial Competitiveness in Transport
The shift towards clean technologies, connectivity and automation will depend on the timely design and manufacture of aircraft, vehicles and vessels developing new breakthrough technologies and concepts , integrating different technologies and accelerating their introduction and marketability . Increasing comfort, efficiency, affordability, while minimising lifecycle impact on the environment, human health and on energy use remain objectives of paramount importance. Innovative, highly capable transport infrastructure is essential for the proper functioning of all transport modes in view of increased mobility demand and rapidly changing technology regimes. An integrated approach to infrastructure and vehicle/vessel/aircraft development deserves particular attention also in order to provide high quality mobility services and to minimise energy ▌ environmental , economic and social impact.
Broad Lines
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Merging of physical and digital vehicle/vessel/aircraft design, development and demonstration, manufacturing, operations, standardisation, certification and regulations and integration (including integration between digital design and digital manufacturing); |
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Vehicle/vessel/aircraft concepts and designs, including their spare parts and software and technology updates, software solutions; using improved materials and structures, recycling/reusing materials; efficiency, energy storage and recovery, safety and security features considering users’ needs, with less impact on climate, environment and health , including noise and air quality ; |
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On-board technologies and sub-systems, including automated functions, for all modes of transport taking account of relevant infrastructure interface needs and exploring; technological synergies between modes; multi-modal transport systems; safety/accidence avoidance systems and enhancing cybersecurity; leveraging progress in information technologies, and in artificial intelligence; developing the human-machine interface; |
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New materials, techniques and methods of construction, operations and maintenance of infrastructures, ensuring reliable network availability , intermodal interfaces and multimodal interoperability, workforce safety, and full life-cycle approach; |
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Addressing issues of merging physical and digital infrastructure design and development, infrastructure maintenance, regeneration and upgrading transport integration, interoperability and intermodality , resilience to extreme weather events, including adaptation to climate change . |
5.2.7. Clean , Safe and Accessible Transport and Mobility
For the EU to reach its air quality, climate, and energy goals, including reaching net-zero emissions by 2050 as well as noise reduction, will require rethinking the whole mobility system including users’ needs and behaviours , vehicles, fuels, infrastructures as well as new mobility solutions . It will also require the deployment of low-emission alternative energies and market uptake of zero-emission vehicles/vessels/aircrafts. In addition to the ▌ effects of greenhouse gas emissions, transport contributes significantly to poor air quality and noise in Europe with negative consequences for the health of citizens and ecosystems . Building on progress with electrification and the use of batteries and fuel cells for cars, buses and light duty vehicles , accompanied by adequate standards, it is essential to accelerate research and innovation low-emission solutions for other road applications (long distance coaches, heavy freight vehicles and lorries) and other transport sectors such as aviation, rail, maritime and inland navigation ▌ . Transport safety research aims at reducing accident rates, fatalities and casualties in each mode and in the whole transport system by furthering knowledge and awareness and by developing technologies, products services and solutions that reconcile safety, efficiency, user-friendliness and climate change.
Broad Lines
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Electrification of all transport modes ▌ including new battery, fuel cell and hybrid technologies for vehicle/vessel/aircraft powertrains and auxiliary systems , fast charging/refuelling, energy harvesting and user-friendly and easily accessible interfaces with the charging /refuelling infrastructure, ensuring interoperability and seamless services provision; development and deployment of competitive, safe, high-performing and sustainable batteries for low and zero-emission vehicles considering all the conditions of using and during the different phases of its life cycle; development and deployment of competitive, safe, high-performing and sustainable batteries for low and zero-emission vehicles ; |
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Use of new and alternative sustainable fuels, including advanced bio- fuels and new , safe and smart vehicles/vessels/aircraft for existing and future mobility patterns and supporting infrastructure with reduced impact on the environment and public health; niche components and systems for environmentally friendly solutions (eg advanced data gathering systems, etc) technologies and user-based solutions for interoperability and seamless services provision; |
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Safe, accessible, inclusive and affordable mobility, reducing the harmful whilst enhancing the positive impact of mobility on social cohesion, the environment and human health , including shift to less polluting modes of transport and sharing schemes; Quality of life for the citizens, urban social innovation; the interest to reduce or to eliminate accidents and injuries in road transport . |
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Climate resilient mobility systems, including infrastructures and logistics, to assure better connectivity for persons and goods, both on short and long haul distances; |
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Systemic analysis of new mobility patterns and their impact on transport and citizens. |
5.2.8. Smart Mobility
Smart mobility will help ensure the efficiency, safety and resilience of door-to-door mobility and all its components, in particular by using digital technologies, advanced satellite navigation (EGNOS/Galileo), and artificial intelligence. New technologies will help to optimise the use and efficiency of transport infrastructure and networks, improving multi-modality and connectivity and creating more efficient freight transport and logistic supply chain that will strengthen EU competitiveness. New technologies will also contribute to increasing reliability , optimising traffic management and enable innovative transport solutions and services, thus reducing congestion and negative environmental impacts, providing better mobility and logistics services for citizens and businesses improving accessibility and social inclusion . Connected and automated mobility together with the enabling infrastructure will improve efficiency and safety in all transport modes.
Broad Lines
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Digital network-and traffic management: advanced decision support systems; next generation traffic management (including multi-modal network and traffic management); contributing to seamless, multimodal and interconnected mobility for passengers and freight; use and limitations of big data; use of innovative satellite positioning/navigation (EGNOS/Galileo); |
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Single European Sky: on-board and on-the-ground solutions for simultaneously higher degrees of automation, connectivity, safety, interoperability, performance, emission reduction and service; |
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Rail technologies and operations for a high-capacity, silent, interoperable, and automated railway system; |
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Smart shipping solutions for safer, more efficient waterborne operations; |
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Large mobility hubs (e.g. railway stations, ports, airports, logistic centres) as active elements of innovative mobility solutions; |
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Waterborne technologies and operations for safe and automated transport systems seizing the opportunities provided by waterborne transport; |
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Connected, cooperative , interoperable and automated mobility systems and services, including technological solutions and non-technological issues , such as changes in user behaviour and mobility patterns . |
5.2.9. Energy Storage
Massive, smart, concentrated and decentralised storage solutions (comprising chemical, electrochemical, electrical, mechanical and thermal and new disruptive technologies ) for the energy system will increase efficiency, flexibility, technology independence and accessibility as well as the security of supply. Low-emission, decarbonised transport will require a growing share of electrical and/or other alternatively fuelled vehicles, with better-performing and cheaper, lighter, highly recyclable and reusable batteries with a low environmental impact , as well as local provision of alternative /renewable fuels such as hydrogen , including renewable based hydrogen, and innovative solutions for on-site storage. Options for the sustainable and cost efficient large scale energy storage solutions are essential to optimize and balance the energy system in all sectors of production, infrastructure up to end-user applications. Attention should be paid to the risks of energy storage and other unwanted side effects.
Broad Lines
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Technologies including liquid and gaseous renewable fuels and their associated value chains , as well as disruptive technologies, for daily to seasonal energy storage needs , including their impacts on the environment and climate ; |
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Smart, sustainable and durable batteries and the EU value chain, including the use of advanced material solutions, design, energy-efficient large-scale battery cell production technologies, reuse and recycling methods as well as efficient operation at low temperatures and standardisation needs ; |
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Hydrogen, in particular low carbon and renewable based hydrogen, including fuel cells, and the EU value chain from the design to end use across various applications. |
6. CLUSTER ‘FOOD, BIOECONOMY, NATURAL RESOURCES, AGRICULTURE AND ENVIRONMENT’
6.1. Rationale
Human activities are exerting increasing pressure on soils, seas and oceans, water, air, biodiversity and other natural resources. Nourishing the planet's growing human population is directly dependent on the health of natural systems and resources. Beyond its intrinsic value, a functioning and prosperous ecosystem is the very basis for all resources utilisation. However, combined with climate change, humankind's growing demand for natural resources creates environmental pressures that go far beyond sustainable levels, affecting ecosystems and their capacity to provide services for human well-being. The concepts of the circular economy, the sustainable bioeconomy (9) and the blue economy (10) provide an opportunity to balance environmental, social and economic goals and to set human activities on a path to sustainability.
Meeting the goals of sustainable development, guaranteeing the production and consumption of safe and healthy food, promoting sustainable practices in agriculture, aquaculture, fisheries and forestry, ensuring access to clean water, soil and air for all, cleaning up ▌ seas, oceans and inland waters preserving and restoring the planet’s vital natural systems and environment requires that we harness the potential of research and innovation. But the pathways for the transition to sustainability and ways to overcome resilient barriers are hardly understood. Making the transition to sustainable consumption and production and restoring planetary health requires investment in research and technologies, novel, high quality products and services, new business models, and social , territorial and environmental innovations . This creates new opportunities for a sustainable, resilient, innovative and responsible European bioeconomy , boosting resource efficiency, productivity and competitiveness, ▌ generating new and green jobs and growth and increasing social inclusion .
It is essential for Europe to use its natural resources more efficiently and in a sustainable manner.
Activities will build a knowledge base and deliver solutions to: protect, sustainably manage and use natural resources from land and sea (11) — and enhance the role of terrestrial and aquatic systems as carbon sinks; protect biodiversity, secure ecosystem services and ensure food and nutrition security, providing safe, healthy and nutritious diets; accelerate the transition from a fossil-based linear economy to a resource efficient, resilient, low emission, low-carbon circular economy, and supporting the development of a sustainable bioeconomy and the blue economy; and develop resilient and vibrant rural, mountain, coastal and urban areas.
These activities will help to maintain and enhance ▌ biodiversity and secure the long-term provision of ecosystem services, such as climate change adaptation and mitigation and carbon sequestration (both on land and sea). They will help reduce greenhouse gas (GHG) and other emissions, waste and pollution from primary production (both terrestrial and aquatic), the use of hazardous substances, processing, consumption and other human activities. They will trigger investments, supporting the shift towards a circular economy, sustainable bioeconomy and blue economy, whilst protecting environmental health and integrity.
Activities will also foster participatory approaches to research and innovation, including the multi-actor approach and develop knowledge and innovation systems at local, regional, national and European levels. Social innovation with citizens' engagement and trust in innovation will be crucial to encourage new governance, production , ▌ consumption patterns and skills .
As these challenges are complex, interlinked and global in nature, activities will follow a systemic approach, cooperating with Member States and international partners, with other funding sources and with other policy initiatives. This will involve user-driven exploitation of environmental big data sources, such as those from Copernicus, EGNOS/Galileo, INSPIRE, EOSC, GEOSS, CEOS, EMODnet.
Research and innovation activities under this Cluster contribute in particular to the implementation of the goals of: the Environment Action Programme, the Common Agricultural Policy, the Common Fisheries policy, the Food Law legislation, the Maritime policy, the Circular Economy Action Plan, the EU Bioeconomy Strategy, ▌the Biodiversity Strategy, the 2030 climate and energy framework and the EU 2050 long term vision for carbon neutrality (12) , EU Arctic Policy as well as EU legal provisions to reduce air pollution. Beyond the general sources of external advice, specific consultations would be sought from Standing Committee on Agricultural Research (SCAR).
Activities will contribute directly to the following Sustainable Development Goals (SDGs) in particular: SDG 2 — Zero Hunger; SDG 3 — Good Health and Well-Being; SDG 6 — Clean Water and Sanitation; SDG 8 — Decent Work and Economic Growth; SDG 9 — Industry, Innovation, and Infrastructure; SDG 11 — Sustainable Cities and Communities; SDG 12 — Responsible Consumption and Production; SDG 13 — Climate Action; SDG 14 — Life Below Water; SDG 15 — Life on Land.
6.2. Areas of intervention
6.2.1. Environmental Observation
The capacity to observe the environment (13) , including space-based, in-situ-based (air, sea, land) observation, and citizen observations underpins research and innovation ▌ for the sustainable use and monitoring of food and natural resources , biomonitoring and environmental monitoring . Improved spatio-temporal coverage and sampling intervals at reduced cost, as well as big data access and integration from multiple sources provide new ways to monitor, understand and predict the Earth system. Research and innovation is needed to develop methods and technologies to improve quality as well as facilitate access and use of data.
Broad Lines
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User driven and systemic approaches including open data, to environmental data and information for complex modelling and predictive systems , business opportunities from exploitation and valorisation of existing and new data ; |
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Further development of products and services portfolio for environmental observations ; |
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Biodiversity status, ecosystem protection, climate change mitigation and adaptation, food security, agriculture and forestry, land use and land use change, urban and peri-urban development, natural resources management, sea and ocean resources management and conservation, maritime security , long term environmental trends, changes in seasonal variability, ambient air and atmospheric changes and other relevant domains; |
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User oriented applications , to be delivered through the EuroGEOSS initiative, including their up scaling ▌ , to contribute to the preservation and management of European natural resources (including exploration of raw materials) and ecosystems services and their related value chain; |
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Implementation of the Global Earth Observation System of Systems of the GEO (Group on Earth Observations) initiative. |
6.2.2. Biodiversity and Natural Resources
Improved understanding , preservation and management of biodiversity and ecosystems, the multiple services they provide (in a context of combatting climate change and mitigating its impacts) and planetary ‘boundaries’ as well as solutions harnessing nature’s power and complexity is needed to address societal challenges, to enhance sustainability and to attain the EU objective of ‘Living well within the limits of our planet’ by 2050 as laid down in the 7th EU Environmental Action Programme. Due account must be taken of potential upstream impacts throughout whole value chains ▌ . International cooperation and contribution to international efforts and initiatives, such as the Intergovernmental Science-Policy Platform on Biodiversity and Ecosystem Services (IPBES) , are essential to achieve the objectives in this area. There is a need to better understand the governance of the transition to sustainability in the economic , social and natural system, from the local to the global level.
Broad Lines
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The state and value of biodiversity, terrestrial , freshwater and marine ecosystems, natural capital and ecosystem services , including agro-ecosystems and the microbiome ; |
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Holistic and systemic approaches within a socio-ecological framework for the links between biodiversity, ecosystems and ecosystems services and their causality relationships with drivers of change, across different scales and economic activities, including the socio economic aspects and governance of transition processes to sustainability; |
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Modelling of trends and integrated scenarios for biodiversity, ecosystem services and good quality of life at different scales and horizons; the potential contribution of biotopes and ecosystems as carbon sinks under various climate change scenarios; potential conflicts of interests in utilization of natural resources and services; |
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Ecotoxicology of compounds and new pollutants, their interactions , including combination effects, and environmental behaviour, and altered biochemical loops under changing climate , restoration of degraded areas ; |
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Mainstreaming biodiversity and ecosystem services in decision-making frameworks and accounting systems of governments and businesses, as well as quantification of ecological, economic and societal benefits; |
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Adaptable and multi-functional nature-based solutions, addressing challenges in urban and peri-urban areas , rural and coastal and mountain areas related to climate change, natural disasters, biodiversity loss, ecosystem degradation, pollution, social cohesion and citizens’ health and well-being; |
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Multi-actor living labs approaches engaging authorities, stakeholders, business and civil society in co-designing and co-creating systemic solutions for the preservation, restoration and sustainable use of natural capital , and the governance of the transition to ▌ sustainability and sustainable management options in economic activities throughout whole value loops in different environmental, economic and social conditions . |
6.2.3. Agriculture, Forestry and Rural Areas
Resilient and sustainable agriculture and forestry ▌ provide economic, environmental and social benefits and is a prerequisite for continued food ▌ security . They feed into dynamic value chains, manage land and natural resources as well as deliver a range of vital public goods including carbon sequestration, biodiversity preservation, pollination and public health. Integrated and place-based approaches are needed to promote the multiple functions of agro- and forest (eco)systems taking into account the changing context for primary production, notably in relation to climate change and environment, resource availability, demography and consumption patterns. Quality and safety of agricultural products shall be ensured to enhance consumer confidence. Plant health and animal health and welfare shall also be ensured. It is also necessary to address the spatial, socio-economic and cultural dimension of agriculture and forestry activities and mobilise the potential of rural and coastal areas.
Broad Lines
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Methods, technologies and tools for sustainable, resilient and productive agriculture and forestry, including adaptation to climate change ; |
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Sustainable management and efficient use of natural resources (e.g. soils, water, nutrients and biodiversity including genetic resources) in agriculture and forestry; alternatives to non-renewable resources and adoption of circular economy principles , including through the reuse and recycling of waste and by-products ; |
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Climate and environmental impact of activities in the primary sector; potential of agriculture and forestry as carbon sinks and for mitigation of greenhouse gas emissions including negative emission approaches; increasing adaptability of primary production to climate change; |
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Integrated approaches to tackling plant pests and diseases ; control of contagious and zoonotic animal diseases and animal welfare; prevention strategies, control and diagnostic and alternatives to the use of contentious pesticides, antibiotics and other substances also to tackle resistance ; |
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Antimicrobial resistance and threats from biological and agrochemical hazards , including pesticides, as well as chemical contaminants tackling the links between plant, animal, ecosystems and public health from One-Health and Global-Health perspectives; |
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The use and delivery of ecosystem services in agriculture and forestry systems applying ecological approaches and testing nature-based solutions from farm to landscape levels for an environmentally friendly agriculture; support to organic farming ; |
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Agricultural and forestry systems from farm to landscape levels; the use and delivery of ecosystem services in primary production , e.g. through agro-ecology or through enhancing the role of forests in the prevention of floods and soil erosion ; |
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Innovations in farming at the interfaces between agriculture, aquaculture, forestry and in urban and peri-urban areas; |
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New methods, technologies and tools for sustainable forest management and sustainable use of forest biomass; |
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Support to EU plant protein production for food, feed and environmental services; |
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Sustainable land use, rural development and territorial linkages; capitalising on the social, cultural, economic and environmental assets of rural areas for new services, business models, value chains and public goods; |
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Digital innovations in farming, forestry and across value chains and rural areas through the use of data and development of infrastructures, technologies (such as AI, robotics, precision farming and remote sensing) and governance models; |
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Agricultural and forestry knowledge and innovation systems and their interconnection at various scales; advice, building skills , participatory approaches and information sharing; |
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Fostering international partnerships for sustainable agriculture for food and nutrition security. |
6.2.4. Seas, Oceans and Inland Waters
The natural capital and ecosystem services of seas, in particular of semi-closed European seas, oceans, inland waters and wider coastal areas offer significant socio-economic and welfare benefits. This potential is at risk because of the severe pressure from human and natural stressors such as pollution, overfishing, climate change, sea-level rise , other water-use and extreme weather events. To prevent seas ▌ oceans from reaching a point of no return, and to restore a good status of inland waters; it is necessary to strengthen our knowledge and understanding in order to protect, restore and sustainably manage ▌ marine , inland and coastal ecosystems and prevent ▌ pollution, in a context of an improved and responsible ▌ governance framework. This will also include research to sustainably unlock the vast and unexploited economic potential of seas, oceans and inland waters aiming at producing more safe food , bio-based ingredients and raw material without increasing pressures on them, ▌as well as the potential of aquaculture in all forms to alleviate pressure on land, freshwater and ocean resources. There is a need for partnering approaches, including sea basin and macro-regional strategies, extending beyond the EU (e.g. in the Atlantic, the Mediterranean, the Baltic, the North Sea, the Black Sea, the ▌ Caribbean Sea and ▌ the Indian Ocean); and for contributing to International Ocean Governance commitments, initiatives like the United Nations Decade of Ocean Science for Sustainable Development and commitments linked to the conservation of marine biological diversity in areas beyond national jurisdiction.
Broad Lines
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Sustainable ▌ fisheries and aquaculture in all forms , including alternative sources of protein with increased food security, food sovereignty and climate resilience; monitoring and management tools; |
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Strengthened resilience of marine and inland water ecosystems , including coral reefs thereby ensuring seas , ocean and river health, combating and mitigating the effects of natural and anthropic pressures like contaminants and marine litter (including plastics), eutrophication, invasive species, physical damage to the sea floor, overexploitation, including overfishing, underwater noise, acidification, seas, oceans and rivers warming, sea level rise, considering the intersection between land and sea , the cumulative impact of these issues and fostering a circular approach and a better understanding of ocean-human interactions ; |
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Governance at global and regional levels to ensure conservation and sustainable use of the ▌ resources of seas, oceans and inland waters ; |
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Technologies for the digital ocean (seafloor, water column and water surface) connecting services and communities in land-based, atmosphere, climate, space and weather related activities, and promoted through the Blue Cloud as part of the European Open Science Cloud; |
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Monitoring , risk-based assessment and predictive/forecasting capacities including sea-level rise and other natural hazards e.g. storms surges, tsunamis as well as cumulative impact of human activities ; |
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Improve understanding of the hydrological cycle and regimes, hydromorphology at different scales and develop monitoring and predictive capacities for water availability and demand, floods and droughts, pollution and other pressures on water resources and aquatic environment. Exploit digital technologies to improve water resource monitoring and management; |
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Develop innovative solutions including societal governance, economic instruments and financing models, for smart water allocation addressing conflicts in water use, including exploiting the value in water, control of water pollutants, including plastics and microplastics and other emerging pollutants preferably at source, tackling other pressures on water resources, as well as water reuse, and protection and restoration of water ecosystems to good ecological status; |
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Sustainable blue value-chains, including the sustainable use of fresh water resources, the multiple-use of marine space and growth of the renewable energy sector from seas and oceans, including sustainable use of micro- and macro- algae; |
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Integrated approaches to sustainable management of inland and coastal waters which will contribute to environmental protection and adaptation to climate change; |
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Nature-based solutions derived from marine , coastal and inland water ecosystem dynamics, biodiversity and multiple ecosystem services, which will enable systemic approaches to sustainably use the resources of seas, in particular of semi-closed European seas, and oceans and of inland waters, contribute to environmental protection and restoration , coastal management, and adaptation to climate change; |
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Blue innovation including in the blue and digital economies, across coastline areas, coastal cities and ports in order to strengthen resilience of coastal areas and increase citizens' benefits; |
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Better understanding of the role of seas and oceans in climate change mitigation and adaptation. |
6.2.5. Food Systems
The combined effects of population growth, evolution of diets, resource scarcity and overexploitation, environmental degradation, climate change and migration create unprecedented challenges which require food system transformation (FOOD 2030). (14) Current food production and consumption are largely unsustainable while we are confronted with the double burden of malnutrition, characterised by the coexistence of undernutrition, obesity and other diet imbalances and metabolic disorders . Future food systems need to deliver on food security, and ensure sufficient safe, healthy and quality food for all, underpinned by resource efficiency, sustainability (including the reduction of GHG emissions, pollution , water and energy consumption as well as waste production), transparency, linking land and sea, reducing food waste, enhancing food production from inland waters, seas and oceans and encompassing the entire ‘food value chain’ from producers to consumers — and back again - ensuring resilience . This needs to go hand in hand with development of the food safety system of the future and the design, development and delivery of tools, technologies and digital solutions that provide significant benefits for consumers and improve the competitiveness and sustainability of the food value chain. Furthermore, there is a need to foster behavioural changes in food consumption and production patterns , taking into account cultural and social aspects, as well as to engage primary producers, industry (including SMEs), retailers, food service sectors, consumers, and public services.
▌
Broad Lines
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Evidence-based sustainable and healthy diets for people's well-being across their lifespan , including dietary patterns, improved nutritional quality of food and advances in understanding the impact of nutrition on health and well-being ; |
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Personalised nutrition especially for vulnerable groups, to mitigate the risk factors for diet-related and non-communicable diseases; |
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Consumers' behaviour, lifestyle and motivations, including social and cultural aspects of food, promoting social innovation and societal engagement for better health and environmental sustainability throughout the entire food value chain , including retail patterns ; |
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Modern food safety and authenticity systems, including traceability, improving food quality and enhancing consumer confidence in the food system; |
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Food system mitigation of and adaptation to climate change, including the exploration of the potential and use of the microbiome, of food crop diversity , and of alternative to animal proteins; |
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Environmentally sustainable, circular, resource efficient and resilient food systems, from land and sea, towards safe drinking water and maritime issues, zero food waste throughout the entire food system, through reuse of food and biomass, recycling of food waste, new food packaging, demand for tailored and local food; |
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Novel approaches, including digital tools and food systems for place-based innovation and empowerment of communities, fostering fair trade and pricing along the value chain , inclusiveness and sustainability through partnerships between industry (including SMEs and smallholders) , local authorities, researchers and society. |
6.2.6. Bio-based Innovation Systems in the EU Bioeconomy
Innovation in the bioeconomy lays the foundations for the transition away from a fossil-based economy ▌. Bio-based innovation is an important segment and enabler of the overall bioeconomy and encompasses the sustainable sourcing, industrial processing and conversion of biomass from land and sea into bio-based materials and products. Sustainability includes all its dimensions: ecological, social, economic and cultural aspects). It also capitalises on the potential of living resources, life sciences , digitalisation and biotechnologies for new discoveries, products , services and processes. Bio-based innovation, including (bio)processes and technologies, can bring new economic activities and employment to regions and cities, contribute to revitalising rural and coastal economies and communities and strengthen the circularity of the bioeconomy.
Broad Lines
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Sustainable biomass sourcing , logistics and production systems, focusing on high-value applications and uses, social and environmental sustainability, impact on climate and biodiversity , circularity and overall resource efficiency , including water ; |
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Life sciences and their convergence with digital technologies for ▌ understanding , prospecting and sustainably using biological resources; |
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Bio-based value chains, bio-based materials, including bio-inspired materials, chemicals, products , services and processes with novel qualities, functionalities and improved sustainability (including reducing emissions of greenhouse gases ▌ ), fostering the development of (small and large scale) advanced biorefineries using a wider range of biomass; replacing current production of unsustainable products by outperforming biobased solutions for innovative market applications; |
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Biotechnology, including cross sectoral cutting-edge biotechnology, for application in competitive, sustainable and novel industrial processes, environmental services and consumer products (15); |
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Circularity of the bio-based sector within the bioeconomy through technological, systemic, social and business model innovation to radically increase the value generated per unit of biological resource , keeping the value of such resources in the economy for longer , preserving and enhancing natural capital, designing out waste and pollution , supporting the principle of the cascading use of sustainable biomass through research and innovation and taking into account the waste hierarchy ; |
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Inclusive bioeconomy patterns with different actors participating in the creation of value, maximising societal impact and public engagement ; |
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Increased understanding of the boundaries , metrics and indicators of the bioeconomy and its synergies and trade-offs with a healthy environment , and trade-offs between food and other applications . |
6.2.7. Circular Systems
Circular production and consumption systems will provide benefits to the European economy and global environment by reducing use and dependency on resources, decreasing greenhouse gas emissions and other negative environmental impacts and increasing the competitiveness of enterprises, and to European citizens by creating new job opportunities and reducing pressures on the environment and climate. Beyond industrial transformation, the transition to a low-emission, resource efficient , bio-based and circular economy , avoiding the use of hazardous substances will also need a broader system shift that requires systemic eco-innovative solutions, new business models, markets and investments, enabling infrastructure, social innovation changes in consumer behaviour, and governance models stimulating multi-stakeholder collaboration through the whole value chain to ensure that the intended system change achieves better economic, environmental and social outcomes (16). Opening for international cooperation will be important for comparability, generating and sharing knowledge and avoiding duplication of efforts, e.g. through international initiatives such as the International Resource Panel. Also, attention will be given to the social context of new knowledge and technology in this area and for its uptake and acceptance in society.
Broad Lines
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Systemic transition to a resource-efficient , bio-based and circular economy, with new paradigms in consumer interaction, new business models for resource efficiency and environmental performance; products and services stimulating resource efficiency and elimination or substitution of hazardous substances during the whole lifecycle; systems for sharing, reuse, repair, remanufacturing, recycling and composting; economic, social, behavioural, regulatory and financial conditions and incentives for such transitions ; |
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Metrics and indicators , based on a systemic approach, for measuring the circular economy and life cycle performance and enhancing social responsibility ; governance systems which accelerate expansion of the circular economy , the bioeconomy and resource efficiency while creating markets for secondary materials; multi-stakeholder and cross-value chain collaboration; instruments for investment in the circular economy and bioeconomy ; |
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Solutions for sustainable and regenerative development of cities, peri-urban areas and regions, integrating the circular economy transformation with nature-based solutions, technological, digital, social, cultural and territorial governance innovations; |
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Eco-innovation for prevention and remediation of environmental pollution from and exposure to hazardous substances and chemicals of emerging concern; looking also at the interface between chemicals, products and waste , and at sustainable solutions for primary and secondary raw materials production ; |
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Circular use of water resources, including reduction of water demand, prevention of losses, water reuse, recycling and valorisation of wastewater ▌. Innovative solutions for the challenges for the water -food-energy nexus addressing impacts of agricultural and energy water use and enabling synergistic solutions; |
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Sustainable subsurface management integrating geo-resources (energy, water, raw materials) and environmental conditions (natural hazards, anthropogenic impacts) across all relevant clusters, streamlining the positive contribution to a circular economy through pan-European geological knowledge and contributing towards an orchestrated science-based response to the Paris Agreement and to several UN Sustainable Development Goals; |
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Develop and improve solutions and infrastructures for facilitating access to drinking, irrigation and sanitation water, involving inter alia desalination, in order to enable more efficient, energy and CO2 friendly, as well as, circular use of water. |
7. NON-NUCLEAR DIRECT ACTIONS OF THE JOINT RESEARCH CENTRE
7.1. Rationale
High-quality and trusted scientific evidence is essential for good public policies. New initiatives and proposals for EU legislation need transparent, comprehensive and balanced evidence, whereas implementation of policies needs evidence to measure and monitor their impact and progress.
The JRC adds value to EU policies because its science is excellent, multi-disciplinary and independent of national, private and other external interests. Serving all areas of EU policy, it provides the cross-sectoral support that policymakers need to tackle increasingly complex societal challenges. The JRC's independence from special interests combined with its scientific-technical reference role enable it to facilitate consensus building between stakeholders and other actors such as citizens, and policy makers ▌ . With its capacity to respond rapidly to policy needs, the JRC's activities are complementary with indirect actions aiming at supporting longer term policy objectives.
The JRC performs its own research and is a strategic manager of knowledge, information, data and competences to deliver high quality and relevant evidence for smarter policies. To achieve this, the JRC works together with the best organisations world-wide, and with international, national and regional experts and stakeholders. Its research contributes to the general objectives and priorities of Horizon Europe , provides independent scientific knowledge, advice and technical support for EU policies throughout the policy cycle, and is focussed on European policy priorities, supporting a Europe that is safe and secure, prosperous and sustainable, social and stronger on the global scene.
7.2. Areas of intervention
7.2.1. Strengthening the knowledge base for policy making
Knowledge and data are growing exponentially. If policy makers are to make sense and use of them they must be reviewed and filtered. There is also a need for cross-cutting scientific methods and analytical tools for use by all Commission services, especially to anticipate upcoming societal challenges and support better regulation. This includes innovative processes to engage stakeholders and citizens in policy-making issues and various tools of impact and implementation assessment .
Broad Lines
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Modelling, micro-economic evaluation, risk assessment methodologies, quality assurance tools for measurements, design of monitoring schemes, indicators and scoreboards, sensitivity analysis and auditing, lifecycle assessment, data and text mining, (big) data analytics and applications, design thinking, horizon scanning, anticipation and foresight studies, behavioural research, and stakeholders and citizen engagement; |
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Knowledge and competence centres; |
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Communities of practice and knowledge sharing platforms; |
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Data management, data sharing and coherence; |
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Analysis of EU and national research and innovation policies, including the ERA. |
7.2.2. Global Challenges
The JRC will contribute to the specific EU policies and commitments addressed by the seven Global Challenges clusters, notably the EU's commitment to the Sustainable Development Goals.
Broad Lines
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Health
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2. Culture, creativity and inclusive society
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Research on inequality, poverty and exclusion, social mobility, cultural diversity, and skills; migration, assessment of social, demographic and technological transformations on the economy and on society; |
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Research on good governance and democracy ; |
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Support to the safeguarding, preservation and management of cultural heritage; |
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Knowledge centre for migration and demography. |
3. Civil security for society
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Knowledge centre for disaster risk management; |
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Support to security policies in the areas of protection of critical infrastructures and public spaces, CBRN-E (Chemical, Biological, Radiological, Nuclear, and Explosive materials) and hybrid threats, border protection and document security, and information and intelligence for countering terrorism; |
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Technologies for CBRN-E materials detection, biometric systems, and intelligence-gathering techniques; |
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Support to the EU's security position in the world; assessment of competitiveness and innovation of the Union security industry; exploitation of security-defence synergies; |
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Research for reinforced Cybersecurity capabilities, cyber-resilience, and cyber-deterrence. |
4. Digital, Industry and Space
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Implications of digitisation, with a focus on new and emerging ICT technologies such as machine learning and artificial computing, distributed ledgers, Internet of Things, and High-Performance Computing; |
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Digitisation in individual sectors, such as energy, transport, construction, service industry, health and care and government; |
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Industrial metrology and quality assurance tools for smart manufacturing; |
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Research on ▌ Key Enabling Technologies; |
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Research on best available techniques and environmental management practices, techno-economic analyses and life cycle assessment of industrial processes, chemicals management, waste management, water reuse, raw materials, critical raw materials and quality criteria for recovered materials, all supporting circular economy; |
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Analysis of security of supply of raw materials, including the critical raw materials, in relation to primary and secondary resources information and data update of the Raw Materials Information System; |
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Implementation of Copernicus actions; |
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Technical and scientific support for applications of the EU Global Navigation Satellite System Programmes. |
5. Climate, Energy and Mobility
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Support to implementation of the EU climate, energy and transport policies, transition to a low-carbon economy and strategies for decarbonisation towards 2050; analysis of integrated national climate and energy plans; assessment of decarbonisation pathway in all sectors, including agriculture and Land Use Land Use Change and Forestry; |
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Assessment of risks in vulnerable ecosystems and critical economic sectors and infrastructure, with focus on adaptation strategies; |
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Analysis of the R&I dimension of Energy Union; assessment of EU competitiveness in the global clean energy market; |
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Assessment of deployment potential of smart energy technologies and sector coupling solutions to enable smooth and cost efficient energy transition. |
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Assessment of deploying renewables and clean energy production technologies; |
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Analysis of energy use of buildings, smart and sustainable cities, and industries; |
— |
Technical and socio-economic analysis of energy storage, particularly sector coupling and batteries; |
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Analysis of the EU's energy security of supply, including energy infrastructure, and energy markets; |
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Support to energy transition, including the Covenant of Mayors, clean energy for EU Islands, sensitive regions, and Africa; |
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Integrated analysis for deployment of Cooperative, Connected and Automated Mobility; |
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Integrated analysis for development and deployment of electric driving, including the next generation of battery technologies; |
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Harmonised test procedures and market surveillance for CO2 and air pollutant emissions from vehicles, assessment of innovative technologies; |
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Assessment of smart transport, traffic management systems and congestion indicators; |
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Analyses of alternative fuels and related infrastructure needs. |
6. Food, bioeconomy, natural resources, agriculture and environment
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Research on land, soil, forests, air, water, marine resources, raw materials and biodiversity to support the effective preservation, restoration and sustainable use of natural capital, including sustainable resources management in Africa; |
— |
Knowledge centre for global food nutrition security; |
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Assessment of climate change and potential mitigation and adaptation measures for agricultural and fisheries policies, including food security; |
— |
Monitoring and forecasting of agricultural resources in EU , enlargement and neighbourhood countries; |
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Research for sustainable and economically thriving aquaculture and fisheries, and for Blue Growth and the Blue Economy; |
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Validated methods, laboratory proficiency tests and new analytical tools for implementing food safety policies; |
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EU Reference Laboratories on Feed Additives, Genetically Modified Organisms and Food Contact Materials; |
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Knowledge centre for food fraud and quality; |
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Knowledge centre for bioeconomy. |
7.2.3. Innovation, economic development, and competitiveness
The JRC will contribute to knowledge-based innovation and technology transfer.. It will support the functioning of the internal market and the economic governance of the Union. It will contribute to development and monitoring of policies targeting a more social and sustainable Europe. It will support the EU's external dimension and international goals and help in promoting good governance. A well-functioning internal market with a strong economic governance and fair social system will foster knowledge-based innovation and competitiveness.
Broad Lines
▌
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Economic, trade, financial and fiscal analysis; |
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Pre-normative research and testing for harmonisation and standardisation; |
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Production of certified reference materials; |
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Market surveillances activities; |
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Management of intellectual property rights; |
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Promotion of technology transfer cooperation. |
7.2.4. Scientific Excellence
The JRC shall pursue excellence and integrity in research and extensive collaboration with top level research institutions worldwide. It will carry out research in emerging fields of science and technology and promote open science and open data as well as knowledge transfer.
Broad Lines
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Exploratory research programmes; |
— |
Dedicated collaborative and exchange programmes with research institutions and scientists; |
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Access to JRC research infrastructures; |
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Training of scientists and national experts; |
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Open science and open data. |
7.2.5. Territorial development and support for Member States and Regions
The JRC will contribute to regional and urban policies, with focus on innovation-led territorial development, and with a view to reducing disparities between regions. It will also offer technical assistance to Member States and third countries and support the implementation of European legislation and actions.
Broad Lines
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Implementation of regional and urban policies, smart specialisation strategies, strategies for economic transformation of regions in transition, integrated urban development strategies and data; |
— |
Capacity building of local and regional actors for implementation of macro-regional strategies; |
— |
Knowledge centre for territorial policies; |
— |
‘On demand’ advice and tailored support to Member States, regions or cities, including through a virtual network of Science4Policy Platforms. |
PILLAR III
INNOVATIVE EUROPE
Innovation in all its forms is a key driver for the EU to continue delivering prosperity to its citizens and meeting challenges of the future. Implementing it requires a systemic, cross-cutting and multifaceted approach. Europe's economic progress, social welfare and quality of life rely on its ability to boost productivity and growth, which, in turn, depends heavily on its ability to innovate. Innovation is also key to solving the major challenges that lie ahead for the EU. Innovation has to be responsible, ethical and sustainable.
Like in the case of its predecessor, innovation is at the heart of Horizon Europe. The quest for acceleration of knowledge transfer and new ideas, products and processes is driving Horizon Europe objectives and implementing modalities, from strategic programming to calls, and is present from the onset to the end of any project supported, from ‘blue-sky’ research to industrial or technological roadmaps and missions.
Yet, innovation deserves specific measures, as the EU must decisively enhance the conditions and environment for European innovation to thrive, so that ideas are quickly shared between actors in the innovation ecosystem, and new ideas and technologies swiftly transformed into the products and services needed for the EU to deliver.
Recent decades have seen the emergence of major and global new markets in health care, media, entertainment, communication and retail, based on breakthrough innovations in ICT, biotech, green-tech internet and the platform economy. Further downstream in the innovation process, these market-creating innovations, which impact the EU economy as a whole, are deployed by fast growing and often new companies which, however, seldom originate and scale-up in the EU.
A new global wave of breakthrough innovation is coming up, one that will be based on more ‘deep-tech’ technologies such as block-chain, artificial intelligence, genomics /multiomics and robotics, and other technologies, which may also emerge from individual innovators and communities of citizens. They have in common that they are taking shape at the intersection between different ▌ scientific disciplines, technological solutions and economic sectors offering radically new combinations of products, processes, services and business models, and have the potential to open up new markets worldwide. Additional critical sectors such as manufacturing, financial services, transport or energy will also be impacted.
Europe has to ride that wave. It is well positioned as the new wave comes in ‘deep-tech’ areas, in which Europe has already significantly invested notably in the KETs, has therefore some competitive advantages regarding science and knowledge, including in terms of human resources, and can build on close public-private cooperation (e.g. in health care or energy).
For Europe to lead that new wave of breakthrough innovation, the following underlying challenges need to be met:
▌
▌
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Increase risk finance to overcome financing gaps: Europe's innovators suffer from a low supply of risk finance. Private venture capital is key to turning breakthrough innovations into world-leading companies but, in Europe, it is less than a quarter of the amounts raised in the US and in Asia. Europe must bridge the ‘Valleys of death’, whereby ideas and innovations fail to reach the market due to the gap between public support and private investment, in particular with regard to high-risk breakthrough innovations that have to be supported by long-term investments; |
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Facilitate the access to research results, improve the transformation of science into innovation and accelerate the transfer of ideas, technologies and talent from the research base into start-ups and industry; |
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Further support the development of all forms of innovation, including user-driven, consumer-driven service and inclusive social innovation; |
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Speed up business transformation: European economy is lagging behind in embracing new technologies and scaling up: 77 % of the young and big R&D companies are in US or Asia and only 16 % are based in Europe; |
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Enhance and simplify the European landscape for funding and supporting research and innovation: the multitude of funding sources provides a complex landscape for innovators. EU intervention has to cooperate and coordinate with other initiatives at European, national and regional level, public and private, to better enhance and align supporting capacities, avoid duplication of activities and provide for an easy-to-navigate landscape for any European innovator; |
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Overcome fragmentation to the innovation ecosystem. While Europe is home to a growing number of hotspots, these are not well connected. Companies with international growth potential have to cope with fragmentation of national markets with their diverse languages, business cultures and regulations. The EU has a role to play in supporting effective collaboration between national and regional ecosystems, so that companies, and SMEs in particular, can access the best knowledge, expertise, infrastructures and services across Europe. The EU shall support collaboration between ecosystems, including through regulation, so that interoperability between different technologies and practical solutions is improved. |
In order to cope with that new global wave of breakthrough innovation, EU support to ▌ innovators requires an agile, simple, seamless and tailored approach. Policy to develop and deploy breakthrough innovations and scale-up companies has to be bold in taking risks and must take into account the above-mentioned challenges and add value to related innovation activities implemented by individual Member States or regions .
Horizon Europe's Innovative Europe pillar, in cooperation with other EU policies and in particular the InvestEU Programme, is designed to deliver such tangible results. It builds on lessons learned and on experience gained under the previous framework programmes, in particular from activities ▌ such as Future Emerging Technologies (FET ▌ ), Fast Track to Innovation (FTI) and the SME Instrument ▌ , but also private and corporate finance (such as FP7 RSFF, Horizon 2020 InnovFin), gathered and streamlined within the ‘EIC pilot’ activities launched for the period 2018-2020.
Based on these experiences, this Pillar provides for the launch of the European Innovation Council (EIC), which will mainly promote breakthrough and disruptive technologies and innovation targeting especially market-creating innovation, while also supporting all types of innovations, including incremental, especially within SMEs including start-ups, and in exceptional cases small mid-caps with rapid scale-up potential at EU and global level and with dedicated types of actions and activities:
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Supporting the development of future and emerging breakthrough innovations , including ‘deep-tech’ innovations as well as non-technological innovations ; |
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Bridging financing gaps in the development, deployment and scaling up of market-creating innovations; |
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Leverage private capital and investment; |
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Increasing the impact and visibility of EU innovation support. |
This pillar shall also provide for the activities developed under the European Institute of Innovation and Technology (EIT), in particular through its Knowledge and Innovation Communities (KICs). Additionally, systematic synergies shall be ensured between the EIC and the EITInnovative companies stemming from an EIT KIC may be chanelled to the EIC to create a pipeline of not yet bankable innovations, while high potential innovative companies funded by the EIC that are not already engaged in one of the EIT KICs may be offered access to this additional support.
Whilst the EIC and the EIT KICs may directly support ▌ innovations across the EU , the overall environment from which European innovations nurture and emerge must be further developed and enhanced: findings in fundamental research are seeds for market-creating innovations. It must be a common European endeavour to support innovation all across Europe, and in all dimensions and forms, including through complementary EU and national and regional policies (including through effective synergies with ERDF and smart specialisation strategies) and resources whenever possible. Hence, this Pillar provides also for ▌
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renewed and reinforced coordination and cooperation mechanisms with Member States and Associated Countries, but also with private initiatives, in order to support all actors of the European innovation ecosystems , including at regional and local level ; |
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▌ |
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Additionally, as a continued effort to enhance risk-finance capacities for research and innovation in Europe ▌ , this pillar will closely link with the InvestEU programme. Building on the successes and the experiences gained under Horizon 2020 InnovFin, as well as under EFSI, the InvestEU Programme will enhance access to risk finance for bankable entities , as well as for investors. |
1. THE EUROPEAN INNOVATION COUNCIL (EIC)
1.1. Areas of Intervention
The EIC shall operate according to the following principles: clear EU added value, autonomy, ability to take risks, efficiency, effectiveness, transparency and accountability. The EIC will act as the one-stop-shop for all types of innovators including from individuals to universities, research organisations and companies (SMEs, including start-ups, and, in exceptional cases, small mid-caps). Depending of its schemes, it will provide support to single beneficiaries and multi-disciplinary consortia.
The objectives of the EIC ▌are:
— |
to identify, develop and deploy high risk innovations of all kinds including incremental with a strong focus on breakthrough, disruptive ▌and deep-tech innovations that have the potential to become market-creating innovations, and |
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support the rapid scale-up of innovative companies mainly SMEs, including start-ups and in exceptional cases small mid-caps at EU and international levels along the pathway from ideas to market. |
Where relevant, the EIC shall contribute to the activities supported under other parts of Horizon Europe, in particular in Pillar II.
The EIC will be implemented primarily through two complementary types of action, namely the Pathfinder for advanced research, for the early stages of technology development, and the Accelerator for innovation and market deployment actions, including the pre-mass commercialisation stages and company growth. With the idea to offer a single one-stop shop and a single process of support for high risk innovations carried out by start-ups, SMEs and, in exceptional cases, small midcaps , the Accelerator will notably award two types of support: mainly blended finance (combining grants with equity investments ) ▌as well as grants, optionally followed by equity support. In addition, it will also channel access to loans and guarantees, notably those provided under the InvestEU programme.
These two complementary types of actions will share common characteristics. They will:
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Support high-risk innovations where the risks, whether financial, technological/scientific, market and/or regulatory, cannot be borne by the market alone or yet supported by financial instruments under InvestEU; |
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Mainly focus on high-risk breakthrough ▌ and /or deep-tech innovations , while also supporting other forms of innovation , including incremental , that have the potential to create new markets or contribute to resolving global challenges ; |
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Be mainly bottom-up, open to innovations from all fields of science, technology and applications in any sector, while also enabling targeted support for emerging breakthrough , market-creating and /or deep-tech technologies of potential strategic significance in terms of economic and/or social impact. The Commission services will evaluate this potential strategic impact on the basis of recommendations from the independent experts, from the EIC programme managers and, where appropriate, from the EIC Advisory Board ; |
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Encourage innovations that cut across different scientific, technological (e.g. combining physical and digital) fields and sectors ▌ ; |
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Be centred on innovators, simplifying procedures and administrative requirements, making use of interviews to help assess applications, and ensuring fast decision making; |
▌
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Implemented with the aim of significantly enhancing the European innovation ecosystem; |
— |
Be managed pro-actively with milestones or other predefined criteria to gauge progress and the possibility to , after a thorough assessment, with the possible use of independent experts, reorient , reschedule or terminate the projects where needed. |
As well as financial support, innovators will have access to EIC business advisory services providing to projects coaching, mentoring and technical assistance, and pairing innovators with peers, industrial partners and investors. Innovators will also have facilitated access to expertise, facilities (including innovation hubs (17) and open innovation testbeds ) and partners from across EU supported activities (including those of the EIT, in particular through its KICs ▌ . The Commission will ensure seamless continuity between the EIT, the EIC, and InvestEU, to deliver complementarity and synergies.
To allow the strengthening of the European innovation ecosystem, particular attention will be paid to ensuring proper and efficient complementarity with individual or networked Member States or interregional initiatives, including in the form of European Partnership.
1.1.1. The Pathfinder for Advanced Research
The Pathfinder's will provide grants to high-risk cutting-edge projects exploring new and deep-tech areas aiming to develop into potentially radical innovative technologies of the future and new market opportunities. Merging them into a single model with a unique set of criteria. It will build on the experience from the Future and Emerging Technology (FET) schemes supported under FP7 and Horizon 2020, including the Horizon 2020 FET-Innovation Launchpad, as well as the Horizon 2020 SME Instrument Phase 1.
The Pathfinder overall objective will be to nurture potential market creating innovation out of breakthrough ▌ideas, and bring them to demonstration stage or development of business cases or strategies for further take-up by the Accelerator or any other market deployment solution. To that end, the Pathfinder will ▌support the earliest stages of scientific and technological research and development, including proof of concept and prototypes for technology validation.
In order to be fully open to broad-sweeping explorations, opportunities of serendipity and unexpected ideas, concepts and discoveries, the Pathfinder will be mainly implemented through a continuous and competitive open call with cut-off dates for bottom-up proposals. While maintaining its mainly bottom-up nature, the Pathfinder will also provide for competitive challenges to develop key strategic objectives (18) calling for deep-tech and radical thinking. The topics for those challenges will be determined in the work programmes. Regrouping of selected projects into thematic or objective driven portfolios will allow establishing critical mass of efforts and structuring new multidisciplinary research communities.
These portfolios of selected projects▌ will be further developed and enhanced, each along a vision developed with their innovators, but also shared with the research and innovation community at large. The Pathfinder's Transition activities will be implemented to help researchers and innovators develop the pathway to commercial development, such as demonstration activities and feasibility studies to assess potential business cases, and support the creation of spin offs and start-ups. These Pathfinder's Transition activities may also consist of complementary grants to top-up or enlarge the scope of previous and on-going actions, to bring in new partners, to enable collaboration within the portfolio and to develop its multidisciplinary community.
The Pathfinder will be open to all types of innovators, from individuals to universities, research organisations and companies, in particular startups and SMEs, and focusing on multi-disciplinary consortia. In the case of single beneficiary projects, mid-caps and larger companies will not be permitted. The Pathfinder will be implemented mainly through collaborative research and in close coordination with other parts of Horizon Europe, in particular with the European Research Council (ERC), the Marie Skłodowska-Curie Actions (MSCA), the European Ecosystem part of Pillar III and the Knowledge and Innovation Communities (KICs) of the European Institute of Innovation and Technology (EIT) activities to identify radical new ideas and concepts with breakthrough potential .
1.1.2. The Accelerator
Available private and corporate financing remains scarce between late stage of research and innovation activities and market take-up for high-risk (19) and therefore not ‘bankable’ or investors-attractive breakthrough and market-creating innovations. In order to bridge the ‘valley of death’ for any type of high-risk innovations , including in particular breakthrough and ‘deep tech’ innovations that are key to Europe’s future growth, public support must develop a radically new approach. Where the market does not provide viable financial solutions, public support should provide for a specific risk-sharing mechanism, bearing more if not all of the initial risk of potential breakthrough market-creating innovations to attract alternate private investors in a second stage, as operations unfold and the risk is reduced until the company carrying the innovative project becomes bankable .
Consequently the Accelerator will provide financial support to SMEs including start-ups and ▌, in exceptional cases, small mid-caps that have the ambition to develop and deploy in EU and international markets their breakthrough innovations and to scale up rapidly. For that purpose it will build on the experience from the Phases 2 and 3 of Horizon 2020 SME Instrument and from Horizon 2020 InnovFin, including through the addition of non-grant components and the ability to support larger and longer investments.
The Accelerator shall mainly provide support in the form of EIC blended finance, as well as grants and equity. The EIC blended finance shall be a mix of:
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Grant or reimbursable advance (20), to cover innovation activities; |
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Support for investment in equity (21) or other repayable forms (loans, guarantees, etc.) , so as to bridge innovation activities with effective market deployment, including scale-up, in a manner that does not crowd out private investments or distorts competition in the internal market. In case a project is deemed bankable from its initial selection (due diligence), or where the level of risk has been sufficiently reduced, it will channel the selected/supported company to access to debt financing (e.g. loans or guarantees ) and on equity financing provided by the InvestEU programme. |
Blended financial support will be awarded through a single process and with a single decision, providing the supported innovator with a single global commitment to financial resources covering the various stages of innovation down to market deployment including pre-mass commercialisation. The full implementation of the awarded support will be subject to milestones and review. The combination and volume of financing will be adapted to the needs of the firm, its size and stage, the nature of the technology/innovation and the length of the innovation cycle. It will cover financing needs until replacement by alternative sources of investment.
The EIC Accelerator will also provide support in the form of grants to SMEs, including start-ups, to carry out a range of innovation types, from incremental to breakthrough and disruptive innovation, who are aiming to subsequently scale up.
The support will be provided through the same continuously open and bottom-up call as the one used for the blended-finance support. A start-up or an SME may benefit only once during Horizon Europe from grant-only support from the EIC that will not exceed EUR 2,5 million. Proposals shall include detailed information on the capacities of the applicant to scale up.
For projects that have benefitted from a grant-only support, the Accelerator may subsequently upon the request of the beneficiaries provide them with finance support (e.g. ‘an equity support only’), through its ‘Special Purpose Vehicle’ (SPV) subject to the due diligence results of the latter.
When selected projects are receiving a grant component support for its research and innovation activities ; the activities may be implemented in collaboration with public or private research organisations, for example through subcontracting, to ensure that the beneficiary can have optimal access to technical and business expertise. This will allow the beneficiary to develop with a strong foundation in the existing knowledge, expertise and ecosystems across Europe.
Where the various risks are reduced ( financial, scientific/ technological, market, management, regulatory, etc.), the relative importance of the reimbursable advance component is expected to increase.
While the EU may bear alone the initial risk of selected innovation and market deployment actions, the aim will be to de-risk these and stimulate, from the out -set and during the development of the action, co-investments from alternative sources and even substitutive investors. In that event co-investment objectives ▌ and times schedule will be agreed with the co-investor(s) and the beneficiaries/supported companies .
The Accelerator will mainly operate through a continuously open, and bottom-up call, w ith cut-off dates, targeting SMEs including start-ups ▌ and in exceptional cases small-mid-caps, including young and female innovators managing or holding key skills in these companies . This open and bottom-up call may be complemented by targeted support for on emerging breakthrough▌ , market-creating and/or deep-tech innovations of potential strategic significance in terms of economic and/or social impact, while maintaining the predominantly bottom up nature of the Accelerator. The topics for this targeted support will be described in the work programmes. Investors, including public innovation agencies, may also submit proposals, but the support shall be awarded directly to the company carrying the innovative project they are interested in .
The Accelerator will also allow for ▌take-up of innovations stemming from Pathfinder-supported projects ▌and from other pillars of the EU Framework Programmes (22), in order to support them to reach the market. This identification of projects supported in other pillars of Horizon Europe and also previous Framework Programmes will be based on pertinent methodologies, such as the Innovation Radar.
In addition, for scale up purpose and in compliance with Article 43.5(a) of Regulation [Framework programme], subject to an initial mapping exercise, successful proposals from eligible national or regional programmes could also have access to the Accelerator evaluation phase under the following cumulative and sequential conditions:
(a) |
in close cooperation with Member States, the Commission will perform an in-depth mapping of eligible national or regional programmes to identify the demand for such a scheme. The results of this mapping will be published on the Participants portal and updated regularly. |
(b) |
A pilot, based on this mapping, will be launched in the first Horizon Europe work programme. Under this pilot, the following conditions must be met:
|
1.1.3. Additional EIC activities
Additionally, EIC will also implement:
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Highly recommended to all selected start-ups and SMEs, and in exceptional cases small mid-caps, although not mandatory, EIC business acceleration services in support of Pathfinder and Accelerator activities and actions. The aim will be to connect the EIC Community of funded innovators, including funded Seal of Excellence, to investors, partners and public buyers. It will provide a range of coaching and mentoring services to EIC actions. It will provide innovators with access to international networks of potential partners, including industrial ones, to complement a value chain or develop market opportunities, and find investors and other sources of private or corporate finance. Activities will include live events (e.g. brokerage events, pitching sessions) but also, the development of matching platforms or use of existing ones, in close relation with financial intermediaries supported by the InvestEU and with the EIB Group. These activities will also encourage peer exchanges as a source of learning in innovation ecosystem, making particular good use of Members of the ▌EIC Board and EIC Fellows; |
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EIC Fellowship to honour the EU's leading innovators. They will be awarded by the Commission on the advice of the High Level Advisory Board to recognise them as ambassadors for innovation; |
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EIC Challenges, i.e. inducement prizes, to help develop novel solutions to global challenges, bring in new actors and develop new communities. Other EIC ▌prizes will include iCapital, the Climate innovation prize, the Social Innovation Inducement Prize, and the Women Innovators' Prize (23). The design of its prizes will be linked to the EIC and to other parts of the EU Framework Programme , including missions and to other relevant funding bodies. Opportunities for cooperation with organisations able to provide complementary support (such as enterprises, universities, research organisations, business accelerators, charities and foundations) will be explored. |
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EIC Innovative Procurement, to procure prototypes, or develop first purchase programme to facilitate the testing and acquisition of pre-market innovative technologies by national, regional or local public entities , collectively whenever possible . |
1.2. Implementation
To reflect its innovator-centric approach and novel types of actions, the implementation of the EIC calls for the deployment of specific management features▌.
1.2.1. The EIC Board
The High Level Advisory EIC Board ▌(‘EIC Board’) shall assist the Commission in implementing the EIC. As well as advising on the EIC work programmes, the EIC Board shall take an active role in advising on the process of project selection and the management and following up actions. It will have a communication function, with members playing an ambassadorial role helping to stimulate innovation across the EU. Communication channels will include attendance at key innovation events, social media, constitution of an EIC community of innovators, engaging with key media with a focus on innovation, common events with incubators and acceleration hubs.
The EIC Board shall provide advice to the Commission regarding innovation trends or initiatives needed to enhance and foster the EU innovation ecosystem, including potential regulatory barriers. The EIC Board's advice shall also identify emerging areas of innovation likely to be taken into account in the activities under the Global Challenges and European Industrial Competitiveness pillar and missions. In this way, and in coordination with the relevant programme committee configuration, the EIC Board is expected to contribute to the overall coherence of the Horizon Europe programme.
Based on the advice of the EIC Board, the Commission will:
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provide potential applicants with detailed information in advance of calls for proposals, to include
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establish a solid monitoring of the implementation of the EIC schemes with the objective to ensure quick policy learning and to develop innovation patterns. For this purpose, indicators will be selected and implemented to measure the expected and achieved innovation in terms of product, process, marketing and services; |
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ensure complementarity and cooperation between the EIC and the EIT with the aim to avoid duplication; |
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disseminate detailed information on existing tools to attract risk capital investors in case of highly risky projects. |
1.2.2. EIC programme managers
The Commission will take a pro-active approach to the management of high risk projects, through access to the necessary expertise.
The Commission will appoint on a temporary basis a number of EIC programme managers to assist it with business- and technology-based vision and operational guidance. The Programme Committee will be informed on the appointments.
Programme managers will come from multiple spheres, including companies, universities, national laboratories and research centers. They will bring deep expertise from personal experience and years in the field. They will be recognised leaders, either having managed multidisciplinary research teams or directing large institutional programs, and know the importance of communicating their visions tirelessly, creatively, and broadly. Lastly, they will have experience in overseeing important budgets, which require sense of responsibility.
Programme managers will be expected to boost the impact of EIC funding by fostering an ‘active management “culture, combining a sound technological knowledge with a hands-on approach involving development at portfolio and projects levels of vision-based budgets, timelines and milestones EIC projects must meet to receive continued funding.
In particular, programme managers ▌oversee the implementation of Pathfinder and Accelerator calls, and provide opinion to the expert evaluation ▌committees, based on clear and fair criteria and in view of a consistent strategic portfolio of projects, expected to make essential contributions to the emergence of potential societal or economic market creating innovations.
Programme managers will have the task of nurturing Pathfinder portfolios by developing together with beneficiaries a common vision and a common strategic approach that leads to a critical mass of effort. This will involve the enhancement of new, recently developed fields of research, and the building up and structuring of new communities, with the objective of bringing cutting-edge breakthrough ideas into genuine and mature market creating innovations. Programme managers will implement transition activities, further developing portfolio with relevant additional activities and partners, and closely monitoring potential spin-offs and start-ups.
To allow more flexibility, programme managers will review Pathfinder and Accelerator’s projects, for each milestone or predefined criteria at relevant intervals according to the project development , to assess whether they should be continued, reoriented or terminated according to defined methods and procedures for project management. Where relevant, such assessments may involve independent external experts. In accordance with staff regulations, the Commission will ensure that there is no conflict of interest, nor breach of confidentiality, of programme managers in the execution of all their tasks.
Given the high risk nature of the actions, it is expected that a significant number of projects will not reach completion. Budget decommitted from such terminations will be used to support other EIC actions and shall be communicated in a timely manner to the Programme Committee .
1.2.3. Implementation of the EIC blended finance
The Commission will manage all operational elements of Accelerator projects, including the grant or other non-repayable forms of support.
For the purpose of managing EIC blended finance, the Commission shall establish a special purpose vehicle (EIC SPV).
The Commission shall seek to ensure the participation of other public and private investors. Where this is not possible at the initial set up, the special purpose vehicle will be structured in such a way that it can attract other public or private investors in order to increase the leverage effect of the Union contribution.
The investment strategy of the EIC SPV will be endorsed by the Commission . The EIC SPV shall define and implement an exit strategy for its equity participations , which will include the possibility to propose the transfer of (a share) of an investment operation to the implementing partners supported under the InvestEU programme , where appropriate and for operations whose risks have been sufficiently lowered so that they meet criteria of Article 209(2) of the Financial Regulation. The Programme Committee will be informed accordingly.
The EIC SPV will perform due diligence, and negotiate technical terms of each investment in compliance with the principles of additionality and prevention of conflict of interests with other activities of the investees and of other counterparts. The EIC SPV will proactively leverage public and/or private investments into individual Accelerator’s operations.
2. EUROPEAN INNOVATION ECOSYSTEMS
2.1. Rationale
To fully harness the potential of innovation involving researchers, entrepreneurs, industry and society at large, the EU , together with the Member States, must improve the environment within which innovation can flourish at all levels. This will mean contributing to the development of an effective innovation ecosystem at EU level, and encouraging cooperation, networking, and the exchange of ideas and knowledge, developing open innovation processes in organisations, funding and skills among national , regional and local innovation ecosystems , in order to support all types of innovation, reach out to all innovators across the EU and provide them with adequate support .
The EU and Member States must also aim to develop ecosystems that support social innovation and public sector innovation, in addition to innovation in private enterprises. Indeed, the government sector must innovate and renew itself in order to be able to support the changes in regulation and governance required to support the large-scale deployment of innovations, including new technologies and a growing public demand for the more efficient and effective delivery of services. Social innovations are crucial to enhance the welfare of our societies.
To attain these objectives, activities will be implemented to complement and to ensure synergies with the EIC’s types of action, as well as with the activities of the EIT, with activities undertaken under other pillars of Horizon Europe and with activities implemented by Member States and Associated Countries, but also by private initiatives.
2.2. Areas of intervention
As a first step the Commission will organise an EIC Forum of Member States and Associated countries” public authorities and bodies in charge of ▌innovation policies and programmes, with the aim of promoting coordination and dialogue on the development of the EU's innovation ecosystem. The EIC Board and the EIT Board will also be associated. Within this EIC Forum, the Commission will:
— |
Discuss the development of innovation-friendly regulation, through the continued application of the Innovation Principle (24) and development of innovative approaches to public procurement including developing and enhancing the Public Procurement of Innovation (PPI) instrument to drive innovation. The Observatory of Public Sector Innovation will also continue to support internal government innovation efforts, alongside the revamped Policy Support Facility; |
— |
Promote the alignment of research and innovation agendas with EU efforts to consolidate an open market for capital flows and investment, such as the development of key framework conditions in favour of innovation under the Capital Markets Union; |
— |
Enhance coordination between national and regional innovation programmes and innovation activities under Horizon Europe, including notably the EIC and the EIT , so as to stimulate operational synergies and avoid overlaps , by sharing data on programmes and their implementation, resources and expertise, analysis and monitoring of technological and innovation trends, ▌interconnecting respective innovators’ communities; |
— |
Establish a joint communication strategy on innovation in the EU. It will aim at stimulating the EU's most talented innovators, entrepreneurs, particularly young ones , SMEs and start-ups, throughout the EU. It will stress the EU added-value that technical, non-technical, and social innovators can bring to EU citizens by developing their idea/vision into a thriving enterprise (social value/impact, jobs and growth, societal progression). |
▌
The EU will also, in synergy with other Horizon Europe activities, including those of the EIC and EIT, and with the regional smart specialisation strategies :
— |
Promote and co-fund joint innovation programmes managed by authorities in charge of public national, regional or local innovation policies and programmes, to which private entities supporting innovation and innovators may be associated. Such demand-driven joint programmes may target, among others, early stage and feasibility study support, academia-enterprise cooperation, support to high-tech SMEs' collaborative research, technology and knowledge transfer, internationalisation of SMEs, market analysis and development, digitalisation of low-tech SMEs, support the development and interconnection of open innovation infrastructures, such as pilots, demonstrators, maker spaces and testbeds, financial instruments for close to market innovations activities or market deployment, social innovation. They may also include joint public procurement initiatives, enabling innovations to be commercialised in the public sector, in particular in support of the development of new policy. This could be particularly effective to stimulate innovation in public service areas and to provide market opportunities to European innovators; |
— |
Support also joint programmes for mentoring, coaching, technical assistance and other services that are delivered close to innovators, by networks such as National Contact Points, Enterprise Europe Network (EEN), clusters, pan-European platforms such as Startup Europe, regional or local innovation actors, public but also private, in particular incubators and innovation hubs that could moreover be interconnected to favour partnering between innovators. Support may also be given to promote soft skills for innovation, including to networks of vocational institutions and in close cooperation with the European Institute of Innovation and Technology and its KICs ; |
— |
Improve data and knowledge about innovation support, including mapping of support schemes, establishing data sharing platforms, benchmarking and evaluation of support schemes. |
The EU will also launch actions necessary to further monitor and nurture the overall innovation landscape and innovation management capacity in Europe.
The ecosystem support activities will be implemented by the Commission, supported by an executive agency for the evaluation process.
▌
PART — WIDENING PARTICIPATION AND STRENGTHENING THE EUROPEAN RESEARCH AREA
This part of the Programme shall implement concrete measures in support of widening participation and strengthening the European Research Area. It shall aim to strengthen collaborate links across Europe and open up European R&I networks, contribute to improving research management capacities in the widening countries, support national policy reforms as well as exploit the potential of the Union’s talent pool by targeted actions.
The EU has a history of world-class scientific and technological achievements, but its research and innovation potential fails to be fully exploited. Despite much progress in developing the European Research Area (ERA), including the ERA roadmap and national ERA action plans, Europe has still a fragmented research and innovation landscape, and all Member States face bottlenecks in their research and innovation systems which require policy reforms. In some areas, progress is too slow to catch-up with an increasingly dynamic research and innovation ecosystem (25).
The level of research and innovation investment in Europe is still far below the policy objective of 3 % of GDP and continues to grow less than our main competitors such as US, Japan, China or South-Korea.
Meanwhile, there is a growing disparity in Europe between the R&I -leading and the R&I -lagging countries and regions. Change , for example through more and better links between research and innovation actors across Europe, is needed if Europe as a whole is to capitalise on excellence from across the continent, maximise the value of public and private investments, and their impacts on productivity, economic growth, job creation and well-being. In addition, there is a need for structural R&I policy reforms and better national and regional as well as institutional cooperation in the production and diffusion of high-quality knowledge.
In addition, research and innovation are seen by some as distant and elitist without clear benefits for citizens, instilling attitudes that hamper the creation and uptake of innovative solutions, and scepticism about evidence-based public policies. This requires both better linkages between scientists, researchers, innovators, entrepreneurs, citizens and policy-makers, and more robust approaches to pooling scientific evidence itself in a changing society .
The EU now needs to raise the bar on the quality and impact of its research and innovation system, requiring a revitalised European Research Area (ERA) (26), across the European Union and Associated Countries, better supported by the EU's research and innovation Framework Programme and national and regional programmes . Specifically, a well-integrated yet tailored set of EU measures (27) is needed, combined with reforms and performance enhancements at national level (to which the Smart Specialisation Strategies supported under the European Regional Development Fund as well as the Policy Support Facility can contribute) and, in turn, effective institutional changes within research funding and performing organisations, including universities , leading to outstanding knowledge production . By combining efforts at EU level, synergies can be exploited across Europe and the necessary scale can be found to make support to national policy reforms more efficient and impactful.
The activities supported under this part specifically address ERA policy priorities, while generally underpinning all parts of Horizon Europe. Activities may also be established to foster brain circulation across ERA through mobility of researchers and innovators , taking fully into account current imbalances, and to create and develop networks of scholars, scientists, researchers and innovators to put all their (intangible) assets to the service of the ERA and by supporting the development of domain-specific science roadmaps .
The goal is for an EU where knowledge and a highly skilled workforce circulate freely, research outputs are shared rapidly and efficiently, researchers benefit from attractive careers and gender equality is ensured, where Member States and Associated Countries develop common strategic research agendas, aligning national plans, defining and implementing joint programmes, and where the outcomes of research and innovation are understood and trusted by informed citizens and benefit society as a whole.
This part will contribute de facto to all Sustainable Development Goals (SDGs), but directly to the following: SDG 4 — Quality Education; SDG 5 — Gender Equality; SDG 9 — Industry, Innovation and Infrastructure; SDG 17 — Partnership for the Goals.
1. WIDENING PARTICIPATION AND SPREADING EXCELLENCE▌
Reducing disparities and the existing divide in research and innovation performance by sharing knowledge and expertise across the EU will help widening countries and ▌the EU outermost regions, to attain a competitive position in the global value chains and the Union to fully benefit from R&I potential of all Member States .
Further action , for example through the promotion of openness and diversity of project consortia, is therefore needed to counter the trend for closed collaborations, which can exclude large number of promising institutions and individuals, including newcomers , and to exploit the potential of the EU's talent pool by maximising and sharing the benefits of research and innovation across the EU.
Within the broad areas of activities, the funding lines will facilitate specific research elements customised to the particular needs of the actions.
Broad Lines
— |
Teaming, to create new centres of excellence or upgrade existing ones in eligible countries, building on partnerships between leading scientific institutions and partner institutions; |
— |
Twinning, to significantly strengthen universities or research organisations from ▌eligible countries in a defined field, by linking it with internationally-leading research institutions from other Member States or Associated Countries; |
— |
ERA Chairs, to support universities or research organisations from eligible countries to attract and maintain high quality human resources under the direction of an outstanding researcher and research manager (the ‘ERA Chair holder’), and to implement structural changes to achieve excellence on a sustainable basis; |
— |
European Cooperation in Science and Technology (COST), involving ambitious conditions regarding the inclusion of eligible countries, and other measures to provide scientific networking, capacity building and career development support to young and advanced researchers from these target countries , through actions of high scientific quality and relevance . 80 % of the total budget of COST will be devoted to actions fully aligned with the objectives of this intervention area , including funding for new activities and services; |
▌
— |
Activities aimed at improving the quality of proposals from legal entities from low R&I performing Member States, such as professional pre-proposal checks and advice, and boosting the activities of National Contact Points to support international networking, as well as activities following Article 20(3) of the [Regulation] and evidence-based matchmaking services following Article 46(2) of the [Regulation]; |
— |
Activities may be established to foster brain circulation of researchers of all ages and at all levels right across ERA (for instance grants to enable researchers of any nationality to acquire and transfer new knowledge and to work on research and innovation in Widening countries) and better exploitation of existing (and possibly jointly managed) research infrastructures in the targeted countries through mobility of researchers and innovators. Activities may also be established to foster initiatives on excellence. |
This intervention area will support the Horizon Europe specific objectives: Facilitate full engagement of Europe’s talent pool in supported actions; Spread and connect excellence across the EU; Reinforce the creation of high quality knowledge; Increase cross-sectorial, cross-disciplinary cross-border cooperation.
2. REFORMING AND ENHANCING THE EU RESEARCH AND INNOVATION SYSTEM
Policy reforms at national level will be mutually reinforced and complemented through the development of EU-level policy initiatives, research, networking, partnering, coordination, data collection and monitoring and evaluation.
Broad Lines
— |
Strengthening the evidence base for research and innovation policy, for a better understanding of the different dimensions and components of national and regional research and innovation ecosystems , including drivers, impacts, associated polices; |
— |
Foresight activities, to anticipate emerging needs and trends , in coordination and co-design with national agencies and future-oriented stakeholders and citizens , in a participative manner, building on advances in forecasting methodology, making outcomes more policy relevant, while exploiting synergies across and beyond the programme; |
— |
Support for policy makers, funding bodies, research performing organisations (including universities) or advisory groups working on ERA and ERA related policies or implementing coordination and support measures supporting the ERA to ensure that these are to be well-aligned towards developing and implementing a coherent and long-term sustaining ERA. Such support may take the form of Coordination and Support Actions (CSAs) in a bottom-up and competitive way to support programme level collaboration between research and innovation programme of Member States, Associated Countries and civil society organisations such as foundations, on priorities of their choice, with a clear focus on the implementation of transnational joint activities including calls. It will be based on clear commitments from participating programmes to pool resources and ensure complementarity between activities and policies with those of the Framework Programme and relevant European Partnership Initiatives; |
— |
Accelerating the transition towards open science, by monitoring, analysing and supporting the development and uptake of open science policies and practices (28) , including the FAIR principles, at the level of Member States, regions, institutions and researchers, in a way that maximises synergies and coherence at EU level; |
— |
Support to national research and innovation policy reform, including though a strengthened set of services of the Policy Support Facility (PSF) (29) (i.e. peer reviews, specific support activities, mutual learning exercises and the knowledge centre) to Member States and Associated Countries, operating in synergy with the European Regional Development Fund, the Structural Reform Support Service (SRSS) and the Reform Delivery Tool; |
— |
Providing researchers with attractive career environments, skills and competences needed in the modern knowledge economy (30). Linking the ERA and the European Higher Education Area by supporting the modernisation of universities and other research and innovation organisations, through recognition and reward mechanisms to spur actions at national level, as well as incentives promoting the adoption of open science practices, responsible R&I, entrepreneurship (and links to innovation ecosystems), trans-disciplinarity, citizen engagement, international and inter-sectoral mobility, gender equality plans , diversity and inclusion strategies, and comprehensive approaches to institutional changes. In that context, as a follow-up of the pilot actions launched under Erasmus ▌+ 2014-20 on European Universities▌, Horizon Europe will, where appropriate, complement in a synergetic way the support provided by the ERASMUS' programme to European Universities, providing support on their research and innovation dimension▌. This will contribute to developing new joint and integrated long term and sustainable strategies on education, research and innovation based on trans-disciplinary and cross-sectoral approaches to make the knowledge triangle a reality, providing impetus to sustainable economic growth , while avoiding overlaps with EIT KICs . |
— |
Citizen science, supporting all types of formal, non-formal and informal science education, ensuring a more effective and responsible engagement of citizens , regardless of age, background or abilities, in the co-design of research and innovation agenda settings and policy, in the co-creation of scientific content and innovation through transdisciplinary activities; |
— |
Supporting and monitoring gender equality and as well as other forms of diversity in scientific careers and in decision making, including in advisory bodies, as well as the integration of the gender dimension in research and innovation content; |
— |
Ethics and integrity, to further develop a coherent EU framework in adherence with the highest ethics standards and the European Code of Conduct for Research Integrity , the European Charter for Researchers and the Code of Conduct for the Recruitment of Researchers, providing the training opportunities in these areas ; |
— |
Supporting international cooperation, through bilateral, multilateral and bi-regional policy dialogues with third countries, regions and international fora will facilitate mutual learning and priority setting, promote reciprocal access and monitor impact of cooperation; |
— |
Scientific input to other policies, through the creation and maintenance of advisory and monitoring structures and processes to ensure that EU policy-making is based on the best available scientific evidence and high-level scientific advice; |
— |
EU research and innovation programme implementation, including the collection and analysis of evidence for the monitoring, evaluation, design and impact assessment of the Framework Programmes; |
— |
The Commission will ensure support for NCPs inter-alia through regular meetings before calls, training, coaching, strengthening dedicated support structures and facilitating trans-national cooperation among them (e.g. building on activities of National Contact Points in previous Framework Programmes); The Commission will develop minimum standards, in agreement with Member States representatives, for the operation of these support structures, including their role, structure, modalities, flow of information from the Commission before calls for proposals, and avoidance of conflicts of interest; |
— |
Dissemination and exploitation of research and innovation results, data and knowledge, including through dedicated support to beneficiaries; fostering synergies with other EU programmes; targeted communication activities to raise the awareness of the broader impact and relevance of EU funded research and innovation , as well as science communication . |
(1) In principle at least 80 %.
(2) The European Data Infrastructure will underpin the European Open Science cloud by providing world-class High Performance Computing capability, high speed connectivity and leading-edge data and software services.
(3) OECD Understanding The Socio-Economic Divide in Europe, 26 January 2017.
(4) The Key Enabling Technologies of the future include advanced materials and nanotechnology, photonics and micro- and nano-electronics, life science technologies, advanced manufacturing and processing, artificial intelligence and digital security and connectivity.
(5) ‘Re-finding industry — defining innovation’ Report of the High-Level Strategy Group on Industrial Technologies, Brussels April 2018.
(6) These are public or private facilities that provide resources and services primarily for the European industry to test and validate key enabling technologies and products. Such infrastructures may be single sited, virtual or distributed, and must be registered in a Member State or a third country associated to the Programme.
(7) Substantial reduction of greenhouse gas emissions in other sectors is addressed in other Parts of Pillar II and Horizon Europe in general.
(8) The term ‘alternative energy’ does not include energy produced from nuclear energy sources.
(9) The bioeconomy covers all sectors and systems that rely on biological resources (animals, plants, micro-organisms and derived biomass, including organic waste), their functions and principles. It includes and interlinks: land and marine ecosystems and the services they provide; all primary production sectors that use and produce biological resources (agriculture, forestry, fisheries and aquaculture); and all economic and industrial sectors that use biological resources and processes to produce food, feed, bio-based products, energy and services. Biomedicines and health biotechnology are excluded.
(10) ‘Sustainable blue economy’ means all sectoral and cross-sectoral economic activities throughout the single market related to oceans, seas, coasts and inland waters, covering the Union's outermost regions and landlocked countries, including emerging sectors and non-market goods and services and being consistent with Union environmental legislation.'
(11) The expression ‘land and sea’ includes ‘inland waters’ throughout the text of Cluster 6.
(12) COM(2018)0773: A Clean Planet for all. A European strategic long-term vision for a prosperous, modern, competitive and climate neutral economy.
(13) Environmental Observation accessible e.g. through the Copernicus component of the Union Space programme and other relevant European programmes, as well as the GEO initiative will support research and innovation under other intervention areas within this Global Challenge as well as other relevant parts of Horizon Europe.
(14) SWD(2016)0319: European Research and Innovation for Food and Nutrition Security.
(15) Health biotechnology applications will be addressed by the Health cluster under this pillar.
(16) The activities in Circular Systems Area of Intervention are complementary to those of Low-Carbon and Clean Industry in the Digital and Industry cluster.
(17) Innovation Hub is an umbrella term for a broad variety of skills. It can serve as an active partner, a community, a knowledge center, a facilitator or a connector that offers access to latest knowledge and expertise on digital and related enabling technologies necessary for companies to become more competitive with regard to production, services and business processes.
(18) Relevant topics may be identified in the context of the Horizon Europe Strategic planning.
(19) Typically as a combination of scientific/technological risks, management/financial risks, market/economical risks and regulatory risks. Unforeseen additional risks may also be taken into account.
(20) As an alternative to a grant when risk is deemed lower than average, a reimbursable advance shall be paid back to the EU on an agreed schedule and then becomes an interest-free loan. In case the beneficiary is not able to reimburse, but can continue its activity, the reimbursable advance shall be transformed into equity. In case of bankruptcy, the reimbursable advance becomes just a grant.
(21) As a principle, the EU is not expected to hold more than a minority of voting rights in companies supported. In exceptional cases, the EU may secure the acquisition of a blocking minority to protect European interests in essential areas, e.g. cyber security.
(22) Such as ERC Proof of Concept, from projects supported under the ‘Global Challenges and Industrial Competitiveness’ Pillar, startups emerging from the KICs of the European Institute of Innovation and Technology . Applications shall also stem from Horizon 2020 activities, particularly project selected under Horizon 2020 SME Phase 2 and related Seal of Excellence financed by Member States, (existing and future) European Partnerships.
(23) To ensure seamless continuity, the EIC prizes will take over the management of prizes launched under Horizon 2020 . In addition, the EIC Board shall provide for the design and implementation of new inducement prizes and recognition awards.
(24) Commission Communication of 15 May 2018“A renewed European Agenda for Research and Innovation — Europe's chance to shape its future” (COM(2018)0306, Council Decision of 27 May 2016 (8675/16 RECH 127 COMPET 212 MI 300 POGEN 34).
(25) The ERA progress report of 2018.
(26) Council Conclusions on the ERA Roadmap, 19 May 2015[To be updated as necessary].
(27) TFEU Article 181.2.
(28) The policies and practices to be addressed range from sharing research outputs as early and widely as possible through commonly agreed formats and a shared infrastructure (e.g. the European Open Science Cloud), citizen science, and developing and using new, broader approaches and indicators for evaluating research and rewarding researchers.
(29) The Policy Support Facility (PSF), launched under Horizon 2020. The PSF works on a demand-driven basis and it offers, on a voluntary basis, high level expertise and tailor-made advice to national public authorities. Through its services, it has already been instrumental in provoking policy change in countries such as Poland, Bulgaria, Moldova or Ukraine and in bringing forward policy changes, driven by exchanges of good practice, in areas such as R&D tax incentives, open science, performance-based funding of public research organisations and the inter-operability of national research and innovation programmes.
(30) Including notably the European Charter for researchers, the code of conduct for the recruitment of researchers, EURAXESS and RESAVER Pension Fund.
ANNEX II
Programme Committee configurations
List of configurations of the Programme Committee in accordance with Article 12(2):
1. |
Strategic configuration: Strategic overview of the implementation of the whole programme, coherence across the individual work programmes of the different parts of the programme, including missions ▌ |
2. |
European Research Council (ERC) ▌ |
2a. |
Marie Skłodowska-Curie Actions (MSCA) |
3. |
Research Infrastructures |
4. |
Health |
5. |
Culture, creativity and Inclusive Society |
5a. |
Civil Security for Society |
6. |
Digital, Industry and Space |
7. |
Climate, Energy and Mobility |
8. |
Food , Bioeconomy , Natural Resources , Agriculture and Environment |
9. |
The European Innovation Council (EIC) and European Innovation ecosystems |
9a. |
Widening participation and strengthening the European Research Area |
Ad-hoc meetings could be organised within the clusters and/or with different Programme Committee configurations and/or with Committees established by other acts on horizontal and/or cross-cutting issues, such as space and mobility.
ANNEX III
Information to be provided by the Commission in accordance with Article 12(6)
1.
Information on individual projects, enabling the monitoring of the entire lifetime of each proposal, covering in particular:
— |
submitted proposals, |
— |
evaluation results for each proposal, |
— |
grant agreements, |
— |
terminated projects in accordance with Article 29(2) and (3) and Article 43(11) of the Regulation (Horizon Europe) |
— |
completed projects. |
2.
Information on the outcome of each call and project implementation, covering in particular:
— |
results of each call, |
— |
evaluation scores of proposals and deviations from these in their ranking list, based on their contribution to the achievement of specific policy objectives, including the constitution of a consistent portfolio of projects in accordance with Article 26(2) of the Regulation (Horizon Europe), |
— |
requested adjustments to the proposals in accordance with Article 26(2) of the Regulation (Horizon Europe), |
— |
outcome of negotiations on grant agreements, |
— |
project implementation, including payment data and outcome of projects, |
— |
proposals retained by independent experts evaluation, but rejected by the Commission in accordance with Article 43(7) of the Regulation (Horizon Europe). |
3.
Information on programme implementation , including relevant information at the level of the framework programme, the specific programme, each specific objective and related themes and the JRC, as part of the annual monitoring along the impact pathways defined in Annex V to the Regulation, as well as the synergies with other relevant Union programmes.
4.
Information on the execution of the Horizon Europe budget, including information on COST, on commitments and payments for all European Partnerships, including KICs, as well as financial balances between the EU and all associated countries .
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/339 |
P8_TA(2019)0397
Market surveillance and compliance of products ***I
European Parliament legislative resolution of 17 April 2019 on the proposal for a regulation of the European Parliament and of the Council laying down rules and procedures for compliance with and enforcement of Union harmonisation legislation on products and amending Regulations (EU) No 305/2011, (EU) No 528/2012, (EU) 2016/424, (EU) 2016/425, (EU) 2016/426 and (EU) 2017/1369 of the European Parliament and of the Council, and Directives 2004/42/EC, 2009/48/EC, 2010/35/EU, 2013/29/EU, 2013/53/EU, 2014/28/EU, 2014/29/EU, 2014/30/EU, 2014/31/EU, 2014/32/EU, 2014/33/EU, 2014/34/EU, 2014/35/EU, 2014/53/EU, 2014/68/EU and 2014/90/EU of the European Parliament and of the Council (COM(2017)0795 — C8-0004/2018 — 2017/0353(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/44)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2017)0795), |
— |
having regard to Article 294(2) and Articles 33, 114 and 207 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0004/2018), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
having regard to the reasoned opinion submitted, within the framework of Protocol No 2 on the application of the principles of subsidiarity and proportionality, by the Swedish Parliament, asserting that the draft legislative act does not comply with the principle of subsidiarity, |
— |
having regard to the opinion of the European Economic and Social Committee of 23 May 2018 (1), |
— |
having regard to the provisional agreement approved by the committee responsible under Rule 69f(4) of its Rules of Procedure and the undertaking given by the Council representative by letter of 15 February 2019 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
— |
having regard to Rule 59 of its Rules of Procedure, |
— |
having regard to the report of the Committee on the Internal Market and Consumer Protection and the opinion of the Committee on the Environment, Public Health and Food Safety (A8-0277/2018), |
1. |
Adopts its position at first reading hereinafter set out; |
2. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
3. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
P8_TC1-COD(2017)0353
Position of the European Parliament adopted at first reading on 17 April 2019 with a view to the adoption of Regulation (EU) 2019/… of the European Parliament and of the Council on market surveillance and compliance of products and amending Directive 2004/42/EC and Regulations (EC) No 765/2008 and (EU) No 305/2011
(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) 2019/1020.)
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/341 |
P8_TA(2019)0398
Promoting fairness and transparency for business users of online intermediation services ***I
European Parliament legislative resolution of 17 April 2019 on the proposal for a regulation of the European Parliament and of the Council on promoting fairness and transparency for business users of online intermediation services (COM(2018)0238 — C8-0165/2018 — 2018/0112(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/45)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2018)0238), |
— |
having regard to Article 294(2) and Article 114 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0165/2018), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
having regard to the opinion of the European Economic and Social Committee of 19 September 2018 (1), |
— |
after consulting the Committee of the Regions, |
— |
having regard to the provisional agreement approved by the committee responsible under Rule 69f(4) of its Rules of Procedure and the undertaking given by the Council representative by letter of 20 February 2019 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
— |
having regard to Rule 59 of its Rules of Procedure, |
— |
having regard to the report of the Committee on the Internal Market and Consumer Protection and the opinions of the Committee on Legal Affairs, the Committee on Industry, Research and Energy and the Committee on Transport and Tourism (A8-0444/2018), |
1. |
Adopts its position at first reading hereinafter set out; |
2. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
3. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
P8_TC1-COD(2018)0112
Position of the European Parliament adopted at first reading on 17 April 2019 with a view to the adoption of Regulation (EU) 2019/… of the European Parliament and of the Council on promoting fairness and transparency for business users of online intermediation services
(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) 2019/1150.)
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/343 |
P8_TA(2019)0399
Better enforcement and modernisation of EU consumer protection rules ***I
European Parliament legislative resolution of 17 April 2019 on the proposal for a directive of the European Parliament and of the Council amending Council Directive 93/13/EEC of 5 April 1993, Directive 98/6/EC of the European Parliament and of the Council, Directive 2005/29/EC of the European Parliament and of the Council and Directive 2011/83/EU of the European Parliament and of the Council as regards better enforcement and modernisation of EU consumer protection rules (COM(2018)0185 — C8-0143/2018 — 2018/0090(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/46)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2018)0185), |
— |
having regard to Article 294(2) and Article 114 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0143/2018), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
having regard to the reasoned opinions submitted, within the framework of Protocol No 2 on the application of the principles of subsidiarity and proportionality, by the Austrian Federal Council and the Swedish Parliament, asserting that the draft legislative act does not comply with the principle of subsidiarity, |
— |
having regard to the opinion of the European Economic and Social Committee of 20 September 2018 (1), |
— |
having regard to the provisional agreement approved by the committee responsible under Rule 69f(4) of its Rules of Procedure and the undertaking given by the Council representative by letter of 29 March 2019 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
— |
having regard to Rule 59 of its Rules of Procedure, |
— |
having regard to the report of the Committee on the Internal Market and Consumer Protection (A8-0029/2019), |
1. |
Adopts its position at first reading hereinafter set out; |
2. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
3. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
P8_TC1-COD(2018)0090
Position of the European Parliament adopted at first reading on 17 April 2019 with a view to the adoption of Directive (EU) 2019/… of the European Parliament and of the Council amending Council Directive 93/13/EEC and Directives 98/6/EC, 2005/29/EC and 2011/83/EU of the European Parliament and of the Council as regards better enforcement and modernisation of Union consumer protection rules
(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Directive (EU) 2019/2161.)
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/345 |
P8_TA(2019)0400
Transparency and sustainability of the EU risk assessment in the food chain ***I
European Parliament legislative resolution of 17 April 2019 on the proposal for a Regulation of the European Parliament and of the Council on the transparency and sustainability of the EU risk assessment in the food chain amending Regulation (EC) No 178/2002 [on general food law], Directive 2001/18/EC [on the deliberate release into the environment of GMOs], Regulation (EC) No 1829/2003 [on GM food and feed], Regulation (EC) No 1831/2003 [on feed additives], Regulation (EC) No 2065/2003 [on smoke flavourings], Regulation (EC) No 1935/2004 [on food contact materials], Regulation (EC) No 1331/2008 [on the common authorisation procedure for food additives, food enzymes and food flavourings], Regulation (EC) No 1107/2009 [on plant protection products] and Regulation (EU) No 2015/2283 [on novel foods] (COM(2018)0179 — C8-0144/2018 — 2018/0088(COD)
(Ordinary legislative procedure: first reading)
(2021/C 158/47)
The European Parliament,
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having regard to the Commission proposal to Parliament and the Council (COM(2018)0179), |
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having regard to Article 294(2) and Articles 43, 114 and 168(4)(b) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0144/2018), |
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having regard to the opinion of the Committee on Legal Affairs on the proposed legal basis, |
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having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
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having regard to the opinion of the European Economic and Social Committee of 19 September 2018 (1), |
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having regard to the opinion of the Committee of the Regions of 10 October 2018 (2), |
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having regard to the provisional agreement approved by the committee responsible under Rule 69f(4) of its Rules of Procedure and the undertaking given by the Council representative by letter of 15 February 2019 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
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having regard to Rules 59 and 39 of its Rules of Procedure, |
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having regard to the report of the Committee on the Environment, Public Health and Food Safety and the opinions of the Committee on Fisheries and the Committee on Legal Affairs (A8-0417/2018), |
1. |
Adopts its position at first reading hereinafter set out (3); |
2. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
3. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
(1) OJ C 440, 6.12.2018, p. 158.
(2) OJ C 461, 21.12.2018, p. 225.
(3) This position replaces the amendments adopted on 11 December 2018 (Texts adopted, P8_TA(2018)0489).
P8_TC1-COD(2018)0088
Position of the European Parliament adopted at first reading on 17 April 2019 with a view to the adoption of Regulation (EU) 2019/… of the European Parliament and of the Council on the transparency and sustainability of the EU risk assessment in the food chain and amending Regulations (EC) No 178/2002, (EC) No 1829/2003, (EC) No 1831/2003, (EC) No 2065/2003, (EC) No 1935/2004, (EC) No 1331/2008, (EC) No 1107/2009, (EU) 2015/2283 and Directive 2001/18/EC
(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) 2019/1381.)
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/347 |
P8_TA(2019)0401
Supplementary protection certificate for medicinal products ***I
European Parliament legislative resolution of 17 April 2019 on the proposal for a regulation of the European Parliament and of the Council amending Regulation (EC) No 469/2009 concerning the supplementary protection certificate for medicinal products (COM(2018)0317 — C8-0217/2018 — 2018/0161(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/48)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2018)0317), |
— |
having regard to Article 294(2) and Article 114 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0217/2018), |
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having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
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having regard to the opinion of the European Economic and Social Committee of 19 September 2018 (1), |
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having regard to the provisional agreement approved by the committee responsible under Rule 69f(4) of its Rules of Procedure and the undertaking given by the Council representative by letter of 20 February 2019 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
— |
having regard to Rule 59 of its Rules of Procedure, |
— |
having regard to the report of the Committee on Legal Affairs and also the opinions of the Committee on International Trade and the Committee on the Environment, Public Health and Food Safety (A8-0039/2019), |
1. |
Adopts its position at first reading hereinafter set out; |
2. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
3. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
P8_TC1-COD(2018)0161
Position of the European Parliament adopted at first reading on 17 April 2019 with a view to the adoption of Regulation (EU) 2019/… of the European Parliament and of the Council amending Regulation (EC) No 469/2009 concerning the supplementary protection certificate for medicinal products
(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) 2019/933.)
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/348 |
P8_TA(2019)0402
Space programme of the Union and European Union Agency for the Space Programme ***I
European Parliament legislative resolution of 17 April 2019 on the proposal for a regulation of the European Parliament and of the Council establishing the space programme of the Union and the European Union Agency for the Space Programme and repealing Regulations (EU) No 912/2010, (EU) No 1285/2013, (EU) No 377/2014 and Decision 541/2014/EU (COM(2018)0447 — C8-0258/2018 — 2018/0236(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/49)
The European Parliament,
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having regard to the Commission proposal to Parliament and the Council (COM(2018)0447), |
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having regard to Article 294(2) and Article 189(2) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0258/2018), |
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having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
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having regard to the opinion of the European Economic and Social Committee of 17 October 2018 (1), |
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having regard to the opinion of the Committee of the Regions of 6 December 2018 (2), |
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having regard to the letter from its President to the committee chairs of 25 January 2019 outlining the Parliament's approach to the Multiannual Financial Framework (MFF) post-2020 sectorial programmes, |
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having regard to the letter from the Council to the President of the European Parliament of 1 April 2019 confirming the common understanding reached between the co-legislators during negotiations, |
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having regard to Rule 59 of its Rules of Procedure, |
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having regard to the report of the Committee on Industry, Research and Energy and the opinions of the Committee on Budgets, the Committee on the Environment, Public Health and Food Safety, the Committee on Transport and Tourism and the Committee on Agriculture and Rural Development (A8-0405/2018), |
1. |
Adopts its position at first reading hereinafter set out (3); |
2. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
3. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
(1) OJ C 62, 15.2.2019, p. 51.
(2) OJ C 86, 7.3.2019, p. 365.
(3) This position replaces the amendments adopted on 13 December 2018 (Texts adopted, P8_TA(2018)0520).
P8_TC1-COD(2018)0236
Position of the European Parliament adopted at first reading on 17 April 2019 with a view to the adoption of Regulation (EU) /… of the European Parliament and of the Council establishing the space programme of the Union and the European Union Agency for the Space Programme and repealing Regulations (EU) No 912/2010, (EU) No 1285/2013, (EU) No 377/2014 and Decision 541/2014/EU
(Text with EEA relevance)
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on the Functioning of the European Union, and in particular Article 189(2) thereof,
Having regard to the proposal from the European Commission,
After transmission of the draft legislative act to the national parliaments,
Acting in accordance with the ordinary legislative procedure (1),
Whereas:
(1) |
Space technology, data and services have become indispensable in the daily lives of Europeans and play an essential role in preserving many strategic interests. The Union’s space industry is already one of the most competitive in the world. However, the emergence of new players and the development of new technologies are revolutionising traditional industrial models. It is therefore crucial that the Union remains a leading international player with extensive freedom of action in the space domain, that it encourages scientific and technical progress and support the competitiveness and innovation capacity of space sector industries within the Union, in particular small and medium-sized enterprises, start-ups and innovative businesses. |
(2) |
The possibilities that space offers for the security of the Union and its Member States should be exploited as referred to in particular in the Global Strategy for the European Union's Foreign and Security Policy of June 2016, while retaining the civil nature of the programme and respecting the possible neutrality or non-alignment provisions stipulated in the constitutional law of Member States. The space sector’s development has historically been linked to security. In many cases, the equipment, components and instruments used in the space sector as well as space data and services are dual-use ▌. However, the Union’s security and defence policy is determined within the framework of the Common Foreign and Security Policy, in accordance with Title V TEU . |
(3) |
The Union has been developing its own space initiatives and programmes since the end of the 1990s, namely the European Geostationary Navigation Overlay Service (EGNOS) and then Galileo and Copernicus, which respond to the needs of Union citizens and the requirements of public policies. ▌ The continuity of those initiatives should be ensured and the services they provide should be improved, so that they meet the new needs of users, remain at the forefront in view of new technology development and the transformations in the digital and information and communications technology domains ▌ and are able to meet political priorities such as climate change, including monitoring changes in the polar region, transport , security and defence. |
(3a) |
Synergies between the transport, space and digital sector needs to be exploited in order to foster the broader use of new technologies (such as e-call, digital tachograph, traffic supervisions and management, autonomous driving, unmanned vehicles and drones) and tackle the needs of secure and seamless connectivity, robust positioning, inter modality and interoperability, thus enhancing the competitiveness of transport services and industry. |
(3b) |
To fully reap the benefits of the Programme, in all Member States and by all their citizens, it is also essential to promote the use and the uptake of the data, information and services provided, as well as the support the development of downstream applications based on those data, information and services. To that end, the Member States, the Commission and the responsible entities could notably periodically run the information campaigns regarding the benefits of the Programme. |
(4) |
To achieve the objectives of freedom of action , independence and security, a prerequisite is for the Union to benefit from an autonomous access to Space and be able to use it safely. It is therefore essential that the Union supports autonomous, reliable and cost-effective access to space, especially as regards critical infrastructure and technology, public security and the security of the Union and its Member States. The Commission should therefore have the possibility to aggregate launch services at European level, both for its own needs and, at their request, for those of other entities, including Member States, in conformity with the provisions of Article 189(2) of the Treaty. To remain competitive in a fast evolving market, it is also crucial that the Union continues to have access to modern, efficient and flexible launch infrastructure facilities and to benefit from appropriate launch systems. Therefore, without prejudice to measures taken by Member States and the European Space Agency, the Programme might support adaptations to the space ground infrastructure , including new developments, which are necessary for the implementation of the Programme and adaptations, including technology development, to space launch systems which are necessary for launching satellites, including alternative technologies and innovative systems, for the implementation of the Programme's components. Those activities should be implemented in accordance with the Financial Regulation and ▌ with the view of achieving a better cost efficiency for the Programme. In view that there is no dedicated budget, the actions in support of access to space would be without prejudice to the implementation of the Programme components. |
(5) |
To strengthen the competitiveness of the Union space industry and gain capacities in designing, building and operating its own systems, the Union should support the creation, growth, and development of the entire space industry. The emergence of a business- and innovation-friendly model should be supported at European, regional and national levels by initiatives such as space hubs that bring together the space, digital and other sectors , as well as users. Those space hubs should aim to foster entrepreneurship and skills while pursuing synergies with the digital innovation hubs . The Union should foster the creation and expansion of Union-based space companies to help them succeed, including by supporting them in accessing risk finance in view of the lack, within the Union, of appropriate access to private equity for space start-ups and by fostering demand (first contract approach). |
(5xx) |
The space value chain is generally segmented as: i) upstream, comprising activities leading to an operational space system, including development, manufacturing and launch activities and the operations of such system; and ii) downstream, covering the provision of space-related services, and products to the users. Digital platforms are also an important element supporting the development of the space sector, allowing access to data and products as well as toolboxes, storage and computing facilities. |
(5x) |
In the area of space, the Union exercises its competences in accordance with article 4(3) TFEU. The Commission should ensure the coherence of activities performed in the context of the programme. |
(5a) |
Whereas a number of Member States have a tradition of active space related industries, the need to develop and mature space industries in Member States with emerging capabilities and the need to respond to the challenges to the traditional space industries posed by ‘New Space’ should be recognised. Actions to develop space industry capacity across the Union and facilitate collaboration across space industry active in all Member States should be promoted. |
(5b) |
Actions under the Programme should build on and benefit from existing national and European capacities (i.e. capacities which exist at the time the action is being carried out). |
(6) |
Owing to its coverage and its potential to help resolve global challenges, ▌ space activities have a strong international dimension. In close coordination with the Member States, and with their agreement, the relevant bodies of the EU Space Programme might participate in matters pertaining to the Space Programme, in international cooperation and to collaborate in relevant sectoral UN bodies. For matters relating to the Space Programme of the Union (‘Programme’), the Commission might coordinate , on behalf of the Union, and in its field of competence, activities on the international scene ▌, in particular to defend the interests of the Union and its Member States in international fora, including in the area of frequencies as regards the Programme, without prejudice to Member States competence in this area. It is particularly important that the Union, represented by the Commission, collaborates in the bodies of the International Cospas-Sarsat Programme. |
(6a) |
International cooperation is paramount to promote the role of the Union as a global actor in the space sector and the Union's technology and industry, fostering a fair competition at international level, bearing in mind the need to ensure the reciprocity of the rights and obligations of the parties, and to encourage cooperation in the field of training. International cooperation is a key element of the Space Strategy for Europe. The Commission will use the EU space programme to contribute to and benefit from international efforts through initiatives, to promote European technology and industry internationally (for example bi-lateral dialogues, industry workshops, support for SME internationalisation), and to facilitate access to international markets and foster fair competition, also leveraging economic diplomacy initiatives. European space diplomacy initiatives should be in full coherence and complementarity with the existing EU policies, priorities and instruments, while, the Union has a key role to play together with the Union Member States to remain at the forefront of the international scene . |
(7) |
Without prejudice to the competence of Member States, the Commission should promote, alongside ▌ the High Representative and in close coordination with Member States , responsible behaviour in space when implementing the programme, including to reduce space debris proliferation and explore the possibility for accession of the European Union to the relevant UN Treaties and Conventions and make, if necessary, appropriate proposals . |
(8) |
The Programme shares similar objectives with other Union programmes, notably Horizon Europe, InvestEU Fund, European Defence Fund and Funds under Regulation (EU) [Common Provisions Regulation]. Therefore, cumulative funding from those programmes should be foreseen, provided they do cover the same costs , in particular through arrangements for complementary funding from Union programmes where management modalities permit — either in sequence, in an alternating way, or through the combination of funds including for the joint funding of actions, allowing, where possible, innovation partnerships and blending operations. During the implementation of the Programme, the Commission should therefore promote synergies with other related Union programmes and financial instruments, which would allow, where possible, use of access to risk finance, innovation partnerships, cumulative or blended funding. It should also ensure synergies and coherence between the solutions developed under those programmes, notably Horizon Europe, and the solutions developed under the Space Programme. |
(8a) |
In accordance with Article 191(3) of the Financial Regulation, in no circumstances are the same costs to be financed twice by the Union budget, for example by both Horizon Europe and the Space Programme. |
(9) |
The policy objectives of this Programme will also be addressed as eligible areas for financing and investment operations through financial instruments and budgetary guarantee of the InvestEU Fund, in particular under its sustainable infrastructure and research, innovation and digitisation policy windows. Financial support should be used to address market failures or sub-optimal investment situations, in a proportionate manner and actions should not duplicate or crowd out private financing or distort competition in the internal market. Actions should have a clear European added value. |
(10) |
Coherence and synergies between Horizon Europe and the Programme will foster a competitive and innovative European space sector; reinforce Europe’s autonomy in accessing and using space in a secure and safe environment; and strengthen Europe’s role as a global actor. Breakthrough solutions in Horizon Europe will be supported by data and services made available by the Programme to the research and innovation community. |
(10a) |
To maximise the socio-economic return from the Programme, it is essential to maintain state-of-the-art systems, to upgrade them to meet evolving users' needs and that new developments occur in the space-enabled downstream applications sector. The Union should support activities relating to research and technology development, or the early phases of evolution relating to the infrastructures established under the Programme, as well as the research and development activities relating to applications and services based on the systems established under the programme, thereby stimulating upstream and downstream economic activities. The appropriate instrument at Union level to finance those research and innovation activities is Horizon Europe established by Regulation (EU) No XXX/XXXX. However, a very specific part of development activities should be financed from the budget allocated to the Galileo and EGNOS components under this Regulation, notably where such activities concern fundamental elements such as Galileo-enabled chipsets and receivers, which will facilitate the development of applications across different sectors of the economy. Such financing should nevertheless not jeopardise the deployment or exploitation of the infrastructures established under the Programmes. |
(10x) |
To ensure the competitiveness of the European space industry in the future, the Programme should support the development of advanced skills in space-related fields and support education and training activities, promoting equal opportunities, including gender equality, in order to realise the full potential of Union citizens in that area. |
(10b) |
Infrastructure dedicated to the Programme may require additional research and innovation, which may be supported under Horizon Europe, aiming for coherence with activities in this domain by the European Space Agency. Synergies with Horizon Europe should ensure that research and innovation needs of the space sector are identified and established as part of the strategic research and innovation planning process. Space data and services made freely available by the Programme will be used to develop breakthrough solutions through research and innovation, including in Horizon Europe, in support to the Union policy priorities. The strategic planning process under Horizon Europe will identify research and innovation activities that should make use of Union-owned infrastructures such as Galileo, EGNOS and Copernicus. Research infrastructures, in particular in situ observing networks will constitute essential elements of the in situ observation infrastructure enabling the Copernicus Services. |
(11) |
It is important that the Union own all tangible and intangible assets created or developed through public procurement that it finances as part of its space programme. In order to ensure full compliance with any fundamental rights relating to ownership, the necessary arrangements should be made with any existing owners. Such ownership by the Union should be without prejudice to the possibility for the Union, in accordance with this Regulation and where it is deemed appropriate on the basis of a case-by-case assessment, to make those assets available to third parties or to dispose of them. |
(11a) |
To encourage the widest possible use of the services offered by the Programme, it would be useful to stress that data, information and services are provided without warranty without prejudice to obligations imposed by legally binding provisions. |
(11b) |
The Commission, in performing certain of its tasks of a non-regulatory nature, may have recourse, as required and insofar as necessary, to the technical assistance of certain external parties. Other entities involved in the public governance of the Programme may also make use of the same technical assistance in performing tasks entrusted to them under this Regulation. |
(12) |
This Regulation lays down a financial envelope for the Programme which is to constitute the prime reference amount, within the meaning of point 17 of the Interinstitutional Agreement of 2 December 2013 between the European Parliament, the Council and the Commission on budgetary discipline, on cooperation in budgetary matters and on sound financial management, for the European Parliament and the Council during the annual budgetary procedure. |
(13) |
Reflecting the importance of tackling climate change in line with the Union's commitments to implement the Paris Agreement and the United Nations Sustainable Development Goals, this Programme will contribute to mainstream climate actions and to the achievement of an overall target of 25 % of the EU budget expenditures supporting climate objectives. Relevant actions will be identified during the Programme's preparation and implementation, and reassessed in the context of the relevant evaluations and review processes. |
(14) |
▌ Revenue generated by the components of the Programme should accrue to the Union in order to partially offset the investments that it has already made, and that revenue should be used to support the achievements of the objectives of the Programme. For the same reason, it should be possible to provide for a revenue-sharing mechanism in contracts concluded with private sector entities. |
(15) |
As the Programme is, in principle, financed by the Union, procurement contracts concluded under this programme for activities financed by the Programme should comply with Union rules. In that context, the Union should also be responsible for defining the objectives to be pursued as regards public procurement. It is to be noted that the Financial Regulation provides that, on the basis of the results of an ex ante assessment, the Commission may rely on the systems and the procedures of the persons or entities implementing Union funds. Specific adjustments necessary to these systems and procedures, as well as the arrangements for the prolongation of the existing contracts, should be defined in the corresponding financial framework partnership agreement or contribution agreement. |
(16) |
The Programme relies on complex and constantly changing technologies. The reliance on such technologies results in uncertainty and risk for public contracts concluded under this programme, insofar as those contracts involve long-term commitments to equipment or services. Specific measures concerning public contracts are therefore required in addition to the rules laid down in the Financial Regulation. It should thus be possible to award a contract in the form of a conditional stage-payment contract, introduce an amendment, under certain conditions, in the context of its performance, or impose a minimum level of subcontracting , notably in order to enable the participation of small and medium-sized enterprises and start-ups . Lastly, given the technological uncertainties that characterise the components of the Programme, contract prices cannot always be forecast accurately and it should therefore be possible to conclude contracts without stipulating a firm fixed price and to include clauses to safeguard the financial interests of the Union. |
(16a) |
To foster public demand and public sector innovation, the Programme should promote the use of data, information and services of the Programme to support the development of customised solutions by industry and SMEs at local and regional levels through space-related innovation partnerships, as referred to in point 7 of Annex 1 of the Financial Regulation, allowing to cover all stages from development up to deployment and procurement of customised interoperable space solutions for public services. |
(17) |
In order to meet the objectives of the Programme, it is important to be able to call, where appropriate, on capacities offered by Union public and private entities active in the space domain and also to be able to work at international level with third countries or international organisations. For that reason, provision must be made for the possibility of using all the relevant tools and management methods provided for by Treaty and the Financial Regulation ▌ and joint procurement procedures. |
(18) |
On grants more specifically, experience has shown that user and market uptake and general outreach work better in a decentralized manner than top-down by the Commission. Vouchers, which are a form of financial support from a grant beneficiary to third parties, have been among the actions with the highest success rate to new entrants and small and medium-sized enterprises. However, they have been hindered by the ceiling on financial support imposed by the Financial Regulation. This ceiling should therefore be raised for the EU Space Programme in order to keep pace with the growing potential of market applications in the space sector. |
(19) |
The types of financing and the methods of implementation under this Regulation should be chosen on the basis of their ability to achieve the specific objectives of the actions and to deliver results, taking into account, in particular, the costs of controls, the administrative burden, and the expected risk of non-compliance. This should include consideration of the use of lump sums, flat rates and unit costs, as well as financing not linked to costs as referred to in [Article 125(1)] of the Financial Regulation. |
(20) |
Regulation (EU, Euratom) No [the new FR] (the ‘Financial Regulation’) applies to this Programme. It lays down rules on the implementation of the Union budget, including the rules on grants, prizes, procurement, indirect implementation, financial assistance, financial instruments and budgetary guarantees. |
(21) |
Pursuant to [reference to be updated as appropriate according to a new decision on OCTs: Article 88 of Council Decision …/…/EU], persons and entities established in overseas countries and territories (OCTs) should be eligible for funding subject to the rules and objectives of the Programme and possible arrangements applicable to the Member State to which the relevant overseas country or territory is linked. |
(22) |
Horizontal financial rules adopted by the European Parliament and the Council on the basis of Article 322 of the Treaty on the Functioning of the European Union apply to this Regulation. These rules are laid down in the Financial Regulation and determine in particular the procedure for establishing and implementing the budget through grants, procurement, prizes, indirect implementation, and provide for checks on the responsibility of financial actors. Rules adopted on the basis of Article 322 TFEU also concern the protection of the Union's budget in case of generalised deficiencies as regards the rule of law in the Member States, as the respect for the rule of law is an essential precondition for sound financial management and effective EU funding. |
(23) |
In accordance with Regulation (EU, Euratom) No 2018/1046 of the European Parliament and of the Council (2) (the ‘Financial Regulation’), Council Regulation (EC, Euratom) No 2988/95 (3) , and Council Regulation (Euratom, EC) No 2185/96 (4), the financial interests of the Union are to be protected through proportionate measures, including the prevention, detection, correction and investigation of irregularities and fraud, the recovery of funds lost, wrongly paid or incorrectly used and, where appropriate, the imposition of administrative sanctions. In particular, in accordance with Regulation (EU, Euratom) No 883/2013 and Regulation (Euratom, EC) No 2185/96, the European Anti-Fraud Office (OLAF) may carry out administrative investigations, including on-the-spot checks and inspections, with a view to establishing whether there has been fraud, corruption or any other illegal activity affecting the financial interests of the Union. In accordance with Regulation (EU) 2017/1939, the European Public Prosecutor's Office (‘the EPPO’) may investigate and prosecute fraud and other criminal offences affecting the financial interests of the Union as provided for in Directive (EU) 2017/1371 of the European Parliament and of the Council (5). In accordance with the Financial Regulation, any person or entity receiving Union funds is to fully cooperate in the protection of the Union’s financial interests, to grant the necessary rights and access to the Commission, OLAF, the EPPO and the European Court of Auditors (ECA) and to ensure that any third parties involved in the implementation of Union funds grant equivalent rights. |
(24) |
Third countries which are members of the ▌ EEA ▌ may participate in Union programmes in the framework of the cooperation established under the EEA agreement, which provides for the implementation of the programmes by a decision under that agreement. Third countries may also participate on the basis of other legal instruments. A specific provision should be introduced in this Regulation to grant the necessary rights for and access to the authorizing officer responsible, ▌ OLAF ▌ as well as the European Court of Auditors to comprehensively exert their respective competences. |
(25) |
Sound public governance of the Programme requires the clear distribution of responsibilities and tasks among the different entities involved to avoid unnecessary overlap and reduce cost overruns and delays. All the actors of the governance should support, in their field of competence and in accordance with their responsibilities, the achievement of objectives of the Programme. |
(26) |
Member States have long been active in the field of space. They have systems, infrastructure, national agencies and bodies linked to space. They can therefore make a big contribution to the Programme, especially its implementation ▌. They might cooperate ▌ with the Union to promote the Programme’s services and applications. The Commission might be able to mobilise the means at Member States' disposal, benefit from their assistance and, subject to mutually agreed conditions, entrust the Member States with non-regulatory tasks in the execution of the Programme ▌. Moreover, the Member States concerned should take all necessary measures to ensure the protection of the ground stations established on their territories. In addition, Member States and the Commission should work together and with appropriate international bodies and regulatory authorities to ensure that the frequencies necessary for the Programme are available and protected at the adequate level to allow for the full development and implementation of applications based on the services offered, in compliance with Decision No 243/2012/EU of the European Parliament and of the Council of 14 March 2012 establishing a multiannual radio spectrum policy programme (6). |
(26a) |
In certain duly justified circumstances, the Agency might entrust specific tasks to Member States or group of Member States. That entrustment should be limited to activities the Agency is not in the capacity to execute itself and should not prejudice the governance of the Programme and the allocation of tasks as defined in this Regulation. |
(27) |
As promoter of the Union’s general interest, it falls to the Commission to supervise the implementation of the Programme, assume overall responsibility and promote their use. In order to optimise the resources and competences of the various stakeholders, the Commission should be able to delegate certain tasks. Moreover the Commission is the best placed to determine the main requirements necessary to implement systems and services evolution |
(28) |
The mission of the European Union Agency for the Space Programme (‘the Agency’), which replaces and succeeds the European GNSS Agency established by Regulation (EU) No 912/2010, is to contribute to the Programme, particularly as regards security accreditation as well as market and downstream applications development . Certain tasks linked to those areas should therefore be assigned to the Agency. In relation to security in particular, and given its experience in this area, the Agency should be responsible for the security accreditation tasks for all the Union actions in the space sector. Building on its positive track-record in promoting the user and market uptake of Galileo and EGNOS, the Agency should also be entrusted with user uptake activities relating to the Programme’s components other than Galileo and EGNOS, as well as downstream application development activities for all the Programme’s components. This would allow taking benefit of economies of scale and providing an opportunity for the development of applications based on several Programme’s components (integrated applications) Those activities should however not prejudice the service and user uptake activities entrusted by the Commission to Copernicus entrusted entities. The entrustment of downstream applications development to the Agency does not prevent other entrusted entities to develop downstream applications. Furthermore, it should perform the tasks which the Commission confers on it by means of one or more contribution agreements under a financial framework partnership agreement covering ▌ other specific tasks associated with the programme. When entrusting tasks to the Agency, adequate human, administrative and financial resources should be made available. |
(28a) |
Galileo and EGNOS are complex systems that require intensive coordination. Considering that Galileo and EGNOS are Union components, that coordination should be performed by a Union institution or a Union body. Building on the expertise developed in the past years, the Agency is the most appropriate body to coordinate all the operational tasks relating to the exploitation of those systems, except for the international cooperation. The Agency should therefore be entrusted with the management of the exploitation of EGNOS and Galileo. Nevertheless, this does not mean that the Agency should perform alone all the tasks relating to the exploitation of the systems. It could rely on the expertise of other entities, in particular the European Space Agency. This should include the activities on systems evolution, design and development of parts of the ground segment and satellites which should be entrusted to the European Space Agency. The allocation of tasks to other entities builds on the competence of such entities and should avoid duplication of work. |
(29) |
The European Space Agency is an international organisation with extensive expertise in the space domain and which entered into a Framework Agreement with the European Community in 2004. It is therefore an important partner in the implementation of the Programme, with which ▌ appropriate relations should be established. In this regard, and in compliance with the Financial Regulation, the Commission should conclude a financial framework partnership agreement with the European Space Agency and the Agency that governs all financial relations between the Commission, the Agency and the European Space Agency and ensures their consistency and conform to the Framework Agreement concluded between the European Community and the European Space Agency, in particular with Articles 2 and 5 thereof. However, as the European Space Agency is not a Union body and is not subject to Union law, it is essential provides that the European Space Agency takes appropriate measures to ensure the protection of the interests of the Union and its Member States and as regards budget implementation, tasks entrusted to it complies with the decisions taken by the Commission . The agreement should also contain all the clauses necessary to safeguard the Union’s financial interests. |
(30) |
The functioning of SATCEN as a European autonomous capability providing access to information and services resulting from exploitation of relevant space assets and collateral data was already acknowledged in the implementation of Decision No 541/2014/EU . |
(31) |
To structurally embed the user representation in the governance of GOVSATCOM and to aggregate user needs and requirements across national and civil-military boundaries, the relevant Union entities with close user-ties, such as the European Defence Agency, the European Border and Coast Guard Agency, the European Maritime Safety Agency, the European Fisheries Control Agency, the European Union Agency for Law Enforcement Cooperation, the Military Planning and Conduct Capability/Civilian Planning and Conduct Capability and the Emergency Response Coordination Centre may have coordinating roles for specific user groups. At an aggregated level the Agency should coordinate user-related aspects for the civilian ▌ user communities and may monitor operational use, demand, conformance to requirements and evolving needs and requirements. |
(32) |
Owing to the importance of space-related activities for the Union economy and the lives of Union citizens, the dual-use nature of the systems and of the applications based on those systems, achieving and maintaining a high degree of security should be a key priority for the Programme, particularly in order to safeguard the interests of the Union and of its Member States, including in relation to classified and other sensitive non-classified information. |
(33) |
Without prejudice to Member States' prerogatives in the area of national security, the Commission and the High Representative, each within their respective area of competence, should ensure the security of the Programme in accordance with this Regulation and, where relevant, Council Decision 201x/xxx/CFSP (7). |
(33a) |
Given the specific expertise of EEAS and its regular contact with administrations of third countries and international organisations, the EEAS may assist the Commission in performing certain of its tasks relating to the security of the Programme in the field of external relations, in accordance with Council Decision 2010/427/EU. |
(34) |
Without prejudice to the sole responsibility of the Member States in the area of national security, as provided for in Article 4(2) TEU, and to the right of the Member States to protect their essential security interests in accordance with Article 346 TFEU, a specific governance of security should be established to ensure a smooth implementation of the Programme. That governance ▌ should be based on three key principles. Firstly, it is imperative that Member States’ extensive, unique experience in security matters be taken into consideration to the greatest possible extent . Secondly, in order to prevent conflicts of interest and any shortcomings in applying security rules, operational functions must be segregated from security accreditation functions. Thirdly, the entity in charge of managing all or part of the components of the Programme is also the best placed to manage the security of the tasks entrusted to it. The security of the Programme will build upon the experience gained in the implementation of Galileo, EGNOS and Copernicus over the past years. Sound security governance also requires that roles be appropriately distributed among the various players. As it is responsible for the Programme, the Commission , without prejudice to Member States prerogatives in the area of national security, should determine the general security requirements applicable to each of the programme’s components. |
(34x) |
The cybersecurity of European space infrastructures, both ground and space, is key to ensuring the continuity of the operations of the systems and service continuity. The need to protect the systems and their services againts cyberattacks, including by making use of new technologies, should therefore be duly taken into account when establishing security requirements. |
(34a) |
A security monitoring structure should be identified by the Commission when appropriate after the risk and threat analysis. This security monitoring body should be the entity responding to instructions developed under the scope of Decision 201x/xxx/CFSP. For Galileo, that body should be the Galileo Security Monitoring Centre. With regard to the implementation of Decision 20xx/xxx/CFSP, the role of the Security Accreditation Board will be limited to providing the Council and/or the HR with inputs linked to the security accreditation of the system. |
(35) |
In view of the uniqueness and complexity of the Programme and its link to security, recognised and well established principles should be followed for security accreditation. It is thus indispensable that security accreditation activities be carried out on the basis of collective responsibility for the security of the Union and its Member States, by endeavouring to build consensus and involving all those concerned with the issue of security, and that a procedure for permanent risk monitoring be put in place. It is also imperative that technical security accreditation activities be entrusted to professionals who are duly qualified in the field of accrediting complex systems and who have an adequate level of security clearance. |
(35x) |
EU classified information (EUCI) is to be handled in accordance with the security rules as set out in Commission Decision (EU, Euratom) 2015/444 and Council Decision 2013/488/EU. In accordance with the Council Decision, the Member States are to respect the principles and minimum standards laid down therein, in order to assure that an equivalent level of protection is afforded to EUCI. |
(36) |
To ensure the secure exchange of information, appropriate agreements should be established to ensure the protection of EU classified information provided to third countries and international organisations in the context of the Programme. |
(37) |
One of the main objectives of the Programme consists in ensuring its security and strategic autonomy, strengthening its capacity to act in numerous sectors, in particular security, and taking advantage of the possibilities that space offers for the security of the Union and its Member States. This objective requires strict rules on the eligibility of the entities that may take part in activities financed under the Programme which require access to EU classified information (EUCI) or to sensitive non-classified information. |
(37a) |
In the context of the Programme, there is some information which, although not classified, is to be handled according to acts already in force or to national laws, rules and regulations, including through distribution limitations. |
(38) |
A growing number of key economic sectors, in particular transport, telecommunications, agriculture and energy, increasingly use satellite navigation and Earth observation systems. The Programme should exploit the synergies between those sectors, taking into consideration the benefits that space technologies bring to those sectors, support the development of compatible equipment and promote the development of relevant standards and certifications. Synergies between space activities and activities linked to the security and defence of the Union and its Member States are also increasing . Having full control of satellite navigation should therefore guarantee the Union's technological independence, including in the longer term for the components of infrastructure equipment, and ensure its strategic autonomy. |
(39) |
The aim of Galileo is to establish and operate the first global satellite navigation and positioning infrastructure specifically designed for civilian purposes, which can be used by a variety of public and private actors in Europe and worldwide. Galileo functions independently of other existing or potential systems, thus contributing amongst other things to the strategic autonomy of the Union. The second generation of the system should be progressively rolled out before 2030, initially with reduced operational capacity. |
(40) |
The aim of EGNOS is to improve the quality of open signals from existing global navigation satellite systems, in particular those emitted by the Galileo system. The services provided by EGNOS should cover, as a priority, the Member States’ territories geographically located in Europe, including for this purpose Cyprus, the Azores, the Canary Islands and Madeira by the end of 2026. In the aviation domain, all those territories should benefit from EGNOS for air navigation services for all the performance levels supported by EGNOS . Subject to technical feasibility and, for the safety of life, on the basis of international agreements, the geographical coverage of the services provided by EGNOS could be extended to other regions of the world. Without prejudice to Regulation (EU) 2018/1139 and the necessary monitoring of Galileo service quality for aviation purposes, it should be noted that while the signals emitted by Galileo may effectively be used to facilitate the positioning of aircraft, in all phase of flight, through the necessary augmentation system (local, regional, on board avionics) only local or regional augmentation systems such as EGNOS in Europe may constitute air-traffic management (ATM) services and air navigation services (ANS). The EGNOS safety-of-life service should be provided in compliance with applicable ICAO standards. |
(41) |
It is imperative to ensure the sustainability ▌ of the ▌ Galileo and EGNOS systems and the continuity, availability, accuracy, reliability and security of their services . In a changing environment and rapidly developing market, their development should also continue and new generations of these systems , including associated space and ground segment evolution, should be prepared. |
▌ |
|
(43) |
The term ‘commercial service’ used in Regulation (EU) No 1285/2013 of the European Parliament and of the Council of 11 December 2013 on the implementation and exploitation of European satellite navigation systems and repealing Council Regulation (EC) No 876/2002 and Regulation (EC) No 683/2008 of the European Parliament and of the Council (8) is no longer suited in the light of the evolution of that service. Instead two separate services have been identified, namely the high-accuracy service and the authentication service (9). |
(44) |
In order to optimise the use of the services provided, the services provided by Galileo and EGNOS should be compatible and interoperable with one another , including at users' level, and, insofar as possible, with other satellite navigation systems and with conventional means of radio navigation where such compatibility and interoperability is laid down in an international agreement, without prejudice to the objective of strategic autonomy of the Union. |
(45) |
Considering the importance for Galileo and EGNOS of their ground-based infrastructure and the impact thereof on their security, the determination of the location of the infrastructure should be made by the Commission. The deployment of the ground-based infrastructure of the systems should continue to follow an open and transparent process , which could involve the Agency where appropriate based on its field of competence . |
(46) |
To maximise the socio-economic benefits of Galileo and EGNOS, while contributing to Union's strategic autonomy, notably in sensitive sectors and in the area of safety and security, the use of the services provided by EGNOS and Galileo in other Union policies should be promoted also by regulatory means where this is justified and beneficial. Measures to encourage the use of those services in all Member States are also an important part of the process. |
(47) |
Copernicus should ensure an autonomous access to environmental knowledge and key technologies for Earth observation and geo-information services, thereby supporting the Union to achieve independent decision-making and actions in the fields of the environment, climate change, marine, maritime, agriculture and rural development, preservation of cultural heritage, civil protection, land and infrastructure monitoring , security, as well as the digital economy, among others. |
(47b) |
The Programme’s components should stimulate the application of digital technology in space systems, data and service distribution, downstream development. In that context the particular attention should be given to the initiatives and actions proposed by the Commission in its Communication of 14 September 2016 entitled ‘Connectivity for a Competitive Digital Single Market — Towards a European Gigabit Society’ and Communication of 14 September 2016 entitled ‘5G for Europe: An Action Plan’. |
(48) |
Copernicus should build on, ensure continuity with and enhance the activities and achievements under Regulation (EU) No 377/2014 of the European Parliament and of the Council (10) establishing the Union Earth observation and monitoring programme (Copernicus) as well as Regulation (EU) No 911/2010 of the European Parliament and of the Council on the European Earth monitoring programme (GMES) and its initial operations (11) establishing the predecessor Global Monitoring for Environment and Security (GMES) programme and the rules for implementation of its initial operations, taking into account recent trends in research, technological advances and innovations impacting the Earth observation domain, as well as developments in big data analytics and Artificial Intelligence and related strategies and initiatives at Union level (12). For the development of new assets, the Commission should work closely with Member States, the European Space Agency, EUMETSAT and, where appropriate, other entities owning relevant space and in situ assets. To the greatest extent possible, it should make use of capacities for space-borne observations of the Member States, the European Space Agency, EUMETSAT (13), as well as other entities, including commercial initiatives in Europe, thereby also contributing to the development of a viable commercial space sector in Europe. Where feasible and appropriate, it should also make use of the available in situ and ancillary data provided mainly by the Member States in accordance with Directive 2007/2/EC (14). The Commission should work together with the Member States and the European Environment Agency to ensure an efficient access and use of the in-situ data sets for Copernicus. |
(49) |
Copernicus should be implemented in accordance with the objectives of Directive 2003/98/EC of the European Parliament and of the Council on the re-use of public sector information amended by Directive 2013/37/EU of the European Parliament and of the Council of 26 June 2013 amending Directive 2003/98/EC on the re-use of public sector information (15), in particular transparency, the creation of conditions conducive to the development of services, and contributing to economic growth and job creation in the Union. Copernicus data and Copernicus information should be available freely and openly. |
(49a) |
The full potential of Copernicus for the Union society and economy should be fully unleashed beyond direct beneficiaries by means of an intensification of user uptake measures, which requires further action to render the data usable by non-specialists and thereby stimulate growth, job creation and knowledge transfers. |
(50) |
Copernicus is a user-driven programme. Its evolution should therefore be based on the evolving requirements of the Copernicus core users, while also recognising the emergence of new user communities either public or private. Copernicus should base itself on an analysis of options to meet evolving user needs, including those related to implementation, and monitoring of Union policies which require the continuous, effective involvement of users, particularly regarding the definition and validation of requirements. |
(51) |
Copernicus is already operational. It is therefore important to ensure the continuity of the infrastructure and services already in place, whilst adapting to the changing user needs, market environment, notably the emergence of private actors in space (‘New Space’) and socio-political developments for which a rapid response is needed. This requires an evolution of the functional structure of Copernicus to better reflect the shift from the first stage of operational services to the provision of advanced and more targeted services to new user communities and the fostering of added-value downstream markets. To this end, its further implementation should adopt an approach following the data value chain, i.e. data acquisition, data and information processing, distribution and exploitation, user ▌ market uptake and capacity building activities, while the strategic planning process under Horizon Europe will identify research and innovation activities that should make use of Copernicus. |
(52) |
With regard to data acquisition, the activities under Copernicus should aim at completing and maintaining the existing space infrastructure, preparing the long-term replacement of the satellites at the end of their lifetime, as well as initiating new missions addressing in particular new observation systems to support meeting the challenge of global climate change (e.g. anthropogenic CO2 and other greenhouse gas emissions monitoring). Activities under Copernicus should expand their global monitoring coverage over the polar regions and support environmental compliance assurance, statutory environmental monitoring and reporting and innovative environmental applications in agriculture, forest, water and marine resources management and cultural heritage (e.g. for crops monitoring, water management and enhanced fire monitoring). In doing so, Copernicus should leverage and take maximum advantage of the investments made under the previous funding period (2014-2020), including those made by Member States, ESA and EUMETSAT, while exploring new operational and business models to further complement the Copernicus capacities. Copernicus might also build on successful partnerships with Member States to further develop its security dimension under appropriate governance mechanisms, in order to respond to evolving user needs in the security domain. |
(53) |
As part of the data and information processing function, Copernicus should ensure the long-term sustainability and further development of ▌ Copernicus services, providing information in order to satisfy public sector needs and those arising from the Union’s international commitments, and to maximise opportunities for commercial exploitation. In particular, Copernicus should deliver, at the local, national, European and global scale, information on the composition of the atmosphere and air quality ; information on the state and dynamics of the oceans; information in support of land and ice monitoring supporting the implementation of local, national and Union policies; information in support of climate change adaptation and mitigation; geospatial information in support of emergency management, including through prevention activities, environmental compliance assurance, as well as civil security including support for the Union's external action. The Commission should identify appropriate contractual arrangements fostering the sustainability of service provision. |
(54) |
In the implementation of the Copernicus Services, the Commission should rely on competent entities, relevant Union agencies, groupings or consortia of national bodies, or any relevant body potentially eligible for a contribution agreement. In the selection of these entities, the Commission should ensure that there is no disruption in the operations and provision of services and that, where security-sensitive data is concerned, the entities concerned have early warning and crisis monitoring capabilities within the context of the Common Foreign and Security Policy (CFSP) and, in particular, of the Common Security and Defence Policy (CSDP). In accordance with Article 154 of the Financial Regulation, persons and entities entrusted with the implementation of Union funds are obliged to respect the principle of non-discrimination towards all Member States; this principle should be ensured through the relevant contribution agreements relating to the provision of the Copernicus services. |
(55) |
The implementation of the Copernicus services should facilitate the public uptake of services as users would be able to anticipate the availability and evolution of services as well as cooperation with Member States and other parties. To this end, the Commission and its entrusted entities providing services should engage closely with core user communities across Europe in further developing the Copernicus services and information portfolio to ensure that evolving public sector and policy needs are met and thus the uptake of Earth observation data can be maximised. The Commission and Member States should work together to develop the in-situ component of Copernicus and to facilitate the integration of in-situ datasets with space datasets for upgraded Copernicus services. |
(55a) |
Copernicus’s free, full and open data policy has been evaluated as one of the most successful elements of Copernicus’ implementation and has been instrumental in driving strong demand for its data and information, establishing Copernicus as one of the largest EO data provider in the world. There is a clear need to guarantee the long-term and secure continuity of the free, full and open data provision and access should be safeguarded in order to realise the ambitious goals as set out in the Space Strategy for Europe (2016). Copernicus data is created primarily for the benefit of European citizens, and by making this data freely available worldwide collaboration opportunities are maximized for EU businesses and academics and contribute to an effective European space ecosystem. Should any limitation be placed on the access to Copernicus data and information, it should be in line with the Copernicus data policy as defined in this Regulation and Commission Delegated Regulation (EU) No 1159/2013. |
(56) |
The data and information produced in the framework of Copernicus should be made available on a full, open and free-of-charge basis subject to appropriate conditions and limitations, in order to promote their use and sharing, and to strengthen the European Earth observation markets, in particular the downstream sector, thereby enabling growth and job creation in the Union. Such provision should continue to provide data and information with high levels of consistency, continuity, reliability, and quality. This calls for large-scale and user-friendly access to, processing and exploitation of Copernicus data and information, at various timeliness levels, for which the Commission should continue to follow an integrated approach, both at EU and Member States level, enabling also integration with other sources of data and information. Therefore the Commission should take the necessary measures to ensure that Copernicus data and information is easily and effieciently accessible and usable, notably by promoting the Data and Information Access Services (DIAS) within Member States and when possible fostering interoperability between the existing European EO data infrastructures to establish synergies with these assets in order to maximise and strengthen market uptake of Copernicus data and information. |
(57) |
The Commission should work with data providers to agree licensing conditions for third-party data to facilitate their use within Copernicus, in compliance with this Regulation and applicable third-party rights. As some Copernicus data and Copernicus information, including high-resolution images, may have an impact on the security of the Union or its Member States, in duly justified cases, measures in order to deal with risks and threats to the security of the Union or its Member States may be adopted. |
(58) |
The provisions of legal acts adopted under previous regulations without ending date should remain valid unless in contradiction with the new regulation. This concerns in particular the Commission Delegated Regulation (EU) No 1159/2013 establishing the registration and licensing conditions for GMES users and defining criteria for restricting access to GMES dedicated data and GMES service information (16). |
(59) |
To promote and facilitate the use of Earth observation data and technologies both by local , regional or national authorities, by small and medium-sized enterprises, scientists and researchers, dedicated networks for Copernicus data distribution, including national and regional bodies such as Copernicus Relays and Copernicus Academies , should be promoted through user uptake activities. To this end, the Commission and the Member States should strive to establish closer links between Copernicus and Union and national policies in order to drive the demand for commercial applications and services and enable enterprises, particular small and medium-sized enterprises and start-ups, to develop applications based on Copernicus data and information aiming at developing a competitive Earth observation data eco-system in Europe. |
(60) |
In the international domain, Copernicus should provide accurate and reliable information for cooperation with third countries and international organisations, and in support of the Union’s external and development cooperation policies. Copernicus should be considered as a European contribution to the Global Earth Observation System of Systems (GEOSS), the Committee on Earth Observation Satellites (CEOS), the Conference of the Parties (COP) to the 1992 United Nations Framework Convention on Climate Change (UNFCCC) , the achievement of the United Nations Sustainable Development Goals (SDG) and the Sendai Framework for Disaster Risk Reduction. It should establish or maintain appropriate cooperation with relevant sectoral UN bodies and the World Meteorological Organisation. |
(61) |
In the implementation of Copernicus, the Commission should rely, where appropriate, on European international organisations with which it has already established partnerships, in particular the European Space Agency for the development , coordination, implementation and evolution of the space components, access to third party data where appropriate and when not undertaken by other entities the operation of dedicated missions. In addition, the Commission should rely on EUMETSAT for the operation of dedicated missions or parts thereof and, where appropriate, access to contributing mission data in accordance with its expertise and mandate. |
(61a) |
In the domain of services, the Commission should take appropriate benefit from the specific capacities provided by Union Agencies such as the European Environment Agency, the European Maritime Safety Agency, the European Border and Coast Guard Agency, SATCEN and the European investments made already in marine environment monitoring services through Mercator Ocean. On security, a comprehensive approach at Union level will be sought with the High Representative. The Joint Research Centre (JRC) of the Commission has been actively involved from the start of the GMES initiative and has supported developments for Galileo and space weather. Under Regulation (EU) No 377/2014; the JRC is managing the Copernicus emergency management service and the global component of the Copernicus land monitoring service; it is contributing to the review of the quality and fitness for purpose of data and information, and to the future evolution. The Commission should continue relying on JRC's scientific and technical advice for the implementation of the Programme. |
(62) |
Following the requests of the European Parliament and of the Council and, the Union established a support framework for space surveillance and tracking (SST) by means of Decision No 541/2014/EU of the European Parliament and of the Council of 16 April 2014 establishing a Framework for Space Surveillance and Tracking Support. Space debris has become a serious threat to the security, safety and sustainability of space activities. The SST is therefore primordial to preserve the continuity of the Programme's components and their contributions to Union policies. By seeking to prevent the proliferation of space debris, SST contributes to ensuring the sustainable and guaranteed access to and use of space, which is a global common objective. In that context, it could support the preparation of European earth orbit ‘clean-up’ projects . |
(63) |
The SST should further develop the performance and autonomy of SST capabilities. To this end, it should lead to the establishment of an autonomous European catalogue of space objects, building on data from the network of SST sensors. Where appropriate, the Union could consider making some of its data available for commercial, non-commercial and research purposes. The SST should also continue to support operation and delivery of SST services. As SST services are user-driven ▌, appropriate mechanisms should be put in place to collect user requirements, including those relating to security and the transmission of relevant information to and from public institutions to improve the effectiveness of the system, while respecting national safety and security policies . |
(64) |
The delivery of SST services should be based on a cooperation between the Union and the Member States and on the use of existing as well as future national expertise and assets, including those developed through the European Space Agency or by the Union. It should be possible to provide financial support for the development of new SST sensors. Recognising the sensitive nature of the SST, the control over national sensors and their operations, maintenance and renewal and the processing of data leading to the provision of SST services should remain with the participating Member States. |
(65) |
Member States with adequate ownership or access to SST capabilities should be able to participate in the delivery of the SST services. Participating Member States in the SST Consortium established under the Decision No 541/2014/EU should be deemed to comply with these criteria. Those Member States should submit a single joint proposal and demonstrate compliance with further elements related to the operational set up. ▌ Appropriate rules should be established for the selection and organisation of Member States participants. |
(65a) |
Implementing powers should be conferred on the Commission to define the detailed procedures and elements for establishing the participation of Member States. Where no joint proposal has been submitted or where the Commission considers that such proposal does not comply with the criteria set, the Commission may launch a second step for the participation of Member States. The procedures and elements for that second step should define the orbits to be covered, and take into account the need to maximise the participation of Member States in the provision of SST services. Where those procedures and elements foresee the possibility for the Commission to select several proposals to cover all the orbits, appropriate coordination mechanisms between the groups of Member States and an efficient solution to cover all the SST services should also be provided. |
(66) |
Once SST is set up, it should respect the principles of complementarity of activities and continuity of high quality user-driven SST services, and be based on the best expertise. SST should therefore avoid unnecessary duplication. Redundant capabilities should ▌ ensure SST services’ continuity, quality and robustness . The activities of the Expert Teams should help avoiding these unnecessary duplications. |
(67) |
In addition, the SST should be conducive to existing mitigation measures, such as the COPUOS Space Debris Mitigation Guidelines ▌ and draft Guidelines for the Long-term Sustainability of Outer Space Activities, or other initiatives, to ensure the safety, security and sustainability of outer space activities. With a view to reducing risks of collision, the SST would also seek synergies with initiatives of active removal and passivation measures of space debris. The SST should contribute to ensuring the peaceful use and exploration of outer space. The increase in space activities may have implication on the international initiatives in the area of the space traffic management. The Union should monitor those developments and may take them into consideration in the context of the mid-term review of the current multiannual financial framework . |
(68) |
SST, space weather and NEO activities should have regard to cooperation with international partners, in particular the United States of America, international organisations and other third parties, particularly to avoid collisions in space, to prevent the proliferation of space debris and to increase preparedness to effects of extreme space weather events and near-Earth objects |
(69) |
The Security Committee of the Council recommended the creation of a risk management structure to ensure that data security issues are duly taken into account in the implementation of Decision No 541/2014/EU. For that purpose and taking account of the work already performed, the appropriate risk management structures and procedures should be established by the participating Member States. |
(70) |
Extreme and major space weather events may threaten the safety of citizens and disrupt the operations of space-based and ground-based infrastructure. A space weather sub-component should therefore be established as part the Programme with an aim of assessing the space weather risks and corresponding user needs, raising the awareness of space weather risks, ensuring the delivery of user-driven space weather services, and improving Member States’ capabilities to produce space weather service. The Commission should prioritise the sectors to which the operational space weather services are to be provided taking into account the user needs, risks and technological readiness. In the long term, the needs of other sectors may be addressed. The delivery of services at Union level according to the users' needs will require targeted, coordinated and continued research and development activities to support space weather services evolution. The delivery of the space weather services should build on the existing national and Union capabilities and enable a broad participation of Member States , European and international organisations, and involvement of the private sector. |
(71) |
The Commission White Paper on the future of Europe (17), the Rome Declaration of the Heads of State and Government of 27 EU Member States (18), and several European Parliament resolutions, recall that the EU has a major role to play in ensuring a safe, secure and resilient Europe that is capable to address challenges such as regional conflicts, terrorism, cyber threats, and growing migration pressures. Secure and guaranteed access to satellite communications is an indispensable tool for security actors, and pooling and sharing of this key security resource at Union level strengthens a Union that protects its citizens. |
(72) |
The European Council of 19-20 December 2013 (19) in its conclusions welcomed in the area of Satellite Communication the preparations for the next generation of Governmental Satellite Communication (GOVSATCOM) through close cooperation between the Member States, the Commission and the European Space Agency. GOVSATCOM has also been identified as one of the elements of the Global Strategy for the European Union's Foreign and Security Policy of June 2016. GOVSATCOM should contribute to the EU response to Hybrid Threats, provide support to the EU Maritime Strategy and to the EU Arctic Policy. |
(73) |
GOVSATCOM is a user-centric programme with a strong security dimension. The use-cases may be analysed by the relevant actors for three main families: i) crisis management, which may include civilian and military Common Security and Defence missions and operations, natural and man-made disasters, humanitarian crises, and maritime emergencies; ii) surveillance, which may include border surveillance, pre-frontier surveillance sea-border surveillance, maritime surveillance, surveillance of illegal trafficking; and iii) key infrastructures, which may include diplomatic network, police communications, digital infrastructure (e. g. data centres, servers), critical infrastructures (e.g. energy, transport, water barriers such as dams ) and space infrastructures. |
(73a) |
GOVSATCOM capacity and services will be used in security and safety critical missions and operations by Union and Member State actors. Therefore an appropriate level of non-dependence from third parties (third states and entities from third states) is needed, covering all GOVSATCOM elements, such as space and ground technologies at component, subsystem and system level, manufacturing industries, owners and operators of space systems, physical location of ground system components. |
(74) |
Satellite communications is a finite resource limited by the satellite capacity, frequency and geographic coverage. Therefore, in order to be cost-effective and to capitalise on economies of scale, GOVSATCOM needs to optimise the match between the GOVSATCOM demand by authorised users, and the supply provided under GOVSATCOM contracts for satellite capacities and services. Since the demand and the potential supply both change with time, this requires constant monitoring and flexibility to adjust GOVSATCOM services. ▌ |
(75) |
Operational requirements will be derived on the basis of the use-case analysis. From those operational requirements, in combination with security requirements, the service portfolio should be developed. The service portfolio should establish the applicable baseline for the services to be provided through GOVSATCOM. In order to maintain the best possible match between the demand and supplied services, the GOVSATCOM service portfolio may need to be regularly updated. |
(76) |
In the first phase of GOVSATCOM (roughly until 2025) existing capacity will be used. In that context, the Commission should procure EU GOVSATCOM capacities from Member States with national systems and space capacities and from commercial satellite communication or service providers, taking into account the essential security interests of the Union . In this first phase services will be introduced in a stepped approach ▌. If in the course of the first phase a detailed analysis of future supply and demand reveals that this approach is insufficient to cover the evolving demand, the decision may be taken to move to a second phase and develop additional bespoke space infrastructure or capabilities through one or several public-private partnerships, e.g. with Union satellite operators. |
(77) |
In order to optimise the available satellite communication resources, to guarantee access in unpredictable situations, such as natural disasters, and to ensure operational efficiency and short turn-around times, the necessary ground segment ( Hubs and potential other ground elements) is required. The latter should be designed on the basis of operational and security requirements. In order to mitigate risks the Hub may consist of several physical sites. Other ground segment elements, such as anchoring stations, may be needed. |
(78) |
For users of satellite communications the user equipment is the all-important operational interface. The EU GOVSATCOM approach should make it possible for most users to continue to use their existing user equipment for GOVSATCOM services ▌. |
(79) |
In the interest of operational efficiency users have indicated that it is important to aim for interoperability of user equipment, and user equipment that can make use of different satellite systems. Research and development in this domain may be required. |
(80) |
At implementation level the tasks and responsibilities should be distributed amongst specialised entities, such as the European Defence Agency, the EEAS, the European Space Agency, the Agency, and other Union agencies in such a manner to ensure that they align with their principal role, especially for user related aspects. |
(81) |
The competent GOVSATCOM authority has an important role to monitor that users, and other national entities that play a role in GOVSATCOM, comply with the sharing and prioritisation rules and security procedures as laid down in the security requirements. A Member State which has not designated a competent GOVSATCOM authority should in any event designate a point of contact for the management of any detected jamming affecting GOVSATCOM. |
(81a) |
Member States, the Council, the Commission and the EEAS may become GOVSATCOM participants, insofar as they choose to authorise GOVSATCOM users or provide capacities, sites or facilities. Considering that it is a Member State’s choice whether they authorise GOVSATCOM users or provide capacities, sites or facilities, Member States cannot be obliged to become GOVSATCOM participants or to host GOVSATCOM infrastructure. The GOVSATCOM component of the Programme is therefore without prejudice to the right of Member States not to participate in GOVSATCOM, including in accordance with its national law or constitutional requirements in relation to policies concerning non-alignment and non-participation in military alliances. |
(82) |
In order to ensure uniform conditions for the implementation of this Regulation, implementing powers regarding operational requirements for services provided under GOVSATCOM should be conferred on the Commission. It will give the possibility to the Commission to define technical specifications for use-cases related to crisis management, surveillance and key infrastructure management, including diplomatic communication networks. Those powers should be exercised in accordance with Regulation (EU) No 182/2011 of the European Parliament and of the Council. |
(83) |
In order to ensure uniform conditions for the implementation of this Regulation, implementing powers regarding the service portfolio for services provided under GOVSATCOM, should be conferred on the Commission. It will give the possibility to the Commission to define attributes, including geographic coverage, frequency, bandwidth, user equipment, and security features. Those powers should be exercised in accordance with Regulation (EU) No 182/2011. |
(84) |
In order to ensure uniform conditions for the implementation of this Regulation, implementing powers regarding the sharing and prioritisation rules for the use of pooled GOVSATCOM satellite communication capacities, should be conferred on the Commission. When defining the sharing and prioritisation rules, the Commission should take into account the operational and security requirements and an analysis of risks and expected demand by GOVSATCOM participants. Although GOVSATCOM services should in principle be provided on a free-of-charge basis to GOVSATCOM users, if that analysis concludes on a shortage of capacities and in order to avoid a distorsion of the market, a pricing policy might be developed as part of those detailed rules on sharing and prioritisation. Those powers should be exercised in accordance with Regulation (EU) No 182/2011. |
(85) |
In order to ensure uniform conditions for the implementation of this Regulation, implementing powers regarding the location of the ground segment infrastructure for GOVSATCOM, should be conferred on the Commission. It will give the possibility to the Commission take into account the operational and security requirements , as well as existing infrastructure for the selection of such locations. Those powers should be exercised in accordance with Regulation (EU) No 182/2011 of the European Parliament and of the Council. |
▌ |
|
(87) |
Regulation (EU) No 912/2010 established a Union agency, called the European GNSS Agency, to manage certain aspects of the Galileo and EGNOS satellite navigation programmes. The present Regulation provides in particular that the European GNSS Agency will be entrusted with new tasks, not only in respect of Galileo and EGNOS but also for other components of the Programme, especially security accreditation. The name, tasks and organisational aspects of the European GNSS Agency must therefore be adapted accordingly. |
(87a) |
The seat of the Agency is located in Prague in accordance with Decision 2010/803/EU. For the implementation of the Agency's tasks, staff of the Agency might be located in one of the Galileo or EGNOS ground based centres referred to in Commission Implementing Decision (EU) 2016/413 to execute Programme activities provided for in the relevant agreement. In addition, for the Agency to operate in the most efficient and effective manner, a limited number of staff could be assigned to local offices in one or more Member States. The location of staff outside the seat of the Agency or Galileo and EGNOS sites should not lead to transfer of core of the Agency's activities to such local offices. |
(88) |
In view of its extended scope, which will no longer be limited to Galileo and EGNOS, the name of the European GNSS Agency should henceforth be changed. However, the continuity of the activities of the European GNSS Agency, including continuity as regards rights and obligations, staff and the validity of any decisions taken, should be ensured under the Agency. |
(89) |
Given the Agency’s mandate and the role of the Commission in implementing the Programme, it is appropriate to provide that some of the decisions taken by the Administrative Board should not be adopted without the favourable vote of the representatives of the Commission. |
(90) |
Without prejudice to the powers of the Commission, the Administrative Board, the Security Accreditation Board and the Executive Director shall be independent in the performance of their duties and shall act in the public interest. |
(91) |
It is possible, and indeed probable, that some components of the Programme will be based on the use of sensitive or security-related national infrastructure. In this case, for reasons of national security, it is necessary to stipulate that meetings of the Administrative Board and Security Accreditation Board be attended ▌ by the representatives of the Member States and the representatives of the Commission, on a need to know basis. In the Administrative Board, only those representatives of Member States which possess such infrastructure and a representative of the Commission are to take part in voting. The rules of procedure of the Administrative Board and of the Security Accreditation Board should set out the situations in which this procedure applies . |
▌ |
|
(94) |
Pursuant to paragraphs 22 and 23 of the Inter-Institutional agreement on Better Law-Making of 13 April 2016, there is a need to evaluate the Programme on the basis of information collected through specific monitoring requirements, while avoiding overregulation and administrative burdens, in particular on Member States. These requirements can, where appropriate, include measurable indicators, as a basis for evaluating the effects of the programme. |
(94a) |
The use of Copernicus and Galileo based services is predicted to have a major impact in the European economy in general. However, ad hoc measurements and case studies seem to dominate the picture today. The Commission, through Eurostat, should define relevant statistical measurements and indicators that would form the basis for monitoring the impact of the EU space activities in a systematic and authoritative way. |
(95) |
In order to ensure uniform conditions for the implementation of this Regulation, implementing powers should be conferred on the Commission. Those powers should be exercised in accordance with Regulation (EU) No 182/2011. The Commission should be assisted by a Committee which should meet in specific configuration. |
(95a) |
Since the Programme's components are user driven, they require the continuous, effective involvement of users for their implementation and development, particularly regarding the definition and validation of service requirements. In order to increase the value for the users, their input should be actively sought through regular consultation with end-users from the public and private sectors of the Union's Member States and where appropriate international organisations. For that purpose, a working group (the ‘User Forum’) should be set up to assist the Programme Committee with the identification of user requirements, and the verification of service compliance, as well as the identification of gaps in services provided. The rules of procedure of the Committee should establish the organisation of that working group to take into account the specificities of each component and each service within the components. Whenever possible, Member States should contribute to the User Forum based on a systematic and coordinated consultation of users at national level. |
(96) |
As sound public governance requires uniform management of the Programme, faster decision-making and equal access to information, representatives of the entities entrusted with tasks related to this programme might be able to take part as observers in the work of the committee established in application of Regulation (EU) No 182/2011. For the same reasons, representatives of third countries and international organisations who have concluded an international agreement with the Union , relating to the Programme or its components or sub-components, might be able to take part in the work of the committee subject to security constraints and as provided for in the terms of such agreement. The representatives of entities entrusted with tasks related to the Programme, third countries and international organisations are not entitled to take part in committee voting procedures. The conditions for the participation of observers and ad hoc participants should be laid down in the rules of procedure of the Committees. |
(97) |
In order to ensure effective assessment of progress of the Programme towards the achievement of its objectives, the power to adopt acts in accordance with Article 290 of the Treaty on the Functioning of the European Union should be delegated to the Commission in respect of amending Annex X to review or complement the indicators where considered necessary and to supplement this Regulation with provisions on the establishment of a monitoring and evaluation framework. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. |
(98) |
Since the objective of this Regulation cannot be sufficiently achieved by the Member States since it goes beyond the financial and technical capacities of any single Member State, and can therefore, by reason of its scale and effects, be better achieved by action at Union level, the Union may adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 TEU. In accordance with the principle of proportionality, as set out in that Article, this Regulation does not go beyond what is necessary in order to achieve that objective. |
(99) |
In order to ensure uniform conditions for the implementation of the Programme's security requirements, implementing powers should be conferred on the Commission. Those powers should be exercised in accordance with Regulation (EU) No 182/2011 of the European Parliament and of the Council. Member States should be able to exert a maximum of control over the programme's security requirements. When adopting implementing acts in the area of security of the Programme, the Commission should be assisted by a committee composed of Member States' representatives meeting in a dedicated security configuration. Those implementing acts should be adopted in accordance with the examination procedure set out in Regulation (EU) No 182/2011. In view of the sensitivity of security matters, the chair should endeavour to find solutions which command the widest possible support within the committee. The Commission should not adopt implementing acts determining the general security requirements of the programme in cases where no opinion is delivered by the committee , |
HAVE ADOPTED THIS REGULATION:
TITLE I
GENERAL PROVISIONS
Article 1
Subject matter
1. This Regulation establishes the space programme of the Union (‘Programme’). It lays down the objectives of the Programme, the budget for the period 2021 — 2027, the forms of Union funding and the rules for providing such funding, as well as the rules for the implementation of the Programme.
2. This Regulation establishes the European Union Agency for the Space Programme (‘Agency’) that replaces and succeeds the European GNSS Agency established by Regulation (EU) No 912/2010 and lays down the rules of operation of the Agency.
Article 2
Definitions
For the purpose of this Regulation, the following definitions shall apply:
(0) |
Space surveillance and tracking (SST) system means a network of ground-based and space-based sensors capable of surveying and tracking space objects, together with processing capabilities aiming to provide data, information and services on space objects that orbit around the Earth; |
(1) |
‘spacecraft’ means an orbiting object designed to perform a specific function or mission (e.g. communications, navigation or Earth observation) , including ▌ satellites ▌ launcher upper stages , re-entry vehicle. A spacecraft that can no longer fulfil its intended mission is considered non- functional. Spacecraft in reserve or standby modes awaiting possible reactivation are considered functional ; |
(2) |
‘space weather events’ means naturally occurring variations in the space environment at the Sun and around the Earth . Space weather effects include solar flares, solar energetic particles, variations in the solar wind, ▌ coronal mass ejections, geomagnetic storms and dynamics , ▌radiation storms and ionospheric disturbances ▌ potentially impacting Earth and space-based infrastructures ; |
(3) |
‘near earth objects’ (NEO) means natural objects in the solar system approaching the Earth; |
(4) |
‘space object’ means any man-made object in outer space; |
(5) |
‘space situational awareness’ (‘SSA’) means a holistic approach , including comprehensive knowlegde and understanding, of the main space hazards, encompassing collision between space objects, fragmentation and reentry of space objects into the atmosphere , space weather phenomena, and near earth objects; |
(6) |
‘blending operation’ means actions supported by the EU budget, including within blending facilities pursuant to Article 2(6) of the Financial Regulation, combining non-repayable forms of support and/or financial instruments and/or budgetary guarantees from the EU budget with repayable forms of support from development or other public finance institutions, as well as from commercial finance institutions and investors; |
(7) |
‘legal entity’ means any natural or legal person created and recognised as such under national law, Union law or international law, which has legal personality and which may, acting in its own name, exercise rights and be subject to obligations, or an entity without a legal personality in accordance with Article 197(2)(c) of the Financial Regulation; |
(8) |
‘third country’ means a country that is not a Member State of the Union; |
(9) |
‘SST information’ means processed SST data which is readily meaningful to the recipient; |
(10) |
‘SST data’ means physical parameters of space objects , including space debris, acquired by SST sensors or orbital parameters of space objects derived from SST sensors' observations in the framework of the space surveillance and tracking (‘SST’) component; |
(11) |
‘return link’ means a service contributing to the global monitoring service of aircraft, monitoring defined by the International Civil Aviation Organisation; |
(12) |
‘Copernicus sentinels’ means the Copernicus dedicated satellites, spacecraft or spacecraft payloads for space-borne Earth observation; |
(13) |
‘Copernicus data’ means data provided by the Sentinels, including their metadata; |
(14) |
‘Copernicus third-party data and information ’ means spatial data and information licensed or made available for use by Copernicus which originate from sources other than the Sentinels; |
(14a) |
Copernicus Services’ mean value-added services of general and common interest to the Union and Member States, which are financed by the Programme and which transform Earth Observation data, in situ data and other ancillary data into processed, aggregated and interpreted information tailored to the needs of Copernicus users; |
(15) |
‘Copernicus in situ data’ means observation data from groundborne, seaborne or airborne sensors, as well as reference and ancillary data licensed or provided for use in Copernicus; |
(16) |
‘Copernicus information’ means information generated by the Copernicus Services following processing or modelling, including their metadata; |
(17) |
‘fiduciary entity’ means a legal entity that is independent from the Commission or a third party and that receives data from the Commission or that third party for the purpose of safe storage and treatment of that data; |
(18) |
‘space debris’ means any space object including spacecraft or fragments and elements thereof in Earth's orbit or re-entering Earth's atmosphere, that are non-functional or no longer serve any specific purpose, including parts of rockets or artificial satellites, or inactive artificial satellites; |
(19) |
‘SST sensor’ means a device or a combination of devices, ground-based or space-based radars, lasers and telescopes, that is able to perform space surveillance or tracking and can measure physical parameters related to space objects, such as size, location and velocity ; |
(19a) |
‘GOVSATCOM participant’ means a Member States, Council, the Commission and EEAS, as well as Union agencies, third countries and international organisations, in so far as such agencies, third countries and international organisations have been duly authorised; |
(20) |
‘GOVSATCOM user’ means a Union or Member State public authority, a body entrusted with the exercise of public authority, or a natural or legal person, dully authorised and entrusted with tasks relating to the supervision and management of' security-critical missions, operations and infrastructures; |
(20a) |
‘GOVSATCOM Hub’ means an operational centre with the main function to link in a secure manner the GOVSATCOM users to the providers of GOVSATCOM capacity and services, and thereby optimise the supply and demand at any given moment. |
(21) |
‘GOVSATCOM use-case’ means an operational scenario in a particular environment in which GOVSATCOM ▌ services are required ; |
(21a) |
EU classified information (EUCI)' means any information or material designated by a EU security classification, the unauthorised disclosure of which could cause varying degrees of prejudice to the interests of the European Union or of one or more of the Member States; |
(22) |
‘sensitive non-classified information’ means non-classified information within the meaning of Article 9 of Commission Decision (EU, Euratom) 2015/443, which creates an obligation to protect sensitive non-classified information applying solely to the European Commission and to Union agencies and bodies obliged by law to apply the security rules of the Commission ; |
(23) |
‘Copernicus users’ means: ‘Copernicus core users’ which benefit from Copernicus data and Copernicus information and have the additional role of driving the evolution of Copernicus, are the Union institutions and bodies and European national, or regional public bodies in the Union or Copernicus Participating States entrusted with a public service mission for the definition, implementation, enforcement or monitoring of civilian public policies, among others environmental, civil protection, safety , including safety of infrastructure, or security policies; ‘other Copernicus users’ which benefit from Copernicus data and Copernicus information and include in particular research and education organisations, commercial and private bodies, charities, non-governmental organisations, and international organisations; |
(24) |
‘Copernicus Participating States’ means third countries which contribute financially and participate in Copernicus under the terms of an international agreement concluded with the Union . |
Article 3
Components of the Programme
The Programme shall consist of the following components:
(a) |
an autonomous civil global navigation satellite system (GNSS) under civil control comprising a constellation of satellites, centres and a global network of stations on the ground, offering positioning, navigation and timing services and ▌ integrating the needs and requirements of security (‘Galileo’); |
(b) |
a civil regional satellite navigation system under civil control which consists of centres and stations on the ground and several transponders installed on geosynchronous satellites and which augments and corrects the open signals emitted by Galileo and other GNSSs, inter alia for air-traffic management, air navigation services and other transport systems ('European Geostationary Navigation Overlay Service or ‘EGNOS’); |
(c) |
an operational, autonomous, user-driven, civil Earth observation system under civil control, building on the existing national and European capacities, offering geo-information data and services, comprising satellites, ground infrastructure, data and information processing facilities, and distribution infrastructure, based on a full, free and open data policy and, where appropriate, integrating the needs and requirements of security (‘Copernicus’); |
(d) |
a space surveillance and tracking system aiming to improve, operate and provide data, information and services related to the surveillance and tracking of space objects that orbit around the Earth (‘SST’ sub-component) and complemented by observational parameters related to space weather events (‘SWE’ sub-component) and the risk monitoring of near earth objects (‘NEOs sub-component’) approaching the Earth (Space Situational Awareness, ‘SSA’); |
(e) |
a ▌ satellite communications service under civil and governmental control enabling the provision of satellite communications capacities and services to Union and Member State authorities managing security critical missions and infrastructures (‘GOVSATCOM’). |
▌ The Programme shall include additional measures for ensuring efficient and autonomous access to space for the Programme and for fostering an innovative and competitive European space sector , upstream and downstream, strenghtening the Union's space ecosystem and reinforcing the Union as a global player .
Article 4
Objectives
1. The Programme shall have the following general objectives:
(a) |
provide, or contribute to the provision of, high-quality and up-to-date and, where appropriate, secure space-related data, information and services without interruption and wherever possible at global level, meeting existing and future needs and able to support the Union's political priorities and related evidence-based and independent decision making, inter alia for climate change and , transport, security ▌; |
(b) |
maximise the socio-economic benefits, in particular by fostering the development of an innovative and competitive European upstream and downstream sectors, including small and medium-sized enterprises and start-ups, thereby enabling growth and job creation in the Union and promoting the widest possible uptake and use of the data, information and services provided by the Programme's components both within and outside the Union; while ensuring synergies and complementarity with the Union's research and technological development activities carried out under the Horizon Europe Regulation ; |
(c) |
enhance safety, the security of the Union and its Member States, and reinforce its ▌ autonomy, in particular in terms of technologies ▌; |
(d) |
promote the role of the Union global actor in the space sector , encourage international cooperation, reinforce European space diplomacy, including by fostering the principles of reciprocity and fair competition and strengthen its role in tackling global challenges, supporting global initiatives, including with regards to ▌ sustainable development , and raising awareness of space as a common heritage of humankind; |
(e) |
enhance safety, security and sustainability of all outer space activities pertaining to space objects and debris proliferation, as well as space environment, by implementing appropriate measures, including development and deployment of technologies for spacecraft disposal at the end of operational lifetime and for space debris disposal . |
(6a) International cooperation is paramount and is a key element of the Space Strategy for Europe and to promote the role of the Union as a global actor in the space sector. The Commission will use the Programme to contribute to and benefit from international efforts through space diplomacy initiatives to promote European technology and industry internationally (for example bi-lateral dialogues, industry workshops, support for SME internationalisation) and to facilitate access to international markets and foster fair competition, also leveraging economic diplomacy initiatives. European space diplomacy initiatives should be in full coherence and complementarity with the existing EU policies, priorities and instruments, while, the Union has a key role to play together with the Union Member States to remain at the forefront of the international scene.
2. The Programme shall have the following specific objectives:
(a) |
for Galileo and EGNOS: to provide long-term, state-of-the-art and, ▌secure positioning, navigation and timing services whilst ensuring service continuity and robustness ; |
(b) |
for Copernicus: to deliver accurate and reliable Earth Observation data, information and services integrating other data sources , supplied on a long-term sustainable basis, to support the formulation, implementation and monitoring of the Union and its Member States' policies and actions based on user requirements ; |
(c) |
for Space Situational Awareness (‘SSA’): to enhance SST capabilities to monitor, track and identify space objects, and space debris with the aim to further increase the performance and autonomy of SST capabilities at Union level, to provide space weather services and to map and network Member States NEO capacities; |
(d) |
for GOVSATCOM: to ensure the long-term availability of reliable, secure and cost-effective satellite communications services for GOVSATCOM users ; |
(e) |
to support an autonomous, secure and cost-efficient capability to access space , taking into account the essential security interests of the Union ; |
(f) |
to foster the development of a strong Union space economy including by supporting the space ecosystem and by reinforcing competitiveness, innovation, entrepreneurship, skills and capacity building in all Member States and Union regions, with particular regard to small and medium-sized enterprises and start-ups or legal and natural persons from the Union active or wishing to become active in that sector ▌. |
Article 5
Access to space
1. The Programme shall support the procurement and aggregation of launching services for the needs of the Programme and, at their request, the aggregation for Member States and international organisations.
2. In synergies with other Union programmes and funding schemes, and without prejudice to the European Space Agency's activities in the area of access to space, the Programme may support:
(a) |
adaptations, including technology development, to space launch systems which are necessary for launching satellites, including alternative technologies and innovative systems on access to space, for the implementation of the Programme components; |
(b) |
adaptations to the space ground infrastructure , including new developments, which are necessary for the implementation of the Programme . |
Article 6
Actions in support of an innovative and competitive Union space sector
1. The Programme shall promote capacity building across the Union and thus support:
(a) |
innovation activities for making best use of space technologies, infrastructure or services and measures to facilitate the uptake of innovative solutions resulting from research and innovation activities and support the development of the downstream sector, in particular through synergies with other Union Programmes and financial instruments, including Invest EU; |
(b) |
activities aiming to foster public demand and public sector innovation, to realise the full potential of public services for citizens and businesses; |
(c) |
entrepreneurship, including from early stage to scaling-up, in accordance with Article 21 , by relying on other access to finance provisions as referred to in Article 18 and Chapter I of Title III , and by using a first contract approach ; |
(d) |
the emergence of a business friendly space ecosystem through cooperation between undertakings in the form of a network of space hubs bringing together, at regional and national levels, actors from the space, digital and other sectors, as well as users, that network of hubs shall aim to provide support, facilities and services to citizens and companies to foster entrepreneurship and skills and to enhance synergies in the downstream sector and to foster cooperation with the digital innovation hubs established under the Digital Europe Programme ; |
(e) |
provision of education and training activities , including for professionals, entrepreneurs, graduates and students, notably through synergies with national and regional initiatives, for the development of advanced skills ; |
(f) |
access to processing and testing facilities for private and public sector professionals, students and entrepreneurs ; |
(g) |
certification and standardisation activities; |
(h) |
reinforcement of the European supply chains across the Union through wide participation of enterprises, in particular small and medium-sized enterprises and start-ups, in all components of the programme, notably through the provisions of Article 14, and measures to underpin their competitiveness at global level . |
2. When implementing activities referred to in paragraph 1, the need to develop capacity in Member States with an emerging space industry shall be supported, in order to provide equal opportunity to all Member States to participate in the space programme.
Article 7
Third countries and international organisations associated to the Programme
1. The Programme's components, with the exception of the SST and GOVSATCOM, shall be open to the following third countries:
(a) |
European Free Trade Association (EFTA) members which are members of the European Economic Area (EEA), in accordance with the conditions laid down in the EEA agreement; |
(b) |
acceding countries, candidate countries and potential candidates, in accordance with the general principles and general terms and conditions for their participation in Union programmes established in the respective framework agreements and Association Council decisions, or similar agreements, and in accordance with the specific conditions laid down in agreements between the Union and them; |
(c) |
countries covered by the European Neighbourhood Policy, in accordance with the general principles and general terms and conditions for the participation of those countries in Union programmes established in the respective framework agreements and association council decisions, or similar agreements, and in accordance with the specific conditions laid down in agreements between the Union and those countries. |
2. The Programme's components, with the exception of the SST, shall also be open to any third country or international organisation, in accordance with the conditions laid down in a specific agreement covering the participation of the third country or of the international organisation to any Union programme, provided that the agreement:
(a) |
ensures a fair balance as regards the contributions and benefits of the third country or international organisation participating in the Union programmes; |
(b) |
lays down the conditions of participation in the programmes, including the calculation of financial contributions to individual programmes and their administrative costs. These contributions shall constitute assigned revenues in accordance with Article [21(5)] of [the new Financial Regulation]; |
(c) |
does not confer to the third country or international organisation a decisional power on the programme or, where appropriate, access to sensitive or classified information ;; |
(d) |
guarantees the rights of the Union to ensure sound financial management and to protect its financial interests. |
(da) |
preserves, where appropriate, the strategic and sovereign interests of the Union in all relevant areas, including European technological or industrial strategic autonomy; |
3. The Programme's components shall only be open to the third countries and international organisations referred to in paragraphs 1 and 2 provided that the essential security interests of the Union and its Member States are preserved.
Article 8
Access to SST, GOVSATCOM and PRS by third countries or international organisations
1. Third countries or international organisations may become GOVSATCOM participant referred to in Article 67 or obtain access to the services provided by the SST only where, in accordance with the procedure provided for in Article 218 of the Treaty on the Functioning of the European Union, they enter into an agreement laying down the terms and conditions of the detailed rules for access to such data, information, capacities and services, and the framework for exchanging and protecting classified information.
2. The access of third countries or international organisations to the Public Regulated Service provided by Galileo shall be governed by Article 3(5) of Decision No 1104/2011/EU of the European Parliament and of the Council (20).
Article 9
Ownership and use of assets
1. The Union shall be the owner of all tangible and intangible assets created or developed under the Programme's components. To that aim, the Commission shall take the necessary steps to ensure that relevant contracts, agreements and other arrangements relating to those activities which may result in the creation or development of such assets contain provisions ensuring such an ownership regime regarding those assets.
2. Paragraph 1 shall not apply to the tangible and intangible assets created or developed under the Programme's components, where the activities which may result in the creation or development of such assets:
(a) |
are carried out pursuant to grants or prizes fully financed by the Union; |
(b) |
are not fully financed by the Union, or |
(c) |
relate to the development, manufacture or use of PRS receivers incorporating EUCI, or components of such receivers. |
3. The Commission shall take the necessary steps to ensure that the contracts, agreements or other arrangements relating to the activities referred to in the second paragraph contain provisions setting out the appropriate ownership and use regime for those assets and, as regards point (c) that the Union can freely use and grant the use of the PRS receivers in accordance with Decision 1104/2011/EU.
4. The Commission shall seek to conclude contracts or other arrangements with third parties with regard to:
(a) |
pre-existing ownership rights in respect of tangible and intangible assets created or developed under the Programme's components; |
(b) |
the acquisition of the ownership or license rights in respect of other tangible or intangible assets necessary for the implementation of the Programme. |
5. The Commission shall ensure, by means of an appropriate framework, the optimal use of the tangible and intangible assets referred to in paragraphs 1 and 2 owned by the Union.
6. In particular, where those assets consist of intellectual property rights, the Commission shall manage those rights as effectively as possible, taking account of the need to protect and give value to them, of the legitimate interests of all stakeholders concerned and of the need for harmonious development of markets and new technologies and for the continuity of the services provided by the Programme's components. To that end, it shall ensure in particular that the relevant contracts, agreements and other arrangements include the possibility of transferring those rights to third parties or granting third-party licences for those rights , including to the creator of that intellectual property right and that the Agency can freely enjoy those rights where necessary for carrying out its tasks under this Regulation. The financial framework partnership agreement referred to in Article 29(3a) or the contribution agreements referred to in Article 32(1) shall contain relevant provisions to allow the use of those rights by the European Space Agency and the other entrusted entities where necessary to perform their tasks under this Regulation and the conditions for that use.
Article 10
Warranty
Without prejudice to the obligations imposed by legally binding provisions, the services, data and information provided by the Programme's components shall be provided without any express or implied warranty as regards their quality, accuracy, availability, reliability, speed and suitability for any purpose. ▌ The Commission shall take the necessary steps to ensure that the users of those services, data and information are duly informed▌.
TITLE II
BUDGETARY CONTRIBUTION AND MECHANISMS
Article 11
Budget
1. The financial envelope for the implementation of the Programme for the period 2021 — 2027 , including for the associated risks, shall be EUR 16,9 billion in current prices.
The ▌ distribution of the amount referred to in the first subparagraph shall be broken down in the following categories of expenditure :
(a) |
for Galileo and EGNOS: EUR 9,7 billion; |
(b) |
for Copernicus: EUR 6 billion; |
(c) |
for SSA/GOVSATCOM: EUR 1,2 billion. |
2. Additional measures as foreseen by Article 3 , namely activities referred to in Article 5 and in Article 6, shall be financed under the Programme's components.
3. The Union budgetary appropriations assigned to the Programme shall cover all the activities required to fulfil the objectives referred to in Article 4. Such expenditure may cover:
(a) |
studies and meetings of experts, in particular compliance with its cost and time constraints; |
(b) |
information and communication activities, including corporate communication on the policy priorities of the Union where they are directly linked to the objectives of this Regulation, with a particular view to creating synergies with other Union policies; |
(c) |
the information technology networks whose function it is to process or exchange information, and the administrative management measures, including in the field of security, implemented by the Commission; |
(d) |
technical and administrative assistance for the implementation of the Programme, such as preparatory, monitoring, control, audit and evaluation activities including corporate information technology systems. |
4. Actions that receive cumulative funding from different Union programmes shall be audited only once, covering all involved programmes and their respective applicable rules.
5. The budget commitments relating to the Programme and which cover activities extending over more than one financial year may be broken down over several years into annual instalments.
6. Resources allocated to Member States under shared management may, at their request, be transferred to the Programme. The Commission shall implement those resources directly in accordance with point (a) of Article 62(1) of the Financial Regulation or indirectly in accordance with point (c) of that Article. Where possible those resources shall be used for the benefit of the Member State concerned.
Article 12
Assigned revenue
1. The revenue generated by the components of the Programme shall be paid into the Union budget and used to finance the component which generated the revenue.
2. The Member States may endow a component of the Programme with an additional financial contribution on condition that such additional elements do not create any financial or technical burden or any delay for the component concerned. The Commission shall decide, in accordance with the examination procedure referred to in Article 107 (3), whether those conditions have been met.
3. The additional funding referred to in this Article shall be treated as external assigned revenue in accordance with [Article 21(2)] of the Financial Regulation.
Article 13
Implementation and forms of EU funding
1. The Programme shall be implemented in direct management in accordance with the Financial Regulation or in indirect management with bodies referred to in [Article 62(1)(c)] of the Financial Regulation.
2. The Programme may provide funding in any of the forms laid down in the Financial Regulation, in particular grants, prizes and procurement. It may also provide financing in the form of financial instruments within blending operations.
3. Where the Copernicus budget is implemented by indirect management the procurement rules of the entities entrusted with budget implementation tasks may apply to the extent allowable under Articles 62 and 154 of the Financial Regulation. Specific adjustments necessary to those rules shall be defined in the relevant contribution agreements.
TITLE III
FINANCIAL PROVISIONS
CHAPTER I
Procurement
Article 14
Principles of procurement
1. The contracting authority shall act in accordance with the following principles in procurement procedures for the purpose of the Programme:
(a) |
to promote in all Member States throughout the Union and , throughout the supply chain, the widest and most open participation possible of all economic operators, in particular start-ups, new entrants and small and medium sized enterprises ▌, including the requirement of sub-contracting by the tenderers; |
(b) |
to ensure effective competition and , where possible, avoid reliance on a single provider, in particular for critical equipment and services, taking into account the objectives of technological independence and continuity of services; |
(c) |
by derogation from Article 167 of the Financial Regulation, to use, wherever appropriate, multiple supply sources in order to ensure better overall control of all the components of the Programme, their cost and schedule; |
(cc) |
to follow the principles of open access and fair competition throughout the industrial supply chain, tendering on the basis of the provision of transparent and timely information, clear communication of the applicable procurement rules and procedures, selection and award criteria and any other relevant information allowing a level-playing field for all potential bidders, including SMEs and start-ups; |
(d) |
to reinforce the autonomy of the Union, in particular in technological terms; |
(e) |
to comply with the security requirements of the components of the Programme and to contribute to the protection of the essential security interests of the Union and its Member States; |
(ee) |
to promote service continuity and reliability; |
(f) |
to satisfy appropriate social and environmental criteria. |
2. The procurement Board, within the Commission, shall scrutinise the procurement process concerning all components of the programme and monitor the contractual implementation of the EU budget delegated to entrusted entities. Representative of the entrusted entities shall be invited as appropriate.
Article 15
Conditional stage-payment contracts
1. With regard to operational and infrastructure-specific activities, the contracting authority may award a contract in the form of a conditional stage-payment contract in accordance with this article.
2. A conditional stage-payment contract shall include a fixed stage which results in a firm commitment to provide the works, supplies or services contracted for that stage, and one or more stages which are conditional in terms of both budget and execution. The tender documents refer to the specific features of conditional stage-payment contracts. In particular, they shall specify the subject-matter of the contract, the price or the arrangements for determining the price and the arrangements for the provision of works, supplies and services at each stage.
3. The fixed stage obligations shall be part of a consistent whole; the same is true for the obligations under each conditional stage, taking into account the obligations under the previous stages.
4. Performance of each conditional stage shall be subject to a decision by the contracting authority, notified to the contractor in accordance with the contract.
Article 16
Cost-reimbursement contracts
1. The contracting authority may opt for a full or partial cost-reimbursement based contract under the conditions laid down in paragraph 3.
The price to be paid shall consist in the reimbursement of all direct costs actually incurred by the contractor in performing the contract, such as expenditure on labour, materials, consumables, and use of the equipment and infrastructures necessary to perform the contract, indirect costs, a fixed profit, and an appropriate incentive fee ▌ based on achieving objectives in respect of performance and delivery schedules.
2. Cost reimbursement contracts shall stipulate a maximum ceiling price.
3. The contracting authority may opt for a full or partial cost-reimbursement contract in cases where it is difficult or unsuitable to provide an accurate fixed price due to the uncertainties inherent in performance of the contract because:
(a) |
the contract has very complex features or features which require the use of a new technology and, therefore, includes a significant number of technical risks; or |
(b) |
the activities subject to the contract must, for operational reasons, start immediately even though it is not yet possible to determine a firm fixed price in full due to significant risks or because the performance of the contract depends in part on the performance of other contracts. |
4. The ceiling price for a full or partial cost-reimbursement contract shall be the maximum price payable. The contract price may be amended in accordance with [Article 172] of the Financial Regulation.
Article 17
Subcontracting
1. To encourage new entrants, small and medium enterprises and start-ups and their cross border participation , and to offer the widest possible geographic coverage while protecting the Union's ▌ autonomy, the contracting authority shall request that the tenderer subcontract part of the contract by competitive tendering at the appropriate levels of subcontracting to companies other than those which belong to the tenderer's group.
▌
3. Any derogation from a request in accordance with paragraph 1 shall be justified by the tenderer.
4. For contracts above ten million Euro, the contracting authority shall aim at ensuring that at least 30 % of the value of the contract is subcontracted by competitive tendering at various levels to companies outside the group of the prime contractor, notably in order to enable the cross-border participation of SMEs. The Commission shall inform the Committee referred to in Article 107 (1) on the fullfilment of this objective for contracts signed after the entry into force of this Regulation.
CHAPTER II
Grants, prizes and blending operations
Article 18
Grants and prizes
1. The Union may cover up to 100 % of the eligible costs, without prejudice to the co-financing principle.
2. By way of derogation from [Article 181(6)] of the Financial Regulation when applying flat rates, the authorising officer responsible may authorise or impose funding of the beneficiary’s indirect costs up to a maximum of 25 % of ▌ total eligible direct ▌ costs for the action .
3. Notwithstanding paragraph 2, indirect costs may be declared in the form of a lump sum or unit costs when provided for in the work programme referred to in Article 100.
4. By way of derogation from [Article 204] of the Financial Regulation, the maximum amount of financial support that can be paid to a third party shall not exceed EUR 200 000.
Article 19
Joint calls for grants
The Commission or an entrusted entity in the context of the Programme may issue a joint call for proposals with entities , bodies or persons referred to in Article 62(1)(c) of the Financial Regulation.
▌
In the case of a joint call, the rules referred to in Title VIII of the Financial Regulation shall apply. The evaluation procedures shall ▌ involve a balanced group of experts appointed by each party. The evaluation committees shall comply with Article 150 of the Financial Regulation.
The grant agreement shall specify the arrangement applicable to intellectual property rights.
Article 20
Grants for pre-commercial procurement and procurement of innovative solutions
1. Actions may involve or have as their primary aim pre-commercial procurement or public procurement of innovative solutions that shall be carried out by beneficiaries which are contracting authorities or contracting entities as defined in Directives 2014/24/EU, 2014/25/EU and 2009/81/EC of the European Parliament and of the Council.
2. The procurement procedures:
(a) |
shall comply with the principles of transparency, non- discrimination, equal treatment, sound financial management, proportionality and competition rules; |
(b) |
for pre-commercial procurement, may provide for specific conditions such as the place of performance of the procured activities being limited to the territory of the Member States and of associated countries; |
(c) |
may authorise the award of multiple contracts within the same procedure (multiple sourcing); and |
(d) |
shall provide for the award of the contracts to the tender(s) offering best value for money while ensuring absence of conflict of interest. |
3. The contractor generating results in pre-commercial procurement shall own at least the attached intellectual property rights. The contracting authorities shall enjoy at least royalty-free access rights to the results for their own use and the right to grant, or require the participating contractors to grant, non-exclusive licences to third parties to exploit the results for the contracting authority under fair and reasonable conditions without any right to sub-license. If a contractor fails to commercially exploit the results within a given period after the pre-commercial procurement as identified in the contract, the contracting authorities may require it to transfer any ownership of the results to the contracting authorities.
Article 21
Blending operations
Blending operations decided under this Programme shall be implemented in accordance with the [InvestEU regulation] and Title X of the Financial Regulation.
CHAPTER IV
Other financial provisions
Article 22
Cumulative, complementary and combined funding
1. An action that has received a contribution from another Union programme may also receive a contribution under the Programme, provided that the contributions do not cover the same costs. The rules of each contributing Union programme shall apply to its respective contribution to the action. The cumulative funding shall not exceed the total eligible costs of the action and the support from the different Union programmes may be calculated on a pro-rata basis in accordance with the documents setting out the conditions for support.
2. Actions awarded a Seal of Excellence certification, or which shall comply with the following cumulative conditions:
(a) |
they have been assessed in a call for proposals under the Programme; |
(b) |
they comply with the minimum quality requirements of that call for proposals; |
(c) |
they may not be financed under that call for proposals due to budgetary constraints; |
may receive support from the European Regional Development Fund, the Cohesion Fund, the European Social Fund+ or the European Agricultural Fund for Rural Development, in accordance with paragraph 5 of Article [67] of Regulation (EU) XX [Common Provisions Regulation] and Article [8] or Regulation (EU) XX [Financing, management and monitoring of the Common Agricultural Policy], provided that such actions are consistent with the objectives of the programme concerned. The rules of the Fund providing support shall apply.
▌
Article 24
Joint procurement
1. In addition to the provisions of [Article 165] of the Financial Regulation, the Commission and/or the Agency may carry out joint procurement procedures with the European Space Agency or other international organisations involved in implementing the components of the Programme.
2. The procurement rules applicable in [Article 165] of the Financial Regulation shall apply by analogy provided that in any case the procedural provisions applicable to the Union institutions are applied.
Article 25
Protection of essential security interests
Where necessary for the protection of the essential security interest of the Union and its Member States, in particular with regard to the need to preserve the integrity and resilience of the Union systems, as well as the autonomy of the industrial basis on which they rely, the Commission shall set the requisite eligibility conditions applicable to the procurement, grants or prizes covered by this Title. Particular regard shall be had, for that purpose, to the need for eligible undertakings to be established in a Member State, to commit to carry out any relevant activities inside the Union ▌. Those conditions shall be included in the documents relating to the procurement, grant or prize, as applicable. In the case of procurement, the conditions shall apply to the full life cycle of the resulting contract..
Article 26
Protection of the financial interests of the Union
Where a third country participates in the Programme by a decision under an international agreement or by virtue of any other legal instrument, the third country shall grant the necessary rights and access required for the authorising officer responsible, ▌ OLAF and the European Court of Auditors to comprehensively exert their respective competences. In the case of OLAF, such rights shall include the right to carry out investigations, including on-the-spot checks and inspections, provided for in Regulation (EU, Euratom) No 883/2013 of the European Parliament and of the Council concerning investigations conducted by the European Anti-Fraud Office ▌.
TITLE IV
GOVERNANCE OF THE PROGRAMME
Article 27
Principles of governance
The governance of the Programme shall be based on the following principles:
(a) |
clear distribution of tasks and responsibilities between the entities involved in the implementation of each component and measure of the Programme, in particular between the Member States, the Commission, the Agency and the European Space Agency and the European Organisation for the Exploitation of Meteorological Satellites, building on their respective competence and avoiding any overlap in tasks and responsibilities ; |
(aa) |
pertinence of the governance structure to the specific needs of each component and measure of the Programme as appropriate; |
(b) |
strong control of the Programme, including strict adherence to cost, schedule and performance by all the entities, within their respective roles and tasks in accordance with this Regulation; |
(c) |
transparent and cost-efficient management ; |
(cc) |
service continuity and necessary infrastructure continuity, including protection from relevant threats; |
(d) |
systematic and structured consideration of the needs of users of the data, information and services provided by the Programme's components, as well as of related scientific and technological evolutions ▌; |
(e) |
constant efforts to control and reduce risks. |
Article 28
Role of the Member States
1. The Member States may participate in the Programme . Member States who participate in the Programme shall contribute with their technical competence, know-how and assistance, in particular in the field of safety and security, and/or , where appropriate and possible , by making available to the Union the data, information , services and infrastructure in their possession or located on their territory, including by ensuring an efficient and obstacle free access and use of in-situ data and cooperating with the Commission to improve the availability of in-situ data required by the Programme , taking into account applicable licences and obligations .
2. The Commission may entrust, by means of contribution agreements, specific tasks to Member State organizations, where such organisations have been designated by the Member State concerned. The Commission, by means of implementing act, acting in accordance with the advisory procedure referred to in Article 107(2), shall adopt the contribution decisions regarding the contribution agreements.
2a. In certain duly justified circumstances , for the tasks referred to in Article 30, the Agency may entrust , by means of contribution agreements, specific tasks to Member State organizations, where such organisations have been designated by the Member State concerned .
2aa . The Member States shall take all the necessary measures to ensure the smooth functioning of the Programme ▌, including by helping to protect , at the adequate level, the frequencies required for this programme.
2b. The Member States and the Commission may cooperate to widen the uptake of data, information and services provided by the programme.
2c. Whenever possible, the contribution of Member States to the User Forum referred to in Article 107 shall be based on a systematic and coordinated consultation of end user communities at national level, in particular regarding Galileo, EGNOS and Copernicus
3. The Member States and Commission shall cooperate in order to develop the in-situ component and ground calibration services necessary for the uptake of space systems and to facilitate the use of in-situ and reference data sets to their full potential , building on existing capacities .
4. In the field of security, the Member States shall perform the tasks referred to in Article 34(4).
Article 29
Role of the Commission
1. The Commission shall have overall responsibility for the implementation of the Programme, including in the field of security , without prejudice to Member States' prerogatives in the area of national security . It shall, in accordance with this Regulation, determine the priorities and long-term evolution of the Programme , in line with the user requirements, and shall supervise its implementation, without prejudice to other policies of the Union.
2. The Commission shall manage any component or sub-component of the Programme ▌ not entrusted to another entity , in particular GOVSATCOM, NEO, space weather and the activites referred to in Art. 54(d) .
3. The Commission shall ensure a clear division of tasks and responsibilities between the various entities involved in the Programme and coordinate the activities of those entities. The Commission shall also ensure that all the entrusted entities involved in the implementation of the programme protect the interest of the Union, guarantee the sound management of the Union's funds and comply with the Financial Regulation and this Regulation.
3a. The Commission, shall conclude with the Agency and, taking into account the 2004 Framework agreement, the European Space Agency, a Financial Framework Partnership Agreement as provided for in [Article 130] of the Financial Regulation and referred to in Article 31a.
4. When necessary for the smooth functioning of the Programme and the smooth provision of the services provided by the Programme's components, the Commission shall, by means of delegated acts, determine the high-level requirements for the implementation of and evolution of those components and of the services they provide after having consulted users and all the other relevant stakeholders , including the downstream sector . When determining those high-level requirements , the Commission shall avoid reducing the general security level and to meet a backward compatibility imperative.
Those delegated acts shall be adopted in accordance with Article 21 .
5. The Commission shall ▌ ensure that the uptake and use of the data and services provided by the Programme's components in the public and private sectors is promoted and maximised, without prejudice to the tasks of the Agency or of other entrusted entities , including by supporting appropriate development of those services and user-friendly interfaces, and by fostering a stable long-term environment. It shall develop appropriate synergies between the applications of the various components of the Programme. It shall ensure complementarity, consistency, synergies and links between the Programme and other Union actions and programmes.
6. Where appropriate, the Commission shall ensure the coherence of activities performed in the context of the Programme with activities carried out in the field of space ▌ at Union, national or international level. It shall encourage cooperation between the Member States and , when pertinent to the Programme, facilitate convergence of their technological capacities and developments in the space domain. To this end, the Commission shall, where appropriate and in their field of competence, cooperate with the Agency and the European Space Agency.
7. The Commission shall inform the Committee referred to in article 107 of the interim and final results of the evaluation of any procurement tenders and of any contracts with public and private entities, including subcontracts.
Article 30
Role of the Agency
1. The Agency shall have the following own tasks:
(a) |
ensure, through its Security Accreditation Board, the security accreditation of all the components of the Programme in accordance with Chapter II of Title V; |
(b) |
perform other tasks referred to in Article 34(2) and (3); |
(c) |
undertake communication , market development and promotion activities ▌ of the services offered by Galileo and EGNOS , in particular activities relating to the market uptake and users needs' coordination ; |
(ca) |
undertake communication, promotion and market development activities of data, information and services offered by Copernicus, without prejudice to the activities performed by other entrusted entities and the Commission; |
(d) |
provide ▌ expertise to the Commission , including for the preparation of the downstream space-related research priorities . |
2. The Commission shall entrust the following tasks to the Agency:
(a) |
managing the exploitation of EGNOS and Galileo, covering the actions referred to in Article 43; |
(b) |
overarching coordination of user-related aspects of GOVSATCOM in close collaboration with Member States, other entities, relevant Union agencies and EEAS for crisis management missions and operations; |
(c) |
implementing activities relating to the development of downstream applications based on the components of the Programme , including fundamental elements and integrated applications based on the data and services provided by Galileo, EGNOS and Copernicus, including where funding have been made available for such activities in the context of the Horizon Europe Programme established under Regulation xx or where necessary to fulfill the objectives referred to in Article 4(1)(b); |
(d) |
undertake activities related to user uptake of data, information and services, offered by the programme’s components other than Galileo and EGNOS, without prejudice to Copernicus activities and Services entrusted to other entities; |
(e) |
specific actions referred to in Article 6 . |
3. The Commission may, on the basis of the assessments referred to in Article 102(6), entrust other tasks, to the Agency, provided that they do not duplicate activities performed by another entrusted entities in the context of the Programme and provided that they aim to improve the efficiency of the implementation of the Programme's activities .
3a. Whenever activities are entrusted to the Agency, appropriate financial, human and administrative resources shall be ensured for their implementation.
▌
5. By way of derogation from Art 62(1) of the Financial Regulation and subject to the Commission’s assessment of the protection of the Union’s interests, the Agency may entrust, by means of contribution agreements, specific activities to other entities, in areas of their respective competence, under the conditions of indirect management applying to the Commission.
Article 31
Role of the European Space Agency
1. Provided that the interest of the Union is protected, the European Space Agency shall be entrusted with the following tasks:
(a) |
as regards Copernicus: coordination of the space component and the implementation for the Copernicus space component and its evolution, design, development ▌ and construction of the Copernicus space infrastructure, including the operations of that infrastructure and related procurement, except when this is done by other entities, and, where appropriate, access to third party data ; |
(b) |
as regards Galileo and EGNOS: systems evolution, design and development , of parts of the ground segment and ▌ of satellites , including testing and validation ; |
(c) |
as regards all the components of the Programme with upstream research and development activities in its fields of expertise. |
1a. On the basis of an assessment by the Commission, the European Space Agency may be entrusted with other tasks based of the needs of the programme, provided that they do not duplicate activities performed by another entrusted entity in the context of the Programme and provided that they aim to improve the efficiency of the implementation of the Programme's activities.
▌
4. Without prejudice to the financial framework partnership agreement referred to in Article 31a, the Commission or the Agency may request the European Space Agency to provide technical expertise and the information necessary to perform the tasks which are assigned to them by this Regulation under conditions to be mutually agreed.
Article 31a
The financial framework partnership agreement
1. The ▌financial framework partnership agreement referred to in Article 29(3a) shall:
a) |
clearly define the roles, responsibilities and obligations of the Commission, the Agency and the European Space Agency with regard to each component of the Programme and necessary coordination and control mechanisms; |
b) |
require that the European Space Agency applies the Union security rules defined in the security agreements entered into between the Union, and its Institutions and Agencies, with ESA, in particular with regard to the processing of classified information; |
c) |
stipulate the conditions of the management of funds entrusted to the European Space Agency, particularly with regard to public procurement, including the application of Union procurement rules when procuring in the name and on behalf of the Union or the application of the rules of the entrusted entity in accordance with Article 154 of the Financial Regulation, management procedures, the expected results measured by performance indicators, applicable measures in the event of deficient or fraudulent implementation of the contracts in terms of costs, schedule and results, as well as the communication strategy and the rules regarding ownership of all tangible and intangible assets; these conditions shall be in conformity with Titles III and V of this Regulation and with the Financial Regulation; |
d) |
require that, whenever a Tender Evaluation Board is established by the Agency or the European Space Agency for a procurement action performed under the FFPA, experts from the Commission and, where relevant, the other entrusted entity shall participate as member in the Tender Evaluation Board meetings. Such participation shall be without prejudice to the technical independence of the Tender Evaluation Board ▌; |
e) |
establish the monitoring and control measures, which shall include, in particular, a cost forecast system, the systematic provision of information to the Commission or, where appropriate, to the Agency, on costs and schedule, and in the event of a discrepancy between the planned budgets, performance and schedule, corrective action ensuring performance of the tasks ▌ within ▌ the allocated budgets ▌; |
f) |
establish the principles for the remuneration of the European Space Agency for each component of the programme, which shall be commensurate with the conditions under which the actions are implemented, taking due account of situations of crisis and fragility, and, where appropriate, be performance based; the remuneration shall only cover general overheads which are not associated with the activities entrusted to the European Space Agency by the Union; |
(g) |
provide that the European Space Agency takes appropriate measures to ensure the protection of the interests of the Union and to comply with the decisions taken by the Commission for each componet in application of this Regulation. |
2. Without prejudice to the financial framework partnership agreement referred to in Article 31a, the Commission or the Agency may ask the European Space Agency to provide technical expertise and the information necessary to perform the tasks which are assigned to them by this Regulation. The conditions for such requests and their implementation shall be mutually agreed.
Article 32
Role of EUMETSAT and other entities
1. The Commission may entrust, in full or in part, by means of contribution agreements the implementation of the following tasks to entities other than those referred to in Article 30 and 31, including:
(a) |
the upgrading, operations preparation and operation of the Copernicus space infrastructure or parts thereof and, where appropriate, managing access to contributing mission data , which may be entrusted to EUMETSAT; |
(b) |
the implementation of the Copernicus services or parts thereof to relevant agencies, bodies or organisations , managing also the relevant third party information acquisition . |
2. The criteria for the selection of such entrusted entities shall, in particular, reflect their ability to ensure the continuity and, where appropriate, the security of the operations with no or minimal disruption of Programme activities.
2a. Whenever possible, the conditions of the contribution agreements referred to in the first paragraph shall be coherent with the conditions of the FFPA referred to in Article 31a(1).
3. The Programme Committee shall be consulted on the contribution decision regarding the contribution agreement referred to in paragraph 1 of this Article in accordance with the advisory procedure referred to in Article 107(2). The Programme Committee shall be informed in advance of the contribution agreements to be concluded by the Union, represented by the Commission, and the Entities referred to in paragraph 1.
TITLE V
SECURITY OF THE PROGRAMME
CHAPTER I
Security of the Programme
Article 33
Principles of security
1. The security of the Programme shall be based on the following principles:
(a) |
to take account of the experience of the Member States in the field of security and draw inspiration from their best practices; |
(b) |
to use ▌ the ▌ security rules of the Council and of the Commission , which provide , among others, for a separation between operational functions and those associated with accreditation. |
2. This Regulation shall be without prejudice to the sole responsibility of the Member States for national security, as provided for in Article 4(2) TEU, and to the right of the Member States to protect their essential security interests in accordance with Article 346 TFEU.
Article 34
Governance of security
1. The Commission, in its field of competence, with the support of the Agency, shall ensure a high degree of security with regard to, in particular:
(a) |
the protection of infrastructure, both ground and space, and of the provision of services, particularly against physical or cyber-attacks , including interference with data streams ; |
(b) |
the control and management of technology transfers; |
(c) |
the development and preservation within the Union of the competence and know-how acquired; |
(d) |
the protection of sensitive non-classified and classified information. |
To that end, the Commission shall ensure that a risk and threat analysis is performed for each Programme's component. Based on that risk and threat analysis, it shall determine by the end of 2023 , by means of implementing acts, for each component of the Programme, the general security requirements. In doing so, the Commission shall take account of the impact of those requirements on the smooth functioning of that component, in particular in terms of cost, risk management and schedule, and shall ensure not to reduce the general level of security or undermine the functioning of the existing equipment based on that component and take into account cybersecurity risks . Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 107(3).
After the entry into force of this Regulation, the Commission shall communicate an indicative list of implementing acts to be submitted to and discussed by the Programme Committee in security configuration. This list shall be accompanied by an indicative timetable for submission.
2. The entity responsible for the management of a component of the Programme shall be responsible for ▌ the operational security of that component and shall, to that end, carry out risk and threat analysis and all the necessary activities to ensure and monitor the security of that component, in particular setting of technical specifications and operational procedures, and monitor their compliance with the general security requirements referred to in paragraph 1. Pursuant to Article 30, for Galileo and EGNOS that entity shall be the Agency.
2a. Based on the risk and threat analysis, the Commission shall, where appropriate, identify a structure to monitor security and to follow the instructions developed under the scope of Decision 201x/xxx/CFSP (21). The structure shall operate in accordance with the security requirements referred to in paragraph 1. For Galileo, that structure shall be the Galileo Security Monitoring Centre.
3. The Agency shall:
(a) |
ensure the security accreditation of all the components of the Programme in accordance with Chapter II of this Title and without prejudice to the competences of the Member States; |
(b) |
ensure the operation of the Galileo Security Monitoring Centre in accordance with the requirements referred to in paragraph 2 and the instructions developed under the scope of Decision 2014/496/CFSP; |
(c) |
perform the tasks assigned to it under Decision No 1104/2011/EU; |
(d) |
provide the Commission with its technical expertise and supply any information necessary for the performance of its tasks under this Regulation. |
4. The Member States shall:
(a) |
take measures which are at least equivalent to those necessary for the protection of European critical infrastructures within the meaning of Council Directive 2008/114/EC of 8 December 2008 on the identification and designation of European critical infrastructures and the assessment of the need to improve their protection (22) and to those necessary for the protection of their own national critical infrastructures in order to ensure the protection of the ground infrastructure on the ground which form an integral part of the Programme and which are located on their territory; |
(b) |
perform the security accreditation tasks referred to in Article 41. |
5 . The entities involved in the Programme shall take all the ▌ necessary measures, also in light of the issues identified in the risk analysis, to ensure the security of the Programme.
Article 34a
Security of systems and services deployed
Whenever the security of the Union or its Member States may be affected by the operation of the systems, the procedures set out in Council Decision XXXX/XX/CFSP shall apply.
CHAPTER II
Security accreditation
Article 35
Security Accreditation Authority
The Security Accreditation Board established within the Agency shall be the security accreditation authority for all the components of the Programme.
Article 36
General principles of security accreditation
Security accreditation activities for all the components of the Programme shall be conducted in accordance with the following principles:
(a) |
security accreditation activities and decisions shall be undertaken in a context of collective responsibility for the security of the Union and of the Member States; |
(b) |
efforts shall be made for decisions within the Security Accreditation Board to be reached by consensus; |
(c) |
security accreditation activities shall be carried out using a risk assessment and management approach, considering risks to the security of the component as well as the impact on cost or schedule of any measure to mitigate the risks, taking into account the objective not to lower the general level of security of this component; |
(d) |
security accreditation decisions of the Security Accreditation Board shall be prepared and taken by professionals who are duly qualified in the field of accrediting complex systems, have an appropriate level of security clearance and act objectively; |
(e) |
efforts shall be made to consult all relevant parties with an interest in security issues for this component; |
(f) |
security accreditation activities shall be carried out by all relevant stakeholders of the component according to a security accreditation strategy, without prejudice to the role of the Commission; |
(g) |
security accreditation decisions of the Security Accreditation Board shall, following the process defined in the relevant security accreditation strategy defined by that Board, be based on local security accreditation decisions taken by the respective national security accreditation authorities of the Member States; |
(h) |
a permanent, transparent and fully understandable monitoring process shall ensure that the security risks for the component are known, that security measures are defined to reduce such risks to an acceptable level in view of the security needs of the Union and of its Member States and for the smooth running of the component and that those measures are applied in accordance with the concept of defence in depth. The effectiveness of such measures shall be continuously evaluated. The process relating to security risk assessment and management shall be conducted as an iterative process jointly by the stakeholders of the component; |
(i) |
security accreditation decisions shall be taken by the Security Accreditation Board in a strictly independent manner, including with regard to the Commission and the other bodies responsible for the implementation of the component and for the provision of related services, and with regard to the Executive Director and the Administrative Board of the Agency; |
(j) |
security accreditation activities shall be carried out with due regard for the need for adequate coordination between the Commission and the authorities responsible for implementing security provisions; |
(k) |
the security accreditation of EGNOS performed by the Security Accreditation Board shall be without prejudice to the accreditation activities performed, for aviation, by the European Aviation Safety Agency. |
Article 37
Tasks of the Security Accreditation Board
1. The Security Accreditation Board shall perform its tasks without prejudice to the responsibilities of the Commission or to those entrusted to the Agency’s other bodies, in particular for matters relating to security, and without prejudice to the competences of the Member States as regards security accreditation.
2. The Security Accreditation Board shall have the following tasks:
(a) |
defining and approving a security accreditation strategy setting out:
|
(b) |
taking security accreditation decisions, in particular on the approval of satellite launches, the authorisation to operate the systems set up under the components of the Programme or the elements of these components in their different configurations and for the various services they provide, up to and including the signal in space, and the authorisation to operate the ground stations. As regards the networks and the equipment connected to the PRS service referred to in Article 44 , or to any other secure service stemming from the components of the Programme, the Security Accreditation Board shall take decisions only on the authorisation of bodies to develop or manufacture sensitive PRS technologies, PRS receivers or PRS security modules, or any other technology or equipment which has to be checked under the general security requirements referred to in Article 34(1), taking into account the advice provided by national entities competent in security matters and the overall security risks; |
(c) |
examining and, except as regards documents which the Commission is to adopt under Article 34(1) of this Regulation and Article 8 of Decision No 1104/2011/EU, approving all documentation relating to security accreditation; |
(d) |
advising, within its field of competence, the Commission on the production of draft texts for acts referred to in Article 34(1) of this Regulation and Article 8 of Decision No 1104/2011/EU, including for the establishment of security operating procedures (SecOps), and providing a statement with its concluding position; |
(e) |
examining and approving the security risk assessment drawn up in accordance with the monitoring process referred to in Article 36(h), taking into account compliance with the documents referred to in point (c) of this paragraph and those drawn up in accordance with Article 34(1) of this Regulation, and with Article 8 of Decision No 1104/2011/EU; and cooperating with the Commission to define risk mitigation measures; |
(f) |
checking the implementation of security measures in relation to the security accreditation of the components of the Programme by undertaking or sponsoring security assessments, inspections, audits or reviews, in accordance with Article 41(b) of this Regulation; |
(g) |
endorsing the selection of approved products and measures which protect against electronic eavesdropping (TEMPEST) and of approved cryptographic products used to provide security for the components of the Programme; |
(h) |
approving or, where relevant, participating in the joint approval, together with the relevant entities competent in security matters, of the interconnection between the systems established under the components of the Programme or the parts of these components and other systems; |
(i) |
agreeing with the relevant Member State the template for access control referred to in Article 41(c); |
(j) |
preparing risk reports and informing the Commission, the Administrative Board and the Executive Director of its risk assessment and advising them on residual risk treatment options for a given security accreditation decision; |
(k) |
assisting, in close liaison with the Commission, the Council and the High Representative in the implementation of Decision 2014/496/CFSP upon a specific request from the Council and/or the High Representative; |
(l) |
carrying out the consultations which are necessary to perform its tasks; |
(m) |
adopting and publishing its rules of procedure. |
3. Without prejudice to the powers and responsibilities of the Member States, a special subordinate body representing the Member States shall be set up under the supervision of the Security Accreditation Board to perform in particular the following tasks :
(a) |
the management of flight keys and other keys necessary for the functioning of Galileo; |
(b) |
the verification of the establishment and enforcement of procedures for accounting, secure handling, storage and distribution of the PRS keys of Galileo. |
Article 38
Composition of the Security Accreditation Board
1. The Security Accreditation Board shall be composed of a representative of each Member State, a representative of the Commission and a representative of the High Representative of the Union for Foreign Affairs and Security Policy (‘High Representative’). The term of office of the members of the Security Accreditation Board shall be four years and shall be renewable.
2. Participation in SAB meetings shall be based on the need-to-know-principle. Where appropriate, representatives of the European Space Agency and representatives of the Agency not involved in security accreditation may be invited to attend the meetings of the Security Accreditation Board as observers . On an exceptional basis, representatives of Union Agencies, third countries or international organisations may also be invited to attend meetings as observers for matters directly relating to those third countries or international organisations, especially matters concerning the infrastructure belonging to them or established on their territory. Arrangements for such participation of representatives of third countries or international organisations and the conditions therefore shall be laid down in the relevant agreements and shall comply with the rules of procedure of the Security Accreditation Board.
Article 39
Voting rules of the Security Accreditation Board
If consensus according to the general principles referred to in Article 36 cannot be reached, the Security Accreditation Board shall take decisions on the basis of qualified majority voting, in accordance with Article 16 of the Treaty on European Union. The representative of the Commission and the representative of the High Representative shall not vote. The Chairperson of the Security Accreditation Board shall sign, on behalf of the Security Accreditation Board, the decisions adopted by the Security Accreditation Board.
Article 40
Communication and impact of decisions of the Security Accreditation Board
1. The decisions of the Security Accreditation Board shall be addressed to the Commission.
2. The Commission shall keep the Security Accreditation Board continuously informed of the impact of any decisions envisaged by the Security Accreditation Board on the proper conduct of the components of the Programme, and of the implementation of residual risk treatment plans. The Security Accreditation Board shall take note of any such information from the Commission.
3. The Commission shall keep the European Parliament and the Council informed, without delay, of the impact of the adoption of the security accreditation decisions on the proper conduct of the components of the Programme. If the Commission considers that a decision taken by the Security Accreditation Board may have a significant effect on the proper conduct of these components, for example in terms of costs, schedule or performance, it shall immediately inform the European Parliament and the Council.
4. The Administrative Board shall be kept periodically informed of the evolution of the work of the Security Accreditation Board.
5. The timetable for the work of the Security Accreditation Board shall not hamper the timetable of activities provided in the work programme referred to in Article 100.
Article 41
Role of the Member States in security accreditation
Member States shall:
(a) |
transmit to the Security Accreditation Board all information they consider relevant for the purposes of security accreditation; |
(b) |
permit duly authorised persons appointed by the Security Accreditation Board, in agreement with and under the supervision of national entities competent in security matters, to have access to any information and to any areas and/or sites related to the security of systems falling within their jurisdiction, in accordance with their national laws and regulations, and without any discrimination on ground of nationality of nationals of Member States, including for the purposes of security inspections, audits and tests as decided by the Security Accreditation Board and of the security risk monitoring process referred to in Article 36(h). These audits and tests shall be performed in accordance with the following principles:
|
(c) |
each be responsible for devising a template for access control, which is to outline or list the areas/sites to be accredited, and which shall be agreed in advance between the Member States and the Security Accreditation Board, thereby ensuring that the same level of access control is being provided by all Member States; |
(d) |
be responsible, at local level, for the accreditation of the security of sites that are located within their territory and form part of the security accreditation area for the components of the Programme, and report, to this end, to the Security Accreditation Board. |
CHAPTER III
Protection of classified information
Article 42
Protection of ▌ classified information
Within the scope of this Regulation:
(a) |
the exchange of ▌classified information related to the Programme shall be subject to the existence of an international agreement between the Union and a third country or international organisation on the exchange of classified information or, where applicable, an arrangement entered into by the competent Union Institution or body and the relevant authorities of a third country or international organisation on the exchange of classified information, and to the conditions laid down therein ; |
▌ |
|
(c) |
natural persons resident in and legal persons established in third countries may deal with European Union classified information regarding the Programme only where they are subject, in those countries, to security regulations ensuring a degree of protection at least equivalent to that provided by the Commission's rules on security set out in Commission Decision (EU, Euratom) 2015/444 and by the security rules of the Council set out in the Annexes to Decision 2013/488/EU. The equivalence of the security regulations applied in a third country or international organisation shall be defined in a security of information agreement, including industrial security matters if relevant, concluded between the Union and that third country or international organisation in accordance with the procedure provided for in Article 218 TFEU and taking into account Article 13 of Decision 2013/488/EU; |
(d) |
without prejudice to Article 13 of Decision 2013/488/EU and to the rules governing the field of industrial security as set out in Commission Decision (EU, Euratom) 2015/444, a natural person or legal person, third country or international organisation may be given access to European Union classified information where deemed necessary on a case-by-case basis, according to the nature and content of such information, the recipient's need-to-know and the degree of advantage to the Union. |
TITLE VI
Galileo and EGNOS
Article 43
Eligible actions
The exploitation of Galileo and EGNOS shall cover the following eligible actions :
(a) |
the management, operation, maintenance, continuous improvement, evolution and protection of the space-based infrastructure, including upgrades and obsolescence management; |
(b) |
the management, operation, maintenance, continuous improvement, evolution and protection of the ground-based infrastructure, in particular ground based centres and stations referred to in Decision (EU) 2016/413 or (EU) 2017/1406, networks, including upgrades and obsolescence management; |
(c) |
the development of future generations of the systems and the evolution of the services provided by Galileo and EGNOS, without prejudice to future decisions on the Union financial perspectives , including by taking into account the needs of relevant stakeholders ; |
(ca) |
support the development of Galileo and EGNOS downstream applications and the development and evolution of fundamental technological elements, such as Galileo-enabled chipsets and receivers; |
(d) |
the support of certification and standardisation activities related to Galileo and EGNOS, in particular in the transport sector ; |
(e) |
the continuous provision ▌ of the services provided by Galileo and EGNOS and, in complementarity with Member States and private sector initiatives, the market development of those services, in particular, in order to maximise the socio-economic benefits referred to in Article 4(1) ; |
(f) |
cooperation with other regional or global satellite navigation systems , including to facilitate compatibility and interoperability ; |
(g) |
▌ elements to monitor the reliability of the systems and their exploitation , and the performance of the services ; |
(h) |
▌ activities related to the provision of services and to the coordination of the extension of their coverage. |
Article 44
Services provided by Galileo
1. The services provided by Galileo shall comprise:
(a) |
a Galileo open service (GOS), which shall be free of charge for users and provides positioning and synchronisation information intended mainly for high-volume satellite navigation applications for use by consumers; |
(b) |
a high-accuracy service (HAS), which shall be free of charge for users and shall provide, through additional data disseminated in a supplementary frequency band, high-accuracy positioning and synchronisation information intended mainly for satellite navigation applications for professional or commercial use; |
(c) |
a signal authentication service (SAS), based on the encrypted codes contained in the signals, intended mainly for satellite navigation applications for professional or commercial use; |
(d) |
a public regulated service (PRS), which shall be restricted to government-authorised users ▌, for sensitive applications which require a high level of service continuity, including in the area of security and defence, using strong, encrypted signals; it shall be free of charge for the Member States, the Council, the Commission, EEAS and, where appropriate, duly authorised Union agencies; the question of whether to charge the other PRS participants referred to in Article 2 of Decision No 1104/2011/EU shall be assessed on a case-by-case basis and appropriate provisions shall be specified in the agreements concluded pursuant to Article 3(5) of that Decision; access to PRS shall be regulated in accordance with Decision 1104/2011/EU applicable to the Member States, the Council, the Commission, the EEAS and Union agencies; |
(e) |
an emergency service (ES), which shall be free of charge for users, and broadcast , through emitting signals, warnings regarding natural disasters or other emergencies in particular areas; it shall be provided in cooperation with Member States national civil protection authorities, where appropriate; |
(f) |
a timing service (TS), which is free of charge to the user and provides an accurate and robust reference time as well as realization of the coordinated universal time, facilitating the development of timing applications based on Galileo and the use in critical applications. |
2. Galileo shall also contribute to:
(a) |
the search and rescue support service (SAR) of the COSPAS-SARSAT system by detecting distress signals transmitted by beacons and relaying messages to them via a ‘return link’; |
(b) |
integrity-monitoring services standardized at the Union or international level for use by safety-of-life services, on the basis the signals of Galileo open service and in combination with EGNOS and other satellite navigation systems; |
(c) |
space weather information via the GNSS Service Centre (23) and early warning services provided via the Galileo ground-based infrastructure, intended mainly to reduce the potential risks to users of the services provided by Galileo and other GNSSs related to space ▌. |
Article 45
Services provided by EGNOS
1. The services provided by EGNOS shall comprise:
(a) |
an EGNOS open service (EOS), which shall be free of charge for the users , and shall provide positioning and synchronisation information intended mainly for high-volume satellite navigation applications for use by consumers; |
(b) |
EGNOS data access service (EDAS), which shall be free of charge for users and shall provide positioning and synchronisation information intended mainly for satellite navigation applications for professional or commercial use, offering improved performance and data with greater added value than those obtained through the EOS; |
(c) |
a safety-of-life (SoL) service, which shall be free of direct user charges and shall provide positioning and time synchronisation information with a high level of continuity, availability and accuracy, including an integrity message alerting users to any failure in, or out-of-tolerance signals emitted by, Galileo and other GNSSs which it augments in the coverage area, intended mainly for users for whom safety is essential, in particular in the sector of civil aviation for the purpose of air navigation services , according to ICAO standards, or other transport sectors . |
2. The services referred to in paragraph 1 shall be provided as a priority on the territory of all Member States geographically located in Europe , including for this purpose Cyprus, the Azores, the Canary Islands and Madeira, by the end of 2026 .
The geographical coverage of EGNOS may be extended to other regions of the world, in particular to the territories of candidate countries, of third countries associated with the Single European Sky and of third countries in the European Neighbourhood Policy, subject to technical feasibility and in conformity with security requirements referred to in Article 34, and , for the SoL service, on the basis of international agreements.
3. The cost of such extension, including the related operating costs specific to these regions, shall not be covered by the budget referred to in Article 11. The Commission shall consider other programmes or instrument to finance such activities. Such extension shall not delay the offering of the services referred to in paragraph 1 throughout the territory of Member States geographically located in Europe.
Article 46
Implementing measures for Galileo and EGNOS
Where necessary for the smooth functioning of Galileo and EGNOS and their adoption by the market, the Commission shall lay down, where necessary, measures required to:
(a) |
manage and reduce the risks inherent in the operation of Galileo and EGNOS , in particular to ensure service continuity ; |
(b) |
specify the key decision stages to monitor and evaluate the implementation of Galileo and EGNOS; |
(c) |
determine the location of the centres belonging to the ground-based infrastructure of Galileo and EGNOS in accordance with security requirements, following an open and transparent process, and ensure their operation; |
(d) |
determine the technical and operational specifications relating to the services referred to in Article 44 point (1)(c), (e), (f) and point (2) (c) . |
Those implementing measures shall be adopted in accordance with the examination procedure referred to in Article 107(3).
Article 47
Compatibility, interoperability and standardization
1. Galileo and EGNOS, and the services which they provide, shall be fully compatible and interoperable from a technical point of view , including at users' level .
2. Galileo and EGNOS, and the services which they provide, shall be compatible and interoperable with other satellite navigation systems and with conventional means of radio navigation, where the necessary compatibility and interoperability requirements and conditions thereof are laid down in international agreements.
TITLE VII
Copernicus
CHAPTER I
General provisions
Article 48
Scope of Copernicus
1. Copernicus shall be implemented building on prior ▌ investments , including by stakeholders such as European Space Agency and EUMETSAT and, where appropriate and cost-effective , drawing on the national or regional capacities of Member States and taking into account the capacities of commercial suppliers of comparable data and information and the need to foster competition and market development , while maximising opportunities for European users .
2. Copernicus shall deliver data and information , building on Copernicus user needs and based on a full, free and open data policy.
2a. Copernicus shall support the formulation, implementation and monitoring of the Union and its Member States policies in particular in the fields of the environment, climate change, marine, maritime, atmosphere, agriculture and rural development, preservation of cultural heritage, civil protection, infrastructure monitoring, safety and security, as well as the digital economy with the aim to further reduce the administrative burden.
3. Copernicus shall comprise four elements , namely:
(a) |
data acquisition ▌ which shall include:
|
(b) |
data and information processing through Copernicus Services , which shall include activities for the generation of value-added information to support environmental monitoring, reporting and compliance assurance, civil protection and security services▌; |
(c) |
data access and distribution component, which shall include infrastructure and services to ensure the discovery, viewing, access to, distribution and exploitation and long-term preservation of Copernicus data and Copernicus information , in a user-friendly manner ; |
(d) |
user uptake, market development and capacity building in accordance with Article 29(5), which shall include relevant activities, resources and services to promote Copernicus, its data and Services , as well as related downstream applications and their development at all levels to maximise socio-economic benefits which are referred to in Article 4(1) as well as the collection and analysis of user needs . |
4. Copernicus shall promote the international coordination of observation systems and related exchanges of data in order to strengthen its global dimension and complementarity taking account of ▌ international agreements and coordination processes.
CHAPTER II
Eligible actions
Article 49
Eligible actions for data acquisition
Eligible actions under Copernicus shall cover:
(a) |
actions to provide enhanced continuity of existing Sentinel missions and to develop, launch, maintain and operate further Sentinels expanding the observation scope, giving priority in particular to ▌ observation capacities for monitoring anthropogenic CO2 and other greenhouse gas emissions, allowing for monitoring polar regions and enabling innovative environmental applications in agriculture, forest, water and marine resources management , and cultural heritage ; |
(b) |
actions to provide access to third-party data necessary to generate Copernicus services or for use by the Union's institutions, agencies, decentralised services and, where appropriate and cost-effective, national or regional public bodies ; |
(c) |
actions to provide and coordinate access to in situ and other ancillary data necessary for the generation, calibration and validation of Copernicus data and Copernicus information , including where appropriate and cost-effective the use of existing national capacities and avoiding duplications . |
Article 50
Eligible actions for Copernicus Services
1. Copernicus shall include actions in support of the following services:
(a) |
environmental monitoring, reporting and compliance assurance services covering:
|
(b) |
emergency management service to provide information in support of and in coordination with public authorities concerned with civil protection ▌, supporting civil protection and emergency response operations (improving early warning activities and crisis response capacities), and prevention and preparedness actions (risk and recovery analyses) in relation to different types of disasters; |
(c) |
security service to support surveillance of the Union and its external borders, maritime surveillance, as well as Union external action responding to security challenges facing the Union, and Common Foreign and Security Policy objectives and actions. |
2. The Commission, supported where relevant by external independent expertise, shall ensure the pertinence of the Services by:
(a) |
validating the technical feasibility and fitness for purpose of the requirements expressed by the user communities; |
(b) |
assessing the means and solutions, proposed or executed, to meet the requirements of the user communities and the objectives of the Programme. |
Article 51
Eligible actions for data and information access and distribution ▌
1. Copernicus shall include actions to provide enhanced access to all Copernicus data and Copernicus information and, where appropriate, provide additional infrastructure and services to foster the distribution, access and use of those data and information.
2. Where Copernicus data or Copernicus information are security sensitive according to Articles 12 to 16 of Commission Delegated Regulation (EU) No 1159/2013 (24), the Commission may entrust the procurement, the supervision of the acquisition, the access to and the distribution of those data and information to one or more fiduciary entities. Such entities shall set up and maintain a registry of accredited users and grant access to the restricted data through a segregated workflow.
CHAPTER III
Copernicus data policy
Article 52
Copernicus data and Copernicus information policy
1. Copernicus data and Copernicus information shall be provided to users under the following free, full and open data policy:
(a) |
Copernicus users may, on a free and worldwide basis, reproduce, distribute, communicate to the public, adapt, and modify all Copernicus data and Copernicus information and combine them with other data and information; |
(b) |
the free, full and open data policy shall include the following limitations:
|
2. The Commission shall adopt delegated acts in accordance with Article 105 concerning the specific provisions to supplement paragraph 1 as regards the specifications and conditions and procedures for the access to and use of Copernicus data and Copernicus information.
3. The Commission shall issue licenses and notices for access and use of Copernicus data and Copernicus information, including attribution clauses, in compliance with the Copernicus data policy as set out in this Regulation and applicable delegated acts under paragraph 2.
TITLE VIII
OTHER COMPONENTS OF THE PROGRAMME
CHAPTER I
SSA
SECTION I
SST
Article 53
Scope of SST
1. The SST sub-components shall support the following activities:
(a) |
the establishment, development and operation of a network of ground-based and/or space-based SST sensors of the Member States, including sensors developed through the European Space Agency or the Union private sector, and nationally operated Union sensors, to survey and track space objects and to produce a European catalogue of space objects ▌; |
(b) |
the processing and analysis of SST data at national level in order to produce SST information and services referred to in Article 54; |
(c) |
the provision of the SST services referred to in Article 54 to the users referred to in Article 55; |
(cc) |
monitoring and seeking synergies with initiatives promoting development and deployment of technologies for spacecraft disposal at the end of operational lifetime, of technological systems for the prevention and elimination of space debris as well as with the international initiatives in the area of the space traffic management. |
2. The SST component shall also provide technical and administrative support to ensure the transition between the EU Space Programme and the SST Support Framework established by Decision No 541/2014/EU.
Article 54
SST services
1. SST services shall comprise:
(a) |
the risk assessment of collision between spacecraft or between spacecraft and space debris and the potential generation of collision avoidance alerts during the phases of launch, early orbit, orbit raising, in-orbit operations and disposal phases of spacecraft missions; |
(b) |
the detection and characterisation of in-orbit fragmentations, break-ups or collisions; |
(c) |
the risk assessment of the uncontrolled re-entry of space objects and space debris into the Earth's atmosphere and the generation of related information, including the estimation of the timeframe and likely location of possible impact; |
(d) |
the development of activities in preparation of:
|
2. SST services shall be free of charge, available at any time without interruption and adapted to the needs of the users referred to in Article 55.
3. Participating Member States, the Commission and, where relevant, the Front desk, shall not be held liable for:
(a) |
damage resulting from the lack of or interruption in the provision of SST services; |
(b) |
delay in the provision of SST services; |
(c) |
inaccuracy of the information provided through the SST services; or |
(d) |
action undertaken in response to the provision of SST services . |
Article 55
SST Users
1. EU users shall comprise:
(a) |
SST core users: Member States, the EEAS, the Commission, the Council, the Agency as well as public and private spacecraft owners and operators ▌ established in the Union; |
(b) |
SST non-core users: other public and private entities ▌ established in the Union. |
SST core users shall have access to all SST services referred to in Article 54(1).
SST non core users may have access to SST services referred to in points (b) to (d) of Article 54(1)
2. International users shall comprise third countries, international organisations not having their headquarters in the Union and private entities not established in the Union under the following conditions:
(a) |
third countries and international organisations not having their headquarters in the Union may have access to SST services pursuant to Article 8(1a); |
(b) |
Private entities not established in the Union may have access to SST services subject to an international agreement, established in accordance with Article 8(1a), with the third country in which they are established granting them that access. |
3. By derogation to paragraph 2 of this Article, no international agreement shall be required where an SST service referred to in Article 54(1) is publically available.
4. The Commission may adopt, by means of implementing acts, detailed provisions concerning the access to SST services and relevant procedures. Those provisions shall be adopted in accordance with the examination procedure referred to in Article 107(3).
Article 56
Participation of Member States
1. Member States wishing to participate in the provision of SST services referred to in Article 54 covering all orbits shall submit a single joint proposal to the Commission demonstrating compliance with the following criteria:
(a) |
ownership of, or access to, either adequate SST sensors available for EU SST and human resources to operate them, or adequate operational analysis and data processing capabilities specifically designed for SST and available for EU SST; |
(b) |
initial security risk assessment of each SST asset performed and validated by the relevant Member State; |
(c) |
an action plan taking into account the coordination plan adopted under Article 6 of Decision 541/2014/EU, for the implementation of the activities set out in Article 53 of this Regulation; |
(d) |
the distribution of the different activities among the Expert Teams as designated pursuant to Article 57; |
(e) |
the rules on the sharing of data necessary for achieving the objectives referred to in Article 4. |
As concerns criteria set out in points (a) and (b), each Member States wishing to participate in the provision of SST services shall demonstrate compliance with these criteria separately.
As concerns criteria set out in points c) to e), all Member States wishing to participate in the delivery of SST services shall demonstrate compliance with those criteria collectively.
2. The criteria referred to in points (a) and (b) of paragraph 1 shall be deemed to be fulfilled by the participating Member States whose designated national entities are members of the Consortium established in accordance with Article 7 of Decision No 541/2014/EU as on the date of entry into force of this Regulation.
3. Where no joint proposal has been submitted in accordance with paragraph 1 or where the Commission considers that a joint proposal thus submitted does not comply with the criteria referred to in paragraph 1, at least five Member States ▌may submit a new joint proposal to the Commission, demonstrating compliance with the criteria referred to in paragraph 1 ▌.
4. The Commission may adopt, by means of implementing acts, the detailed provisions concerning the procedures and elements referred to in paragraphs 1 to 3. Those implementing measures shall be adopted in accordance with the examination procedure referred to in Article 107(3).
Article 57
Organisational framework of Member States' participation
1. All Member States which have submitted a proposal that has been found compliant by the Commission in accordance with Article 56(1) or which have been selected by the Commission pursuant to the procedure referred to in Article 56(3) shall designate a Constituting National Entity established on their territory to represent them. The Constituting National Entity shall be a Member State public authority or a body entrusted with the exercise of such public authority
2. The Constituting National Entities designated pursuant to paragraph 1 shall conclude an agreement creating an SST partnership and laying down the rules and mechanisms for their cooperation in implementing the activities referred to in Article 53. In particular, that agreement shall include the elements mentioned in points (c) to (e) of Article 56(1) and the establishment of a risk management structure to ensure the implementation of the provisions on the use and secure exchange of SST data and SST information.
3. The Constituting National Entities shall develop Union SST services of high quality in accordance with a multiannual plan, relevant key performance indicators and users' requirements, on the basis of the activities of the Expert Teams referred to in paragraph 6. The Commission may adopt, by means of implementing acts, the multiannual plan and the key performance indicators in accordance with the examination procedure referred to in Article 107(3).
4. The Constituting National Entities shall network existing and possible future sensors to operate them in a coordinated and optimised way with a view to establishing and maintaining an up-to-date common European catalogue , without prejudice to Member States' prerogatives in the area of national security .
5. The participating Member States shall perform security accreditation on the basis of the general security requirements referred to in Article 34(1).
6. Expert Teams shall be designated by the SST participating Member States to be in charge of specific issues related to the different SST activities. The Expert Teams shall be permanent, managed and staffed by the Constituting National Entities of the Member States which set them up and may include experts from every Constituting National Entity.
7. Constituting National Entities and Expert Teams shall ensure the protection of SST data, SST information and SST services.
8. The Commission shall adopt delegated acts in accordance with Article 105 concerning the specific provision , detailed rules on the functioning of the organisational framework of the participation of Member States in SST. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 107(3)
Article 58
SST Front desk
1. The Commission , taking into account the recommendation of the Constituting National Entities, shall select the SSt Front Desk on the basis of the best expertise in security issues and in service provision . That front desk shall:
(a) |
provide the necessary secure interfaces to centralise, store and make available SST information to SST users, ensuring their adequate handling and traceability; |
(b) |
provide ▌ reporting on the performance of the SST services to the SST partnership and the Commission ; |
(c) |
gather the necessary feedback for the SSt partnership to ensure the required alignment of services with user expectations; |
(d) |
support, promote and encourage the use of the services. |
2. The Constituting National Entities shall conclude the necessary implementing arrangements with the SST Front Desk.
SECTION II
Space Weather and NEO
Article 59
Space Weather activities
1. The space weather sub-components may support the following activities:
(a) |
the assessment and identification of the needs of the users in the sectors identified in paragraph 2(b) with the aim of setting out the space weather services to be provided; |
(b) |
the provision of space weather services to the space weather services’ users, according to the identified users' needs and technical requirements. |
2. Space weather services shall be available at any time without interruption. The Commission shall select, by means of implementing acts, those services according to the following rules:
(a) |
the Commission shall prioritise the space weather services to be delivered at Union level according to the needs of users, the technological readiness of the services and the result of a risk assessment; |
(b) |
the space weather services may contribute to civil protection activities and to the protection of a wide range of sectors such as: space, transport, GNSSs, electric power grids and communications. |
Those implementing acts shall be adopted in accordance with the advisory procedure referred to in Article 107(2).
3. The selection of public or private entities to provide space weather services shall be performed through a call for tenders.
Article 60
NEO activities
1. The NEO sub-components may support the following activities:
(a) |
the mapping of Member States' capacities for detecting and monitoring NEOs; |
(b) |
the promotion of the networking of Member States' facilities and research centres; |
(c) |
the development of the service referred to in paragraph 2; |
(d) |
the development of a routine rapid response service able to characterise newly discovered NEOs; |
(e) |
the creation of a European catalogue of NEO . |
2. The Commission , in its field of competence, may put in place procedures to coordinate, with the involvement of the appropriate United Nation’s bodies, the actions of the Union and national public authorities concerned with civil protection in the event a NEO is found to be approaching Earth.
CHAPTER II
GOVSATCOM
Article 61
Scope of GOVSATCOM
Under the GOVSATCOM component satellite communication capacities and services shall be combined into a common Union pool of satellite communication capacities and services , with appropriate security requirements . This component comprises:
(a) |
the development, construction, and operations of the ground segment infrastructure referred to in Article 66 and possible space infrastructure referred to in Article 69 ; |
(b) |
the procurement of governmental and commercial satellite communication capacity, services, and user equipment necessary for the provision of GOVSATCOM services; |
(c) |
measures necessary to further interoperability and standardisation of GOVSATCOM user equipment. |
Article 62
Capacities and services provided under GOVSATCOM
1. The provision of GOVSATCOM capacities and services ▌ shall be ensured as laid down in the service portfolio referred to in paragraph 3, in accordance with the operational requirements referred to in paragraph 2, GOVSATCOM specific security requirements referred to in Article 34(1) and within the limits of the sharing and prioritisation rules referred to in Article 65. Access to GOVSATCOM capacities and services shall be free of charge for institutional and governmental users unless the Commission decides on a princing policy in accordance with Article 65(2).
2. The Commission shall adopt, by means of implementing acts, the operational requirements for services provided under GOVSATCOM, in the form of technical specifications for use-cases related in particular to crisis management, surveillance and key infrastructure management, including diplomatic communication networks. Those operational requirements shall be based on the detailed analysis of the requirements of users, and taking into account requirements stemming from existing user equipment and networks. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 107(3).
3. The Commission shall adopt, by means of implementing acts, the service portfolio for services provided under GOVSATCOM, in the form of a list of categories of satellite communication capacities and services and their attributes, including geographic coverage, frequency, bandwidth, user equipment, and security features. Those measures shall be regularly updated and shall be based on the operational and security requirements referred to in paragraph 1 and shall prioritise services provided to users according to their relevance and criticality . Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 107(3).
3a. The service portfolio referred to in paragraph 3 shall take into consideration existing commercially available services in order not to distort competition in the internal market.
4. GOVSATCOM users shall have access to the capacities and services listed in the service portfolio . That access shall be provided through the GOVSATCOM Hubs referred to in Article 66.
Article 63
Providers of satellite communication capacities and services
Satellite communication capacities and services under this component may be provided by the following entities:
(a) |
GOVSATCOM participants as referred to in Article 67 , and |
(b) |
legal persons duly accredited to provide satellite capacities or services in accordance with the security accreditation procedure referred to in Article 36, which shall be based on the general security requirements ▌ referred to in Article 34 (1) defined for the GOVSATCOM component . |
Article 64
GOVSATCOM users
1. The following entities may be GOVSATCOM users provided that they are entrusted with tasks relating to the supervision and management of emergency and security-critical missions, operations and infrastructures:
(a) |
Union or Member State public authority or a body charged with the exercise of such public authority, |
(b) |
a natural or legal person acting on behalf of and under the control of an entity referred to under (a) . |
2. GOVSATCOM users shall be duly authorised by a participant referred to in Article 67 to use GOVSATCOM capacities and services and shall comply with the general security requirements referred to in Article 34(1), defined for the GOVSATCOM component .
Article 65
Sharing and prioritisation
1. Pooled satellite communication capacities, services and user equipment shall be shared and prioritised between GOVSATCOM participants on the basis of an analysis of safety and security risks of the users . Such analysis shall take into account existing communication infrastructure and availability of existing capabilities as well as their geographic coverage, at Union and Member State level. This sharing and prioritisation shall prioritise users according to their relevance and criticality .
2. The Commission shall adopt, by means of implementing acts, the detailed rules on the sharing and prioritisation of capacities, services, and user equipment, taking into account expected demand for the different use-cases, the analysis of security risks for those use-cases and, where appropriate, cost-efficiency .
By defining a pricing policy in those rules, the Commission shall ensure that the provision of GOVSATCOM capacities and services does not distort the market and shall ensure that there is no shortage of GOVSATCOM capacities.
Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 107(3).
3. The sharing and prioritisation of satellite communication capacities and services between GOVSATCOM users which are authorised by the same GOVSATCOM participant shall be determined and implemented by that participant.
Article 66
Ground segment infrastructure and operation
1. The ground segment shall include infrastructure necessary to enable the provision of services to users in accordance with Article 65, particularly the GOVSATCOM Hubs which shall be procured under this component to connect GOVSATCOM users with providers of satellite communication capacities and services. The ground segment and its operation shall comply with the general security requirement referred to in Article 34(1), defined for the GOVSATCOM component.
2. The Commission shall determine, by means of implementing acts, the location of the ground segment infrastructure. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 107(3) , and shall be without prejudice to the right of a Member State to decide not to host any such infrastructure .
Article 67
GOVSATCOM participants and competent authorities
1. Member States, the Council, the Commission and the EEAS shall be GOVSATCOM participants insofar as they authorise GOVSATCOM users, or provide satellite communication capacities or ground segment sites or part of the ground segment facilities.
Where the Council, the Commission or the EEAS authorise GOVSATCOM users, or provide satellite communication capacities or ground segment sites or part of the ground segment facilities, on the territory of a Member State, such authorisation or provision shall not contravene neutrality or non-alignment provisions stipulated in the constitutional law of that Member State.
2. Union agencies may become GOVSATCOM participants only insofar as necessary to fulfill their tasks and in accordance with detailed rules laid down in an administrative arrangement concluded between the agency concerned and the Union institution that supervises it .
3. Each participant shall designate one competent GOVSATCOM authority.
4. A competent GOVSATCOM authority shall ensure that
(a) |
the use of services is in compliance with the applicable security requirements; |
(b) |
the access rights for GOVSATCOM users are determined and managed; |
(c) |
user equipment and associated electronic communication connections and information are used and managed in accordance with applicable security requirements; |
(d) |
a central point of contact is established to assist as necessary in the reporting of security risks and threats, in particular the detection of potentially harmful electromagnetic interference affecting the services under this component. |
Article 68
Monitoring of supply and demand for GOVSATCOM
The Commission shall monitor the evolution of supply , including existing Govsatcom capacities in orbit for pooling and sharing, and demand for GOVSATCOM capacities and services continuously, taking into account new risks and threats, as well as new technology developments, in order to optimise the balance between that supply and demand for GOVSATCOM services.
▌
TITLE IX
THE EUROPEAN UNION AGENCY FOR THE SPACE PROGRAMME
CHAPTER I
General provisions relating to the Agency
Article 70
Legal status of the Agency
1. The Agency shall be a body of the Union. It shall have legal personality.
2. In each of the Member States, the Agency shall enjoy the most extensive legal capacity accorded to legal persons under the law. It may, in particular, acquire or dispose of movable and immovable property and be a party to legal proceedings.
3. The Agency shall be represented by its Executive Director.
Article 71
Seat of the Agency and local offices
– 1. The seat of the Agency is located in Prague (Czech Republic).
2. Staff of the Agency may be located in one of the Galileo or EGNOS ground based centres referred to in Commission Implementing Decision (EU) 2016/413 or (EU) 2017/1406, to execute Programme activities provided for in the relevant agreement.
– 3. Depending on the needs of the Programme, local offices may be established in the Member States in accordance with the procedure laid down in Article 79(2).
CHAPTER II
Organisation of the Agency
Article 72
Administrative and management structure
1. The Agency's administrative and management structure shall comprise:
(a) |
the Administrative Board; |
(b) |
the Executive Director; |
(c) |
the Security Accreditation Board. |
2. The Administrative Board, the Executive Director, the Security Accreditation Board ▌ shall cooperate to ensure the operation of the Agency and coordination in accordance with the procedures determined by the Agency’s internal rules, such as the rules of procedure of the Administrative Board, the rules of procedure of the Security Accreditation Board, the financial rules applicable to the Agency, the implementing rules for the status of staff and the rules governing access to documents.
Article 73
Administrative Board
1. The Administrative Board shall be composed of one representative from each Member State, and three representatives of the Commission, all with voting rights. The Administrative Board shall also include one member designated by the European Parliament, with no voting rights.
2. The Chairperson or the Deputy Chairperson of the Security Accreditation Board, a representative of the Council, a representative of the High Representative and a representative of the European Space Agency shall be invited to attend the meetings of the Administrative Board as observers for matters related directly to them , under the conditions laid down in the rules of procedure of the Administrative Board.
3. Each member of the Administrative Board shall have an alternate. The alternate shall represent the member in his/her absence.
4. Each Member State shall nominate a member and an alternate member of the Administrative Board taking account of their knowledge in the field of the Agency's ▌ tasks, taking into account relevant managerial, administrative and budgetary skills. The European Parliament, the Commission and the Member States shall endeavour to limit changes of their representatives on the Administrative Board, in order to ensure continuity of the Board's activities. All parties shall aim to achieve a balanced representation between men and women on the Administrative Board.
5. The term of office of the members of the Administrative Board and their alternates shall be four years, renewable ▌.
6. Where appropriate, the participation of representatives of third countries or international organisations and the conditions thereof shall be established in the agreements referred to in Article 98 and shall comply with the rules of procedure of the Administrative Board. Those representatives shall have no voting rights.
Article 74
Chairperson of the Administrative Board
1. The Administrative Board shall elect a Chairperson and a Deputy Chairperson from among its members having voting rights. The Deputy Chairperson shall automatically replace the Chairperson if he or she is prevented from attending to his or her duties.
2. The term of office of the Chairperson and of the Deputy Chairperson shall be two years, renewable once. It shall be ended in case that person ceases to be a member of the Administrative Board.
3. The Administrative Board shall have the power to dismiss the Chairperson, the Deputy Chairperson or both of them.
Article 75
Meetings of the Administrative Board
1. Meetings of the Administrative Board shall be convened by its Chairperson.
2. The Executive Director shall take part in the deliberations, unless the Chairperson decides otherwise. He/she shall not have the right to vote.
3. The Administrative Board shall hold ▌ ordinary meetings on a regular basis, at least twice a year. In addition, it shall meet on the initiative of its Chairperson or at the request of at least one third of its members.
4. The Administrative Board may invite any person whose opinion may be of interest to attend its meetings as an observer. The members of the Administrative Board may, subject to its rules of procedure, be assisted by advisers or experts.
5. Where discussion concerns the use of sensitive national infrastructure, ▌ the representatives of Member States and the representatives of the Commission may attend the meetings and deliberations of the Administrative Board , on a need to know basis, but only those representatives of Member States which possess such infrastructure and a representative of the Commission are to take part in voting. Where the Chairperson of the Administrative Board does not represent one of the Member States which possess such infrastructure, he/she shall be replaced by the representatives of a Member States which possesses such infrastructure. The rules of procedure of the Administrative Board shall set out the situations in which this procedure may apply.
6. The Agency shall provide the secretariat of the Administrative Board.
Article 76
Voting rules of the Administrative Board
1. Unless this Regulation provides otherwise, the Administrative Board shall take its decisions by a majority of its voting members.
A majority of two thirds of all voting members shall be required for the election and dismissal of the Chairperson and Deputy Chairperson of the Administrative Board and for the adoption of the budget, work programmes , approval of arrangements referred to in Article 98(2), security rules of the Agency, adoption of the rules of procedure, for the establishment of local offices and for the approval of the hosting agreements referred to in Article 92 .
2. Each representative of the Member States and of the Commission shall have one vote. In the absence of a member with the right to vote, his or her alternate shall be entitled to exercise his or her right to vote. ▌ Decisions based on point (a) ▌ of Article 77(2) ▌, except for matters covered by Chapter II of Title V, or on Article 77(5), shall only be adopted with a favourable vote of the representatives of the Commission.
3. The rules of procedure of the Administrative Board shall establish more detailed voting arrangements, in particular the conditions for a member to act on behalf of another member as well as any quorum requirements as appropriate .
Article 77
Tasks of the Administrative Board
1. The Administrative Board shall ensure that the Agency carries out the work entrusted to it, under the conditions set out in this Regulation, and shall take any necessary decision to this end, without prejudice to the competences entrusted to the Security Accreditation Board for the activities under Chapter II of Title V.
2. The Administrative Board shall also:
(a) |
adopt, by 15 November each year, the Agency’s work programme for the following year after incorporating, without any change, the section drafted by the Security Accreditation Board, in accordance with point (b) of Article 80, and after having received the Commission’s opinion; |
(x) |
adopt, by 30 June of the first year of the multiannual financial framework provided for under Article 312 of the Treaty on the Functioning of the European Union, the multiannual work programme of the Agency for the period covered by that multiannual financial framework after incorporating, without any change, the section drafted by the Security Accreditation Board in accordance with point(a) of Article 80 and after having received the Commission’s opinion. The European Parliament shall be consulted on the multiannual work programme, provided that the purpose of the consultation is an exchange of views and the outcome is not binding on the Agency. |
(b) |
perform the budgetary functions laid down in Article 84(5), (6), (10) and (11); |
(c) |
oversee the operation of the Galileo Security Monitoring Centre as referred to in Article 34(3), point (b); |
(d) |
adopt arrangements to implement Regulation (EC) No 1049/2001 of the European Parliament and of the Council of 30 May 2001 regarding public access to European Parliament, Council and Commission documents (25), in accordance with Article 94; |
(e) |
approve the arrangements referred to in Article 98, after consulting the Security Accreditation Board, on the provisions of the arrangements concerning security accreditation; |
(f) |
adopt the technical procedures necessary to perform its tasks; |
(g) |
adopt the annual report on the activities and prospects of the Agency, having incorporated, without any change, the section drafted by the Security Accreditation Board in accordance with point (c) of Article 80 and forward it, by 1 July, to the European Parliament, the Council, the Commission and the Court of Auditors; |
(h) |
ensure adequate follow-up to the findings and recommendations arising from the evaluations and audits referred to in Article 102, as well as those arising from investigations conducted by the European Anti-Fraud Office (OLAF) and all internal or external audit reports, and forward to the budgetary authority all information relevant to the outcome of the evaluation procedures; |
(i) |
be consulted by the Executive Director on the financial framework partnership agreements referred to in Article 31(2) and contribution agreements referred to in Articles 28(2a) and 30(5) before they are signed; |
(j) |
adopt the security rules of the Agency as referred to in Article 96; |
(k) |
approve, on the basis of a proposal from the Executive Director, an anti-fraud strategy; |
(l) |
approve, where necessary and on the basis of proposals from the Executive Director, the organisational structures referred to in point (n) of Article 77(1); |
▌
(n) |
appoint an Accounting Officer, who may be the Commission's Accounting Officer, who shall be subject to the Staff Regulations and the Conditions of Employment of other servants and who shall be totally independent in the performance of his/her duties; |
(o) |
adopt and publish its rules of procedure. |
3. With regard to the Agency’s staff, the Administrative Board shall exercise the powers conferred by the Staff Regulations of Officials of the European Union (‘Staff Regulations’) on the appointing authority and by the Conditions of Employment of Other Servants on the authority empowered to conclude employment contracts (the ‘powers of the appointing authority’).
The Administrative Board shall adopt, in accordance with the procedure provided for in Article 110 of the Staff Regulations, a decision based on Article 2(1) of the Staff Regulations and on Article 6 of the Conditions of Employment of Other Servants delegating the relevant powers of the appointing authority to the Executive Director and defining the conditions under which this delegation of powers can be suspended. The Executive Director shall report back to the Administrative Board on the exercise of those delegated powers. The Executive Director shall be authorised to subdelegate those powers.
In application of the second subparagraph of this paragraph, where exceptional circumstances so require, the Administrative Board may, by way of a decision, temporarily suspend the delegation of the powers of the appointing authority to the Executive Director and those subdelegated by the latter and exercise them itself or delegate them to one of its members or to a staff member other than the Executive Director.
By way of derogation from the second subparagraph, the Administrative Board shall be required to delegate to the Chairperson of the Security Accreditation Board the powers referred to in the first subparagraph with regard to the recruitment, assessment and reclassification of staff involved in the activities covered by Chapter II of Title V and the disciplinary measures to be taken with regard to such staff.
The Administrative Board shall adopt the implementing measures of the Staff Regulations and the Conditions of Employment of Other Servants in accordance with the procedure laid down in Article 110 of the Staff Regulations. It shall first consult the Security Accreditation Board and duly take into account its observations with regard to the recruitment, assessment and reclassification of the staff involved in the activities under Chapter II of Title V and the relevant disciplinary measures to be taken.
It shall also adopt a decision laying down rules on the secondment of national experts to the Agency. Before adopting that decision, the Administrative Board shall consult the Security Accreditation Board with regard to the secondment of national experts involved in the security accreditation activities referred to in Chapter II of Title V and shall duly take account of its observations.
4. The Administrative Board shall appoint the Executive Director and may extend or end their term of office pursuant to Article 89.
5. The Administrative Board shall exercise disciplinary authority over the Executive Director in relation to his or her performance, in particular as regards security matters falling within the Agency’s competence, except in respect of activities undertaken in accordance with Chapter II of Title V.
Article 78
Executive Director
1. The Agency shall be managed by its Executive Director. The Executive Director shall be accountable to the Administrative Board.
This paragraph shall be without prejudice to the autonomy and independence of the Security Accreditation Board and of the Agency staff under its supervision in accordance with Article 82 and to the powers granted to the Security Accreditation Board and the chairperson of the Security Accreditation Board in accordance with Articles 37 and 81 respectively.
2. Without prejudice to the powers of the Commission and the Administrative Board, the Executive Director shall be independent in the performance of his/her duties and shall neither seek nor take instructions from any government or from any other body.
Article 79
Tasks of the Executive Director
1. The Executive Director shall perform the following tasks:
(a) |
represent the Agency and sign the agreement referred to in Articles 31(2) , 28(2a) and 30(5) ; |
(b) |
prepare the work of the Administrative Board and participate, without having the right to vote, in the work of the Administrative Board, subject to the second subparagraph of Article 76; |
(c) |
implement the decisions of the Administrative Board; |
(d) |
prepare the multiannual and annual work programmes of the Agency and submit them to the Administrative Board for approval, with the exception of the parts prepared and adopted by the Security Accreditation Board in accordance with points (a) and (b) of Article 80; |
(e) |
implement the multiannual and annual work programmes, with the exception of the parts implemented by the Chairperson of the Security Accreditation Board; |
(f) |
prepare a progress report on the implementation of the annual work programme and, where relevant, of the multiannual work programme for each meeting of the Administrative Board, incorporating, without any change, the section prepared by the Chairperson of the Security Accreditation Board; |
(g) |
prepare the annual report on the activities and prospects of the Agency with the exception of the section prepared and approved by the Security Accreditation Board in accordance with point (c) of Article 80 concerning the activities covered by Title V, and submit it to the Administrative Board for approval; |
(h) |
handle the day-to-day administration of the Agency and take all necessary measures, including the adoption of internal administrative instructions and the publication of notices, to ensure the functioning of the Agency in accordance with this Regulation; |
(i) |
draw up a draft statement of estimates of revenue and expenditure for the Agency in accordance with Article 84 and implement the budget in accordance with Article 85; |
(j) |
ensure that the Agency, as the operator of the Galileo Security Monitoring Centre is able to respond to instructions provided under Decision 2014/496/CFSP and to fulfil its role as referred to in Article 6 of Decision No 1104/2011/EU; |
(k) |
ensure the circulation of all relevant information, in particular as regards security, within the agency structure referred to in Article 72(1); |
(l) |
determine, in close cooperation with the Chairperson of the Security Accreditation Board for matters relating to security accreditation activities covered by Chapter II of Title V, the organisational structures of the Agency and submit them to the Administrative Board for approval. Those structures shall reflect the specific characteristics of the various components of the Programme; |
(m) |
exercise, with regard to the Agency’s staff, the powers referred to in the first subparagraph of Article 37(3), to the extent that those powers have been delegated to him or her in accordance with the second subparagraph thereof; |
(n) |
ensure that secretarial services and all the resources necessary for their proper functioning are provided to the Security Accreditation Board, the bodies referred to in Article 37(3) and the Chairperson of the Security Accreditation Board; |
(o) |
prepare an action plan for ensuring the follow-up of the findings and recommendations of the evaluations referred to in Article 102, with the exception of the section of the action plan concerning the activities covered by Chapter II of Title V, and submit, after having incorporated, without any change, the section drafted by the Security Accreditation Board, a twice-yearly progress report to the Commission, which shall also be submitted to the Administrative Board for information; |
(p) |
take the following measures to protect the financial interests of the Union:
|
(q) |
draw up an anti-fraud strategy for the Agency that is proportionate to the risk of fraud, having regard to a cost-benefit analysis of the measures to be implemented and taking into account findings and recommendations arising from OLAF investigations and submit it to the Administrative Board for approval; |
(r) |
provide reports to the European Parliament on the performance of his/her duties when invited to do so. The Council may invite the Executive Director to report on the performance of his/her duties. |
2. The Executive Director shall decide whether it is necessary to locate one or more staff in one or more Member States for the purpose of carrying out the Agency's tasks in an efficient and effective manner. Before deciding to establish a local office the Executive Directive shall obtain the prior approval of the Commission, the Administrative Board and the Member State(s) concerned. The decision shall specify the scope of the activities to be carried out at the local office in a manner that avoids unnecessary costs and duplication of administrative functions of the Agency. A hosting agreement with the Member State(s) concerned may be required. Where possible, the impact in terms of staff allocation and budget shall be incorporated in the draft single programming document referred to in Article 84(6).
Article 80
Management tasks of the Security Accreditation Board
Apart from the tasks referred to in Article 37, the Security Accreditation Board shall, as part of the management of the Agency:
(a) |
prepare and approve that part of the multiannual work programme concerning the operational activities covered by Chapter II of Title V and the financial and human resources needed to accomplish those activities, and submit it to the Administrative Board in good time for it to be incorporated into the multiannual work programme; |
(b) |
prepare and approve that part of the annual work programme concerning the operational activities covered by Chapter II of Title V and the financial and human resources needed to accomplish those activities, and submit it to the Administrative Board in good time for it to be incorporated into the annual work programme; |
(c) |
prepare and approve that part of the annual report concerning the Agency’s activities and prospects covered by Chapter II of Title V and the financial and human resources needed to accomplish those activities and prospects, and submit it to the Administrative Board in good time for it to be incorporated into the annual report. |
Article 81
The Chairperson of the Security Accreditation Board
1. The Security Accreditation Board shall elect a Chairperson and a Deputy Chairperson from among its members by a two-thirds majority of all members with the right to vote. Where a two-thirds majority has not been achieved following two meetings of the Security Accreditation Board, a simple majority shall be required.
2. The Deputy Chairperson shall automatically replace the Chairperson if the latter is unable to attend to his or her duties.
3. The Security Accreditation Board shall have the power to dismiss the Chairperson, the Deputy Chairperson or both of them. It shall adopt the decision to dismiss by a two-thirds majority.
4. The term of office of the Chairperson and of the Deputy Chairperson of the Security Accreditation Board shall be two years, renewable once. Each term of office shall end when that person ceases to be a member of the Security Accreditation Board.
Article 82
Organisational aspects of the Security Accreditation Board
1. The Security Accreditation Board shall have access to all the human and material resources required to perform its tasks independently. It shall have access to any information useful for the performance of its tasks in the possession of the other bodies of the Agency, without prejudice to the principles of autonomy and independence referred to in Article 36(i).
2. The Security Accreditation Board and the Agency staff under its supervision shall perform their work in a manner ensuring autonomy and independence in relation to the other activities of the Agency, in particular operational activities associated with the exploitation of the systems, in accordance with the objectives of the Programme’s various components. No member of the Agency’s staff under the supervision of the Security Accreditation Board may at the same time be assigned to other tasks within the Agency.
To that end, an effective organisational segregation shall be established within the Agency between the staff involved in activities covered by Chapter II of Title V and the other staff of the Agency. The Security Accreditation Board shall immediately inform the Executive Director, the Administrative Board and the Commission of any circumstances that could hamper its autonomy or independence. In the event that no remedy is found within the Agency, the Commission shall examine the situation, in consultation with the relevant parties. On the basis of the outcome of that examination, the Commission shall take appropriate mitigation measures to be implemented by the Agency, and shall inform the European Parliament and the Council thereof.
3. The Security Accreditation Board shall set up special subordinate bodies, acting on its instructions, to deal with specific issues. In particular, while ensuring necessary continuity of work, it shall set up a panel to conduct security analysis reviews and tests and produce the relevant risk reports in order to assist it in preparing its decisions. The Security Accreditation Board may set up and disband expert groups to contribute to the work of the panel.
Article 83
Tasks of the Chairperson of the Security Accreditation Board
1. The Chairperson of the Security Accreditation Board shall ensure that the Board carries out its security accreditation activities totally independently and shall perform the following tasks:
(a) |
manage security accreditation activities under the supervision of the Security Accreditation Board; |
(b) |
implement the part of the Agency’s multiannual and annual work programmes covered by Chapter II of Title V under the supervision of the Security Accreditation Board; |
(c) |
cooperate with the Executive Director to help to draw up the draft establishment plan referred to in Article 84(4) and the organisational structures of the Agency; |
(d) |
prepare the section of the progress report concerning the operational activities covered by Chapter II of Title V, and submit it to the Security Accreditation Board and the Executive Director in good time for it to be incorporated into the progress report; |
(e) |
prepare the section of the annual report and of the action plan, concerning the operational activities covered by Chapter II of Title V, and submit it to the Executive Director in good time; |
(f) |
represent the Agency for the activities and decisions covered by Chapter II of Title V; |
(g) |
exercise, with regard to the Agency’s staff involved in the activities covered by Chapter II of Title V, the powers referred to in the first subparagraph of Article 77(3), delegated to him or her in accordance with the fourth subparagraph of Article 77(3). |
2. For activities covered by Chapter II of Title V, the European Parliament and the Council may call upon the Chairperson of the Security Accreditation Board for an exchange of views before those institutions on the work and prospects of the Agency, including with regard to the multiannual and annual work programmes.
CHAPTER III
Financial provisions relating to the Agency
Article 84
The Agency's budget
1. Without prejudice to other resources and dues, ▌ the revenue of the Agency shall include a Union contribution entered in Union budget in order to ensure a balance between revenue and expenditure. The Agency may receive ad hoc grants from the Union budget.
2. The expenditure of the Agency shall cover staff, administrative and infrastructure expenditure, operating costs and expenditure associated with the functioning of the Security Accreditation Board, including the bodies referred to in Article 37(3) and Article 82(3) , and the contracts and agreements concluded by the Agency in order to accomplish the tasks entrusted to it.
3. Revenue and expenditure shall be in balance.
4. The Executive Director shall, in close collaboration with the Chairperson of the Security Accreditation Board for activities covered by Chapter II of Title V, draw up a draft statement of estimates of revenue and expenditure for the Agency for the next financial year, making clear the distinction between those elements of the draft statement of estimates, which relate to security accreditation activities, and those relating to the Agency’s other activities. The Chairperson of the Security Accreditation Board may write a statement on that draft, and the Executive Director shall forward both the draft statement of estimates and the statement to the Administrative Board and the Security Accreditation Board, together with a draft establishment plan.
5. Each year, the Administrative Board, based on the draft statement of estimates of revenue and expenditure and in close cooperation with the Security Accreditation Board for activities covered by Chapter II of Title V, shall draw up the statement of estimates of revenue and expenditure for the Agency for the next financial year.
6. The Administrative Board shall, by 31 January, forward a draft single programming document including inter alia a statement of estimates, a draft establishment plan, a provisional annual work programme, to the Commission and to the third countries or international organisations with which the Agency has entered into arrangements in accordance with Article 98.
7. The Commission shall forward the statement of estimates of revenue and expenditure to the European Parliament and to the Council (the ‘budgetary authority’) together with the draft general budget of the European Union.
8. On the basis of the statement of estimates, the Commission shall enter in the draft general budget of the European Union the estimates it deems necessary for the establishment plan and the amount of the subsidy to be charged to the general budget, which it shall place before the budgetary authority in accordance with Article 314 of the Treaty on the Functioning of the European Union.
9. The budgetary authority shall authorise the appropriations for the contribution to the Agency and shall adopt the establishment plan for the Agency.
10. The budget shall be adopted by the Administrative Board. It shall become final following final adoption of the general budget of the European Union. Where necessary, it shall be adjusted accordingly.
11. The Administrative Board shall, as soon as possible, notify the budgetary authority of its intention to implement any project which will have significant financial implications for the funding of the budget, in particular any projects relating to property such as the rental or purchase of buildings. It shall inform the Commission thereof.
12. Where an arm of the budgetary authority has notified its intention to deliver an opinion, it shall forward its opinion to the Administrative Board within a period of six weeks from the date of notification of the project.
Article 85
Implementation of the Agency’s budget
1. The Executive Director shall implement the Agency’s budget.
2. Each year, the Executive Director shall communicate to the budgetary authority all the information needed for the exercise of their evaluation duties.
Article 86
Presentation of the Agency’s accounts and discharge
The presentation of the Agency's provisional and final accounts and the discharge shall follow the rules and timetable of the Financial Regulation and of the Framework Financial Regulation for the bodies referred to in [Article 70] of the Financial Regulation.
Article 87
Financial provisions relating to the Agency
The financial rules applicable to the Agency shall be adopted by the Administrative Board after consulting the Commission. These rules may not depart from the framework financial regulation for the bodies referred to in [Article 70] of the Financial Regulation unless such a departure is specifically required for the Agency’s operation and the Commission has given its prior consent.
CHAPTER V
The Agency’s human resources
Article 88
The Agency’s staff
1. The Staff Regulations, the Conditions of Employment of Other Servants and the rules adopted jointly by the institutions of the Union for the purposes of the application of those Staff Regulations and Conditions of Employment of Other Servants shall apply to the staff employed by the Agency.
2. The staff of the Agency shall consist of servants recruited by the Agency as necessary to perform its tasks. They shall have security clearance appropriate to the classification of the information they are handling.
3. The Agency’s internal rules, such as the rules of procedure of the Administrative Board, the rules of procedure of the Security Accreditation Board, the financial rules applicable to the Agency, the rules implementing the Staff Regulations and the rules for access to documents, shall ensure the autonomy and independence of staff performing the security accreditation activities vis-à-vis staff performing the other activities of the Agency, pursuant to Article 36(i).
Article 89
Appointment and term of office of the Executive Director
1. The Executive Director shall be recruited as temporary members of staff of the Agency in accordance with Article 2(a) of the Conditions of Employment of Other Servants.
The Executive Director shall be appointed by the Administrative Board on grounds of merit and documented administrative and managerial skills, as well as relevant competence and experience, from a list of at least three candidates proposed by the Commission, after an open and transparent competition, following the publication of a call for expressions of interest in the Official Journal of the European Union or elsewhere.
The candidate selected by the Administrative Board for the post of Executive Director may be invited at the earliest opportunity to make a statement before the European Parliament and to answer questions from its Members.
The Chairperson of the Administrative Board shall represent the Agency for the purpose of concluding the contracts of the Executive Director.
The Administrative Board shall take its decision to appoint the Executive Director by a two-thirds majority of its members.
2. The term of office of the Executive Director shall be five years. At the end of that term of office, the Commission shall carry out an assessment of the performance of the Executive Director, taking into account the future tasks and challenges facing the Agency.
On the basis of a proposal from the Commission, taking into account the assessment referred to in the first subparagraph, the Administrative Board may extend the term of office of the Executive Director once for a period of up to five years.
Any decision to extend the term of office of the Executive Director shall be adopted by a two-thirds majority of the members of the Administrative Board.
An Executive Director whose term of office has been extended may not thereafter take part in a selection procedure for the same post.
The Administrative Board shall inform the European Parliament of its intention to extend the term of office of the Executive Director. Before the extension, the Executive Director may be invited to make a statement before the relevant committees of the European Parliament and answer Members’ questions.
3. The Administrative Board may dismiss the Executive Director, on the basis of a proposal by the Commission or of one third of its members, by means of a decision adopted by a two-thirds majority of its members.
4. The European Parliament and the Council may call upon the Executive Director for an exchange of views before those institutions on the work and prospects of the Agency, including with regard to the multiannual and annual work programmes. That exchange of views shall not touch upon matters relating to the security accreditation activities covered by Chapter II of Title V.
Article 90
Secondment of national experts to the Agency
The Agency may employ national experts from Member States, as well as, pursuant to Article 98(2), national experts from participating third countries and international organisations. These experts shall have security clearance appropriate to the classification of the information they are handling pursuant to Article 42(c) . The Staff Regulations and the Conditions of Employments of Other Servants shall not apply to such staff.
CHAPTER VI
Other provisions
Article 91
Privileges and immunities
Protocol No 7 on the Privileges and Immunities of the European Union annexed to the Treaty on European Union and to the Treaty on the Functioning of the European Union shall apply to the Agency and its staff.
Article 92
Headquarters agreement and local offices hosting agreements
1. Necessary arrangements concerning the accommodation to be provided for the Agency in the host Member State and the facilities to be made available by that Member State together with the specific rules applicable in the host Member State to the Executive Director, members of the Administrative Board, Agency staff and members of their families shall be laid down in a Headquarters Agreement between the Agency and the Member State concerned where the seat is located, concluded after obtaining the approval of the Administrative Board. Where necessary for the operation of the local office, a hosting agreement between the Agency and the Member State concerned where the office is located shall be concluded after obtaining the approval of the Administrative Board.
2. The Agency’s host Member States shall provide the best possible conditions to ensure the smooth and efficient functioning of the Agency, including multilingual, European-oriented schooling and appropriate transport connections
Article 93
Linguistic arrangements for the Agency
1. The provisions laid down in Regulation No 1 of 15 April 1958 determining the languages to be used by the European Economic Community (26) shall apply to the Agency.
2. The translation services required for the functioning of the Agency shall be provided by the Translation Centre for the Bodies of the European Union.
Article 94
Policy on access to documents held by the Agency
1. Regulation (EC) No 1049/2001 shall apply to documents held by the Agency.
2. The Administrative Board shall adopt arrangements for implementing Regulation (EC) No 1049/2001.
3. Decisions taken by the Agency in pursuance of Article 8 of Regulation (EC) No 1049/2001 may be the subject of a complaint to the Ombudsman or an action before the Court of Justice of the European Union, under Articles 228 and 263 of the Treaty on the Functioning of the European Union respectively.
Article 95
Fraud prevention by the Agency
1. In order to facilitate combating fraud, corruption and other unlawful activities under Regulation (EU, Euratom) No 883/2013 of the European Parliament and of the Council, the Agency shall, within six months from the day it becomes operational, accede to the Interinstitutional Agreement of 25 May 1999 concerning internal investigations by the European Anti-fraud Office (OLAF) (27) and adopt appropriate provisions applicable to all employees of the Agency using the template set out in the Annex to that Agreement.
2. The European Court of Auditors shall have the power of audit, on the basis of documents and on the spot, over all grant beneficiaries, contractors and subcontractors who have received Union funds from the Agency.
3. OLAF may carry out investigations, including on-the-spot checks and inspections with a view to establishing whether there has been fraud, corruption or any other illegal activity affecting the financial interests of the Union in connection with a grant or a contract funded by the Agency, in accordance with the provisions and procedures laid down in Council Regulation (Euratom, EC) No 2185/96 and in Regulation (EU, Euratom) No 883/2013.
4. Without prejudice to paragraphs 1, 2 and 3, cooperation agreements with third countries and international organisations, contracts, grant agreements and grant decisions of the Agency shall contain provisions expressly empowering the European Court of Auditors and OLAF to conduct such audits and investigations, according to their respective competences.
Article 96
Protection of classified or sensitive non-classified information by the Agency
The Agency shall, subject to prior consultation of the Commission, adopt its own security rules equivalent to the Commission's security rules for protecting EUCI and sensitive non-classified information, including rules concerning the exchange, processing and storage of such information, in accordance with Commission Decision (EU, Euratom) 2015/443 of 13 March 2015 on Security on the Commission (28) and 2015/444 (29).
Article 97
Liability of the Agency
1. The contractual liability of the Agency shall be governed by the law applicable to the contract in question.
2. The Court of Justice shall have jurisdiction to give judgment pursuant to any arbitration clause contained in a contract concluded by the Agency.
3. In the event of non-contractual liability, the Agency shall, in accordance with the general principles common to the laws of the Member States, make good any damage caused by its departments or by its servants in the performance of their duties.
4. The Court of Justice shall have jurisdiction in disputes over compensation for the damage referred to in paragraph 3.
5. The personal liability of its servants towards the Agency shall be governed by the provisions laid down in the Staff Regulations or Conditions of Employment of Other Servants applicable to them.
Article 98
Cooperation with third countries and international organisations
1. The Agency shall be open to the participation of third countries and international organisations that have entered into international agreements with the Union to this effect.
2. Under the relevant provisions of the agreements referred to in paragraph 1 and Article 42 , arrangements shall be developed specifying, in particular, the nature, extent and manner in which the third countries concerned will participate in the work of the Agency, including provisions relating to participation in the initiatives undertaken by the Agency, financial contributions and staff. As regards staff matters, those arrangements shall, in any event, comply with the Staff Regulations. When relevant, they shall also include provisions on the exchange and protection of classified information with third countries and international organisations. Those provisions shall be subject to the Commission's prior approval.
3. The Administrative Board shall adopt a strategy on relations with third countries and international organisations , in the framework of the international agreements referred to in paragraph 1, concerning matters for which the Agency is competent.
4. The Commission shall ensure that, in its relations with third countries and international organisations, the Agency acts within its mandate and the existing institutional framework by concluding an appropriate working arrangement with the Executive Director
Article 99
Conflicts of interest
1. Members of the Administrative Board and of the Security Accreditation Board, the Executive Director, seconded national experts and observers shall make a declaration of commitments and a declaration of interests indicating the absence or existence of any direct or indirect interests which might be considered prejudicial to their independence. Those declarations shall be accurate and complete. They shall be made in writing upon the entry into service of the persons concerned and shall be renewed annually. They shall be updated whenever necessary, in particular in the event of relevant changes in the personal circumstances of the persons concerned.
2. Before any meeting which they are to attend, members of the Administrative Board and of the Security Accreditation Board, the Executive Director, seconded national experts, observers and external experts participating in ad hoc working groups shall accurately and completely declare the absence or existence of any interest which might be considered prejudicial to their independence in relation to any items on the agenda, and shall abstain from participating in the discussion of and voting upon such points.
3. The Administrative Board and the Security Accreditation Board shall lay down, in their rules of procedure, the practical arrangements for the rules on declaration of interest referred to in paragraphs 1 and 2 and for the prevention and management of conflicts of interest.
TITLE X
PROGRAMMING, MONITORING, EVAUATION AND CONTROL
Article 100
Work programme
The Programme shall be implemented by the work programmes referred to in Article 110 of the Financial Regulation, which may be specific to each component of the Programme. Work programmes shall set out, where applicable, the overall amount reserved for blending operations.
Article 101
Monitoring and reporting
1. Indicators to report on progress of the Programme towards achieving the general and specific objectives set out in Article 4 are set in the Annex.
2. The Commission is empowered to adopt delegated acts in accordance with Article 105 concerning amendments to the Annex to review and/or complement the indicators where considered necessary.
3. The performance reporting system shall ensure that data for monitoring programme implementation and results are collected efficiently, effectively, and in a timely manner. To that end, proportionate reporting requirements shall be imposed on recipients of Union funds and, where relevant, Member States.
4. For the purposes of paragraph 1, the recipients of Union funds are obliged to provide appropriate information. The data necessary for the verification of the performance shall be collected in an efficient, effective and timely manner.
Article 102
Evaluation
1. The Commission shall carry out evaluations of the Programme in a timely manner to feed into the decision-making process.
2. By 30 June 2024, and every four years thereafter, the Commission shall evaluate the implementation of the programme.
That evaluation shall cover all the Programme's components and actions. It shall assess the performance of the services provided, the evolution of users' needs and the evolution of available capacities for sharing and pooling, when evaluating the implementation of SSA and Govsatcom, or of data and services offered by competitors, when evaluating the implementation of Galileo, Copernicus and EGNOS. For each component, the evaluation, on the basis of a cost/benefit analysis, shall also assess the impact of those evolutions, including the need for changing the pricing policy or the need for additional space or ground infrastructure.
If necessary, the evaluation shall be accompanied by an appropriate proposal.
▌
4. The Commission shall communicate the conclusions of the evaluations accompanied by its observations, to the European Parliament, the Council, the European Economic and Social Committee and the Committee of the Regions.
5. The entities involved in the implementation of this Regulation shall provide to the Commission the data and information necessary for the evaluation referred to in the first paragraph.
6. By 30 June 2024, and every four years thereafter, the Commission shall assess the Agency’s performance, in relation to its objectives, mandate, and tasks ▌, in accordance with Commission guidelines. The evaluation shall, in particular, address the possible need to modify the mandate of the Agency, and the financial implications of any such modification , and shall be based on a cost/benefit analysis . It shall also address the Agency’s policy on conflicts of interest and the independence and autonomy of the Security Accreditation Board. The Commission may also evaluate the Agency's performance to assess the possibility to entrust it with additional tasks, in accordance with Article 30(3). If necessary, the evaluation shall be accompanied by an appropriate proposal.
Where the Commission considers that there are no longer grounds for the Agency to continue pursuing its activities, given its objectives, mandate and tasks, it may propose to amend this Regulation accordingly.
The Commission shall submit a report on the evaluation of the Agency and its conclusions to the European Parliament, the Council, the Administrative Board and the Security Accreditation Board of the Agency. The findings of the evaluation shall be made public.
Article 103
Audits
Audits on the use of the Union contribution carried out by persons or entities, including others than those mandated by the Union institutions or bodies, shall form the basis of the overall assurance pursuant to Article 127 of the Financial Regulation.
Article 104
Personal data and privacy protection
All personal data handled in the context of the tasks and activities provided for in this Regulation, including by the European Union Agency for Space, shall be processed in accordance with the applicable law on personal data protection, in particular Regulation (EC) No 45/2001 of the European Parliament and of the Council and Regulation 2016/679 of the European Parliament and of the Council. The Administrative Board shall establish measures for the application of Regulation (EC) No 45/2001 by the Agency, including those concerning the appointment of a Data Protection Officer of the Agency. Those measures shall be established after consultation of the European Data Protection Supervisor.
TITLE XI
DELEGATION AND IMPLEMENTING MEASURES
Article 105
Exercise of the delegation
1. The power to adopt delegated acts is conferred on the Commission subject to the conditions laid down in this Article.
2. The power to adopt delegated acts referred to in Articles 52 and 101 shall be conferred on the Commission ▌until 31 December 2028.
3. The delegation of power referred to in Articles 52 and 101 may be revoked at any time by the European Parliament or by the Council. A decision to revoke shall put an end to the delegation of the power specified in that decision. It shall take effect the day following the publication of the decision in the Official Journal of the European Union or at a later date specified therein. It shall not affect the validity of any delegated act already in force.
4. Before adopting a delegated act, the Commission shall consult experts designated by each Member State in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016.
5. As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the European Parliament and to the Council.
6. A delegated act adopted pursuant to Articles 52 and 101 shall enter into force only if no objection has been expressed either by the European Parliament or by the Council within a period of two months of notification of that act to the European Parliament and to the Council or if, before the expiry of that period, the European Parliament and the Council have both informed the Commission that they will not object. That period shall be extended by two months at the initiative of the European Parliament or of the Council.
Article 106
Urgency procedure
1. ▌ Delegated acts adopted under this Article shall enter into force without delay and shall apply as long as no objection is expressed in accordance with paragraph 2. The notification of the act to the European Parliament and to the Council shall state the reasons for the use of the urgency procedure.
2. Either the European Parliament or the Council may object to a delegated act in accordance with the procedure referred to in Article 105(6) . In such a case, the Commission shall repeal the act immediately following the notification of the decision to object by the European Parliament or by the Council .
Article 107
Committee procedure
1. The Commission shall be assisted by a committee. That committee shall be a committee within the meaning of Regulation (EU) No 182/2011.
The Committee shall meet in specific different configurations as follows:
(a) |
Galileo and EGNOS; |
(b) |
Copernicus; |
(c) |
SSA; |
(d) |
Govsatcom; |
(e) |
Security configuration: all security aspects of the Programme, without prejudice to the role of the SAB. Representatives of ESA and the Agency may be invited to participate as observers. The European External Action Service shall also be invited to assist (30); |
(f) |
Horizontal configuration: Strategic overview of the implementation of the programme, coherence across the different components of the programme, cross-cutting measures and budget reallocation as referred to in Article 11. |
1a. The Programme Committee shall, in accordance with its rules of procedure, set up the ‘User Forum’, as a working group to advise the Programme Committee on user requirements aspects, evolution of the services and user uptake. The User Forum shall aim to guarantee a continuous and effective involvement of users and meet in specific configurations for each component of the programme.
2. Where reference is made to this paragraph, Article 4 of Regulation (EU) No 182/2011 shall apply.
3. Where reference is made to this paragraph, Article 5 of Regulation (EU) No 182/2011 shall apply.
4. In accordance with international agreements concluded by the Union, representatives of third countries or international organisations may be invited as observers in the meetings of the Committee under the conditions laid down in the rules of procedure of that Committee, taking into account the security of the Union.
TITLE XII
TRANSITIONAL AND FINAL PROVISIONS
Article 108
Information, communication and publicity
1. The recipients of Union funding shall acknowledge the origin and ensure the visibility of the Union funding (in particular when promoting the actions and their results) by providing coherent, effective and proportionate targeted information to multiple audiences, including the media and the public.
2. The Commission shall implement information and communication actions relating to the Programme, and its actions and results. Financial resources allocated to the Programme shall also contribute to the corporate communication of the political priorities of the Union, as far as they are related to the objectives referred to in Article 4.
3. The Agency may engage in communication activities on its own initiative within its field of competence. The allocation of resources to communication activities shall not be detrimental to the effective exercise of the tasks referred to in Article 30. Such communication activities shall be carried out in accordance with relevant communication and dissemination plans adopted by the Administrative Board.
Article 109
Repeals
1. Regulations (EU) No 912/2010, (EU) No 1285/2013 and (EU) No 377/2014 and Decision No 541/2014/EU are repealed with effect from 1 January 2021.
2. References to the repealed acts shall be construed as references to this Regulation.
Article 110
Transitional provisions and continuity of services after 2027
1. This Regulation shall not affect the continuation or modification of the actions concerned, until their closure, under Regulation (EU) No 377/2014, (EU) No 1285/2013 and (EU) No 912/2010 and on the basis of Decision No 541/2014/EU, which shall continue to apply to the actions concerned until their closure. In particular, the Consortium established under Article 7 paragraph 3 of Decision 541/2014/EU shall provide SST Services until 3 months after the signature by the Constituting National Entities of the agreement creating the SST partnership provided in Article 57.
2. The financial envelope for the Programme may also cover technical and administrative assistance expenses necessary to ensure the transition between the Programme and the measures adopted under Regulation Nos (EU) No 377/2014 and (EU) No 1285/2013 and on the basis of Decision No 541/2014/EU.
3. If necessary, appropriations may be entered in the budget beyond 2027 to cover the expenses necessary to fulfill the objectives provided for in Article 4 ▌, to enable the management of actions not completed by 31 December 2027.
Article 111
Entry into force and application
This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.
[It shall apply from 1st January 2021.]
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at…,
For the European Parliament
The President
For the Council
The President
(1) Position of the European Parliament of 17 April 2019. The underlined text has not been agreed in the framework of interinstitutional negotiations.
(2) Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council of 18 July 2018 on the financial rules applicable to the general budget of the Union, amending Regulations (EU) No 1296/2013, (EU) No 1301/2013, (EU) No 1303/2013, (EU) No 1304/2013, (EU) No 1309/2013, (EU) No 1316/2013, (EU) No 223/2014, (EU) No 283/2014, and Decision No 541/2014/EU and repealing Regulation (EU, Euratom) No 966/2012 (OJ L 193, 30.7.2018, p. 1).
(3) Council Regulation (EC, Euratom) No 2988/95 of 18 December 1995 on the protection of the European Communities financial interests (OJ L 312, 23.12.1995, p. 1).
(4) Council Regulation (Euratom, EC) No 2185/96 of 11 November 1996 concerning on-the-spot checks and inspections carried out by the Commission in order to protect the European Communities' financial interests against fraud and other irregularities, (OJ L 292, 15.11.1996, p. 2).
(5) Directive (EU) 2017/1371 of the European Parliament and of the Council of 5 July 2017 on the fight against fraud to the Union's financial interests by means of criminal law (OJ L 198, 28.7.2017, p. 29).
(6) Decision No 243/2012/EU of the European Parliament and of the Council of 14 March 2012 establishing a multiannual radio spectrum policy programme (OJ L 81, 21.3.2012, p. 7).
(7) This Council Decision will result from the High Representative proposal extending the scope of Council Decision 2014/496/CFSP of 22 July 2014 currently under negotiation.
(8) OJ L 347, 20.12.2013, p. 1.
(9) Commission Implementing Decision (EU) 2017/224 of 8 February 2017 setting out the technical and operational specifications allowing the commercial service offered by the system established under the Galileo programme to fulfil the function referred to in Article 2(4)(c) of Regulation (EU) No 1285/2013 of the European Parliament and of the Council, OJ L 34, 9.2.2017, p. 36.
(10) Regulation (EU) No 377/2014 of the European Parliament and of the Council of 3 April 2014 establishing the Copernicus Programme and repealing Regulation (EU) No 911/2010 (OJ L 122, 24.4.2014, p. 44).
(11) Regulation (EU) No 911/2010 of the European Parliament and of the Council of 22 September 2010 on the European Earth monitoring programme (GMES) and its initial operations (2011 to 2013)(OJ L 276, 20.10.2010, p. 1).
(12) Communication ‘Artificial Intelligence for Europe’ (COM(2018)0237 final) , Communication ‘Towards a common European data space’ (COM(2018)0232 final), Proposal for a Council Regulation on establishing the European High Performance Computing Joint Undertaking (COM(2018)0008 final).
(13) The European Organisation for the Exploitation of Meteorological Satellites
(14) 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)
(15) OJ L 175, 27.6.2013, p. 1.
(16) OJ L 309, 19.11.2013, p. 1.
(17) https://ec.europa.eu/commission/sites/beta-political/files/white_paper_on_the_future_of_europe_en.pdf
(18) http://www.consilium.europa.eu/uedocs/cms_data/docs/pressdata/en/intm/146072.pdf
(19) EUCO 217/13
(20) OJ L 287, 4.11.2011, p. 1.
(21) This Council Decision will result from the High Representative proposal extending the scope of Council Decision 2014/496/CFSP of 22 July 2014 currently under negotiation.
(22) OJ L 345, 23.12.2008, p. 75.
(23) Commission implementing Decision (EU) 2016/413 of 18 March 2016 determining the location of the ground-based infrastructure of the system established under the Galileo programme and setting out the necessary measures to ensure that it functions smoothly, and repealing Implementing Decision 2012/117/EU (OJ L 74, 19.03.2016, p. 45).
(24) Commission Delegated Regulation (EU) No 1159/2013 of 12 July 2013 supplementing Regulation (EU) No 911/2010 of the European Parliament and of the Council on the European Earth monitoring programme (GMES) by establishing registration and licensing conditions for GMES users and defining criteria for restricting access to GMES dedicated data and GMES service information (OJ L 309, 19.11.2013, p. 1)
(25) Regulation (EC) No 1049/2001 of the European Parliament and of the Council of 30 May 2001 regarding public access to European Parliament, Council and Commission documents (OJ L 145, 31.5.2001, p. 43).
(26) OJ 17, 6.10.1958, p. 385.
(27) OJ L 136, 31.5.1999, p. 15.
(28) Commission Decision (EU, Euratom) 2015/443 of 13 March 2015 on Security on the Commission (OJ L 72, 17.3.2015, p. 41).
(29) Commission Decision (EU, Euratom) 2015/444 of 13 March 2015 on the security rules for protecting EU classified information (OJ L 72, 17.3.2015, p. 53).
(30) A declaration of the Council and the Commission on the implementation of Article 107 in respect of the security aspects of the programme should be added to the Regulation and could be drafted as follows: ‘The Council and the Commission emphasise that, due to the sensitivity of the security aspects of the programme and in accordance with Article 3(4) and Article 6(2) of Regulation (EU) No 182/2011, it is particularly important that the chair of the Programme Committee meeting in the Security configuration makes every effort to find solutions which command the widest possible support within the committee or the appeal committee when considering the adoption of draft implementing acts concerning the security aspects of the programme.’
KEY INDICATORS
Key indicators shall structure the monitoring of the programe performance towards its objectives referred to in Article 4, with a view to minimising administrative burdens and costs.
1.
To that end, for annual reporting, data shall be collected as regards the following set of key indicators for which implementation details, like metrics, figures and associated nominal values and thresholds (including quantitative and qualitative cases) according to applicable mission requirements and expected performance, shall be defined in the agreements established with the entrusted entities:Specific Objective referred to in Article 4(2)(a)
Indicator 1: Accuracy of navigation and timing services provided by Galileo and EGNOS separately
Indicator 2: Availability and continuity of services provided by Galileo and EGNOS separately
Indicator 3: EGNOS services geographical coverage and number of EGNOS procedures published (both APV-I and LPV-200)
Indicator 4: EU user satisfaction with respect to Galileo and EGNOS services
Indicator 5: Share of Galileo and EGNOS enabled receivers in the worldwide and the EU Global Navigation Satellite Systems/ Satellite Based Augmentation System (GNSS/SBAS) receivers market.
Specific Objective referred to in Article 4(2)(b)
Indicator 1: Number of EU users of Copernicus Services, Copernicus data, and Data and Information Access Systems (DIAS) providing, where possible, information such as the type of user, geographical distribution and sector of activity
Indicator 1a: Where applicable, number of activations of Copernicus Services requested and/or served
Indicator 1b: EU User satisfaction with respect to Copernicus Services and DIAS
Indicator 1c: Reliability, availability and continuity of the Copernicus Services and Copernicus data stream
Indicator 2: Number of new information products delivered in the portfolio of each Copernicus Service
Indicator 3: Amount of data generated by the Sentinels
Specific Objective referred to in Article 4(2)(c)
Indicator 1: Number of users of SSA components providing, where possible, information such as the type of user, geographical distribution and sector of activity
Indicator 2: Availability of Services
Specific Objective referred to in Article 4(2)(d)
Indicator 1: Number of EU users of GOVSATCOM providing, where possible, information such as the type of user, geographical distribution and sector of activity
Indicator 2: Availability of Services
Specific Objective referred to in Article 4(2)(e)
Indicator 1: Number of launches for the Programme (including numbers by type of launchers)
Specific Objective referred to in Article 4(2)(f)
Indicator 1: Number and location of space hubs in the Union
Indicator 2: Share of SMEs established in the EU as a proportion of the total value of the contracts relating to the programme
2.
The evaluation referred to in Article 102 shall take into account additional elements such as:
a) |
Performance of competitors in the areas of navigation and Earth Observation |
b) |
User uptake of Galileo and EGNOS services |
c) |
Integrity of EGNOS services |
d) |
Uptake of Copernicus services by Copernicus core users |
e) |
Number of Union or Member State policies exploiting or benefiting from Copernicus |
f) |
Analysis of the autonomy of the SST component and of the level of independence of the EU in this area |
g) |
State-of-play of networking for NEO activities |
h) |
Assessment of Govsatcom capacities as regards user needs as referred to in Articles 68 and 69 |
i) |
User satisfaction of the SSA and Govsatcom services |
j) |
Share of Ariane and Vega launches in the total market based on publicly available data |
k) |
Development of the downstream sector measured, when available, by the number of new companies using EU space data, information and services, jobs created and turnover, by Member State, using Eurostat surveys when available |
l) |
Development of the EU Space upstream sector measured, when available, by number of jobs created and turnover by Member State and the global market share of European space industry, using Eurostat surveys when available |
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/424 |
P8_TA(2019)0403
Digital Europe programme for the period 2021-2027 ***I
European Parliament legislative resolution of 17 April 2019 on the proposal for a regulation of the European Parliament and of the Council establishing the Digital Europe programme for the period 2021-2027 (COM(2018)0434 — C8-0256/2018 — 2018/0227(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/50)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2018)0434), |
— |
having regard to Article 294(2) and Articles 172 and 173(3) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0256/2018), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
Having regard to the opinion of the European Economic and Social Committee of 18 October 2018 (1), |
— |
Having regard to the opinion of the Committee of the Regions of 5 December 2018 (2), |
— |
having regard to the letter from its President to the committee chairs of 25 January 2019 outlining the Parliament's approach to the Multiannual Financial Framework (MFF) post-2020 sectorial programmes, |
— |
having regard to the letter from the Council to the President of the European Parliament of 1 April 2019 confirming the common understanding reached between the co-legislators during negotiations, |
— |
having regard to Rule 59 of its Rules of Procedure, |
— |
having regard to the report of the Committee on Industry, Research and Energy and the opinion of the Committee on Culture and Education, and also the opinions of the Committee on Budgets, the Committee on the Environment, Public Health and Food Safety, the Committee on the Internal Market and Consumer Protection, the Committee on Transport and Tourism, the Committee on Legal Affairs and the Committee on Civil Liberties, Justice and Home Affairs (A8-0408/2018), |
1. |
Adopts its position at first reading hereinafter set out (3); |
2. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
3. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
(1) OJ C 62, 15.2.2019, p. 292.
(2) OJ C 86, 7.3.2019, p. 272.
(3) This position replaces the amendments adopted on 13 December 2018 (Texts adopted, P8_TA(2018)0521).
P8_TC1-COD(2018)0227
Position of the European Parliament adopted at first reading on 17 April 2019 with a view to the adoption of Regulation (EU) …/… of the European Parliament and of the Council establishing the Digital Europe Programme for the period 2021-2027
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on the Functioning of the European Union, and in particular Article 172 and 173(3) thereof,
Having regard to the proposal from the European Commission,
After transmission of the draft legislative act to the national parliaments,
Having regard to the opinion of the European Economic and Social Committee (1),
Having regard to the opinion of the Committee of the Regions (2),
Acting in accordance with the ordinary legislative procedure (3),
Whereas:
(1) |
This Regulation lays down a financial envelope for the Digital Europe Programme for the period 2021-2027 which is to constitute the prime reference amount, within the meaning of {reference to be updated as appropriate according to the new inter-institutional agreement: point 17 of the Interinstitutional Agreement of 2 December 2013 between the European Parliament, the Council and the Commission on budgetary discipline, on cooperation in budgetary matters and on sound financial management (4)}, for the European Parliament and the Council during the annual budgetary procedure. |
(2) |
Regulation (EU, Euratom) 2018/ 1046 of the European Parliament and of the Council (5) ▌(the ‘Financial Regulation’) applies to this Programme. It lays down rules on the implementation of the Union budget, including the rules on grants, prizes, procurement, indirect implementation, financial assistance, financial instruments and budgetary guarantees. |
(3) |
In accordance with the Financial Regulation, Regulation (EU, Euratom) No 883/2013 of the European Parliament and of the Council (6), Council Regulation (Euratom, EC) No 2988/95 (7), Council Regulation (Euratom, EC) No 2185/96 (8) and Regulation (EU) 2017/1939 (9), the financial interests of the Union are to be protected through proportionate measures, including the prevention, detection, correction and investigation of irregularities including fraud, the recovery of funds lost, wrongly paid or incorrectly used and, where appropriate, the imposition of administrative sanctions. In particular, in accordance with the provisions and procedures laid down in Regulation (EU, Euratom) No 883/2013 of the European Parliament and of the Council and Regulation (Euratom, EC) No 2185/96, the European Anti-Fraud Office (OLAF) may carry out administrative investigations, including on-the-spot checks and inspections, with a view to establishing whether there has been fraud, corruption or any other illegal activity affecting the financial interests of the Union. In accordance with Regulation (EU) 2017/1939, the European Public Prosecutor's Office (EPPO) may investigate and prosecute fraud and other criminal offences affecting the financial interests of the Union, as provided for in Directive (EU) 2017/1371 of the European Parliament and of the Council (10). In accordance with the Financial Regulation, any person or entity receiving Union funds is to fully cooperate in the protection of the Union’s financial interests, to grant the necessary rights and access to the Commission, OLAF, the EPPO and the European Court of Auditors (ECA) and to ensure that any third parties involved in the implementation of the Union funds grant equivalent rights. |
(4) |
Pursuant to {reference to be updated as appropriate according to a new decision on OCTs: Article 88 of Council Decision / /EU (11)}, persons and entities established in overseas countries and territories (OCTs) should be eligible for funding subject to the rules and objectives of the Programme and possible arrangements applicable to the Member State to which the relevant overseas country or territory is linked. Their effective participation in the Programme should be monitored and regularly evaluated by the European Commission. |
(5) |
Pursuant to paragraph 22 and 23 of the Inter-institutional agreement for Better Law- Making of 13 April 2016 (12), there is a need to evaluate this Programme on the basis of information collected through specific monitoring requirements, correlated to existing needs and complying with the Regulation (EU) 2016/679 of the European Parliament and of the Council (13), while avoiding overregulation and administrative burdens, in particular on Member States and taking into account existing measuring and bench-marking frameworks in the digital field . These requirements, where appropriate, can include measurable quantitative and qualitative indicators, as a basis for evaluating the effects of the Programme on the ground. |
(5a) |
The Programme should ensure utmost transparency and accountability of innovative financial instruments and mechanisms that involve the Union budget, especially as regards their contribution, both as regards initial expectations and end results made towards achieving Union objectives. |
(6) |
The Tallinn Digital Summit (14) of September 2017 and the Conclusions of the European Council (15) of 19 October 2017 indicated the need for Europe to invest in ▌our economies and addressing the skills gap to maintain and enhance European competitiveness and innovation , our quality of life and social fabric. The European Council concluded that the digital transformation offers immense opportunities for innovation, growth and jobs, will contribute to our global competitiveness, and enhance creative and cultural diversity. Seizing these opportunities requires collectively tackling ▌ the challenges posed by the digital transformation and reviewing policies affected by the digital transformation. |
(6a) |
Building a strong European digital economy and society will benefit from the good implementation of the Connecting Europe Facility, Wifi4EU and European Electronic Communications Code. |
(7) |
The European Council concluded in particular that the Union should urgently address emerging trends: this includes issues such as artificial intelligence ▌, while at the same time ensuring a high level of data protection in full compliance with Regulation (EU) 2016/679 , digital rights, fundamental rights and ethical standards. The European Council invited the Commission to put forward a European approach to artificial intelligence by early 2018 and called on the Commission to put forward the necessary initiatives for strengthening the framework conditions with a view to enable the EU to explore new markets through risk-based radical innovations and to reaffirm the leading role of its industry. |
(7c) |
Europe has to make decisive investments in its future, building strategic digital capacities in order to benefit from the digital revolution. A substantial budget (of at least 9,2 billion euro) must be ensured at EU level for this purpose, which must be complemented by sizable investment efforts at national and regional level, namely with a consistent and complementary relationship with structural and cohesion funds. |
(8) |
The Commission's Communication on ‘A new, modern Multiannual Financial Framework for a European Union that delivers efficiently on its priorities post-2020’ (16) outlines among the options for the future financial framework a programme for Europe's digital transformations to deliver 'strong progress towards smart growth in areas such as high quality data infrastructure, connectivity and cybersecurity. It would seek to secure European leadership in supercomputing, next generation internet, artificial intelligence, robotics and big data. It would reinforce the competitive position of industry and businesses in Europe across the digitised economy and would have a significant impact on bridging and filling the skills gap across the Union so that European citizens have the necessary skills, and knowledge to face the digital transformation |
(9) |
The Communication ‘Towards a common European data space’ (17), addresses the new measure to be taken as a key step towards a common data space in the EU — a seamless digital area with a scale that will enable the development and innovation of new products and services based on data. |
(10) |
The general objective of the Programme should be to support the digital transformation of industry and to foster better exploitation of the industrial potential of policies of innovation, research and technological development, for the benefit of businesses and citizens all over the Union, including the outermost as well as economically disadvantaged regions . The programme should be structured into five Specific Objectives reflecting key policy areas, namely: high-performance computing ▌, artificial intelligence, cybersecurity, advanced digital skills, and deployment, best use of digital capacities and interoperability. For all these areas, the Programme should also aim at better aligning Union, Member States and regional policies, and pooling of private and industrial resources in order to increase investment and develop stronger synergies. Furthermore, the Programme should strengthen the Union's competiveness and the resilience of its economy . |
(10a) |
The five Specific Objectives are distinct but interdependent. For example, artificial intelligence needs cybersecurity to be trustable, high performance computing capabilities will be key in supporting learning in the context of artificial intelligence, and all three capacities require advanced digital skills. Although individual actions under this programme may pertain to a single specific objective, the objectives should not be viewed in isolation, but as forming the core of a coherent package. |
(10b) |
There is a need to support SMEs intending to harness the digital transformation in their production processes. This will allow SMEs to contribute to the growth of the European economy through an efficient use of resources. |
(11) |
A central role in the implementation of the Programme should be attributed to European Digital Innovation Hubs, which should stimulate the broad adoption of advanced digital technologies by industry, in particular SMEs and entities employing up to 3 000 employees that are not SMEs (midcaps) , by public organisations and academia. In order to clarify the distinction between Digital Innovation Hubs complying with the eligibility criteria under this Programme and Digital Innovation Hubs established following the Communication of Digitising European Industry (COM(2016)0180) and financed by other sources, Digital Innovation Hubs financed under this Programme should be called European Digital Innovation Hubs. The European Digital Innovation Hubs should work together as a decentralised network. They serve as access points to latest digital capacities including high performance computing (HPC), artificial intelligence, cybersecurity, as well as other existing innovative technologies such as Key Enabling Technologies, available also in fablabs or citylabs. They shall act as single-entry points in accessing tested and validated technologies and promote open innovation. They will also provide support in the area of advanced digital skills (e.g. by coordinating with education providers for the provision of short-term training for workers and internships for students). The network of European Digital Innovation Hubs should ensure a broad geographical coverage across Europe (18) and should also contribute to the participation of the outermost regions in the Digital Single Market. |
(11a) |
During the first year of the programme, an initial network of European Digital Innovation Hubs should be established through an open and competitive process from entities designated by Member States . To this effect, Member States should be free to propose the candidates in accordance with their national procedures, administrative and institutional structures and the Commission should take utmost account of the opinion of each Member State before the selection of a European Digital Innovation Hub in its territory. Entities which are already carrying out functions as Digital Innovation Hubs in the context of the Digitising European Industry Initiative may, as a result of the competitive, and open process, be designated by Member States as candidates. The Commission may involve independent external experts in the selection process. The Commission and Member States should avoid unnecessary duplication of competences and functions at national and EU level. Hence there should be adequate flexibility when designating the hubs and determining their activities and composition. In order to ensure both a broad geographical coverage across Europe as well as a balance of technologies’ or sectors coverage the network might be further enlarged through an open and competitive process. |
(11b) |
The European Digital Innovation Hubs should develop appropriate synergies with Digital Innovation Hubs funded by Horizon Europe or other R&I programmes, the European Institute of Innovation and Technology, in particular the EIT Digital and also with established networks such as the European Entreprise Network or the EU Invest hubs. |
(11c) |
European Digital Innovation Hubs should act as facilitator to bring together industry, businesses and administrations which are in need of new technological solutions on one side, with companies, notably start-ups and SMEs, that have market-ready solutions on the other side. |
(11d) |
A consortium of legal entities may be selected as European Digital Innovation Hubs following the provision in Article 197.2(c) of the Financial Regulation that allows entities which do not have legal personality under the applicable national law to participate in calls for proposals, provided that their representatives have the capacity to undertake legal obligations on behalf of the entities and that the entities offer guarantees for the protection of the financial interests of the Union equivalent to those offered by legal persons. |
(11e) |
European Digital Innovation Hubs should be allowed to receive contributions from Member States, participating third countries or public authorities within them, contributions from international bodies or institutions, contributions from the private sector, in particular from members, shareholders or partners of the European Digital Innovation Hubs, revenues generated by the European Digital Innovation Hubs’ own assets and activities, bequests, donations and contributions from individuals or funding including in the form of grants from the Programme and other Union programmes. |
(12) |
The Programme should be implemented through projects reinforcing essential digital capacities and their wide use. This should involve co-financing with Member States and, when needed, the private sector. The co-financing rate should be established in the work programme. Only in exceptional cases might the Union funding cover up to 100 % of eligible costs. This should notably require reaching a critical mass in procurement to obtain better value for money and guarantee that suppliers in Europe stay at the forefront of technology advancements. |
(13) |
The policy objectives of this Programme will be also addressed through financial instruments and budgetary guarantee under the ▌InvestEU Fund. |
(14) |
The Programme's actions should be used to improve further the Union’s digital capacities as well as to address market failures or sub-optimal investment situations, in a proportionate manner, without duplicating or crowding out private financing and have a clear European added value. |
(15) |
To achieve maximum flexibility throughout the lifetime of the programme and develop synergies between its components, each of the specific objectives may be implemented through all instruments available under the Financial Regulation. The delivery mechanisms to be used are direct management and indirect management when Union financing should be combined with other sources of financing or when execution requires the setup of commonly governed structures. Moreover, in order to respond in particular to new developments and needs, e.g. new technologies, the Commission may, within the annual budgetary procedure and in accordance with the Financial Regulation, propose to deviate from the indicative amounts set out in this Regulation. |
(15a) |
In order to ensure efficient allocation of funds from the general budget of the Union, it is necessary to ensure the European added value of all actions and activities carried out with the Programme, their complementarity to Member States' activities, while consistency, complementarity and synergies should be sought with funding programmes supporting policy areas with close links to each other. While for directly and indirectly managed actions the relevant work programmes provide a tool for ensuring consistency, collaboration between the Commission and the relevant Member States authorities should be established to ensure consistency and complementarities also between directly or indirectly managed funds and funds subject to shared management. |
(16) |
The high performance computing and the related data processing capacities in the Union should allow to ensure wider use of high performance computing by industry and, more generally, in areas of public interest in order to seize unique opportunities that supercomputers bring to society as regards health, environment and security as well as competitiveness of industry, notably small and medium-sized enterprises. Acquiring a world-class supercomputers, will secure the Union's supply system and help deploy services for simulation, visualisation and prototyping while ensuring a HPC system in accordance with Union values and principles. |
(17) |
The support to the Union's intervention in this area was expressed by the Council (19) and, by the European Parliament (20). Moreover, in 2017-2018 nineteen Member States signed the EuroHPC Declaration (21), a multi-government agreement where they commit to collaborate with the Commission to build and deploy state-of-the-art HPC and data infrastructures in Europe that would be available across the Union for scientific communities, public and private partners. |
(18) |
For the high performance computing specific objective a joint undertaking is deemed the most suited implementation mechanism, in particular to coordinate national and Union strategies and investments in high performance computing infrastructure and research and development, pool resources from public and private funds, and safeguard the economic and strategic interests of the Union (22). Moreover, high performance computing competence centres as defined in Article 2(4) of the Council Regulation (EU) 2018/1488 in Member States will provide high performance computing services to industry, including SMEs and start-ups, academia and public administrations |
(19) |
Developing capacity related to artificial intelligence is a crucial driver for the digital transformation of industry , services and also of the public sector. Ever more autonomous robots are used in factories, deep sea application, homes, cities and hospitals. Commercial artificial intelligence platforms have moved from testing to real applications in health and environment; all major car manufacturers are developing self-driving cars, and machine learning techniques are at the heart of all main web platforms and big data applications. It is essential for Europe to join forces at all levels to be competitive internationally. The Member States have acknowledged this through concrete commitments for collaboration in a coordinated action plan. |
(19a) |
Libraries of algorithms may cover a large set of algorithms, including simple solutions such as classification algorithms, neural network algorithms or planning or reasoning algorithms, or more elaborated solutions, such as speech recognition algorithms, navigation algorithms embedded in autonomous devices, such as drones or in autonomous cars, AI algorithms built-in robots enabling them to interact with and adapt to their environment. Libraries of algorithms should be made easily accessible to all based on fair, reasonable and non-discriminatory terms. |
(19b) |
In its resolution of 1 June 2017 on digitising European industry the European Parliament pointed out the impact of language barriers on industry and its digitisation. In this context the development of large-scale AI-based language technologies such as automatic translation, speech recognition, big data text analytics, dialog and question-answering systems are essential to preserve linguistic diversity, ensure inclusiveness and enable human-human and human-machine communication. |
(19c) |
Products and services based on artificial intelligence should be user-friendly, legally compliant by default and provide consumers with more choice and more information, in particular on the quality of products and services. |
(20) |
The availability of large-scale data sets and testing and experimentation facilities are of major importance for the development of artificial intelligence, including language technologies. |
(21) |
In its resolution of 1 June 2017 on digitising European industry (23) the European Parliament highlighted the importance of a common European cybersecurity approach, recognising the need to raise awareness and considered cyber-resilience as a crucial responsibility for business leaders and national and European industrial security policymakers , as well as the implementation of security and privacy by default and by design . |
(22) |
Cybersecurity is a challenge for the whole Union that cannot ▌be addressed only with ▌national initiatives. Europe's cybersecurity capacity should be reinforced to endow Europe with the necessary capacities to protect ▌citizens , public administrations and businesses from cyber threats. In addition consumers should be protected when using connected products that can be hacked and compromise their safety. This should be achieved together with Member States and private sector by developing, and ensuring coordination between, projects reinforcing Europe's capacities in cybersecurity and ensuring the wide deployment of latest cybersecurity solutions across the economy, as well as by aggregating the competences in this field to ensure critical mass and excellence. |
(23) |
In September 2017, the Commission put forward a package of initiatives (24) setting out a comprehensive Union approach to cybersecurity, with the aim of reinforcing Europe’s capacities to deal with cyber-attacks and threats and to strengthen technology and industrial capacity in this field. This includes Regulation on the EU Cybersecurity Agency (ENISA) and information and communication technology cybersecurity certification (Cybersecurity Act). |
(24) |
Trust is a prerequisite for the Digital Single Market to function. Cybersecurity technologies such as digital identities, cryptography or intrusion detection, and their application in areas such as finance, industry 4.0, energy, transportation, healthcare, or e-government are essential to safeguard the security and trust of online activity and transactions by both citizens, public administrations, and companies. |
(25) |
The European Council in its conclusions of 19 October 2017 stressed that to successfully build a Digital Europe, the Union needs in particular labour markets, training and education systems fit for the digital age and that there is a need to invest in digital skills, to empower and enable all Europeans; |
(26) |
The European Council in its conclusions of 14 December 2017 called on Member States, the Council and the Commission to take forward the agenda of the Gothenburg Social Summit of November 2017 including the European Pillar of Social Rights as well as education and training and the delivery of the new European Skills Agenda. The European Council also asked the Commission, the Council and the Member States to examine possible measures addressing the skills challenges linked to digitisation, cybersecurity, media literacy and artificial intelligence and the need for an inclusive, lifelong-learning-based and innovation-driven approach to education and training. In response, the Commission presented on 17 January 2018 a first package of measures, addressing key competences, digital skills (25) as well as common values and inclusive education. In May 2018, a second package of measure was launched advancing work to build a European Education Area by 2025, which also emphasises the centrality of digital skills. |
(26a) |
Media literacy means the essential competencies (knowledge, skills and attitudes) that allow citizens to engage with media and other information providers effectively, and to develop critical thinking and life-long learning skills for socializing and becoming active citizens; |
(26b) |
Considering the need for a holistic approach, the Programme should also take into account the areas of inclusion, qualification, training and specialization which, in addition to the advanced digital competences, are decisive for the creation of added value in the knowledge society. |
(27) |
In its resolution of 1 June 2017 on digitising European industry (26) the European Parliament stated that education, training and lifelong learning are the cornerstone of social cohesion in a digital society. It furthermore demanded that the gender perspective would be incorporated in all digital initiatives, emphasizing the need to address the gender gap within the ICT sector, since this is essential for Europe’s long-term growth and prosperity; |
(28) |
The advanced digital technologies supported by this Programme, such as high performance computing, cybersecurity and artificial intelligence are now sufficiently mature to move beyond the research arena and be deployed, implemented and scaled-up at Union level. Just as the deployment of these technologies require a Union response so does the skills dimension. Training opportunities in advanced digital skills, including data protection competencies, need to be scaled up, increased and made accessible throughout the EU. Failing this could impede the smooth deployment of advanced digital technologies and hamper the overall competitiveness of Union's economy. The actions supported by this programme are complementary to those supported by the ESF, ERDF ERASMUS + and Horizon Europe programmes. They will target the workforce, in the private as well as the public sector, in particular ICT professionals and other related professionals, as well as students. These categories include trainees and trainers. The workforce refers to the economically active population, and includes both employed (employees and self-employed) and unemployed people. |
(29) |
Modernising public administrations and services through digital means is crucial to reducing administrative burden on ▌citizens ▌by making their interactions with public authorities faster, more convenient and less costly, as well as by increasing the efficiency , transparency and the quality of the services provided to citizens and businesses while at the same time increasing the efficiency of public spending . Since a number of services of public interest already have a Union dimension, the support to their implementation and deployment at Union level should ensure that citizens and businesses may benefit from the access to high quality multilingual digital services across Europe. Moreover, Union support in this area is expected to encourage re-use of public sector information. |
(29a) |
Digitalisation can facilitate and improve barrier-free accessibility for everyone, including older people, persons with reduced mobility or a disability, and those in remote or rural areas. |
30) |
The digital transformation of the areas of public interest such as healthcare (27), mobility, justice, earth/environmental monitoring , security , reduction of carbon emissions, energy infrastructure, education and training and culture requires the continuation, and expansion of Digital Service Infrastructures, which make secure cross-border exchange of data possible and foster national development. Their coordination under this Regulation best achieves the potential for exploiting synergies. |
(30a) |
The deployment of necessary digital technologies, in particular those under specific objectives of high performance computing, artificial intelligence and cybersecurity and trust is key to reap the benefits of digital transformation and might be complemented by other leading edge and future technologies, such as distributed ledgers (e.g. blockchain). |
(30b) |
The digital transformation should allow EU citizens to access, use and manage their personal data securely across borders, irrespective of their location or the location of the data. |
(31) |
The Council of the EU in its Tallinn declaration of 6 October 2017 concluded that digital progress is transforming our societies and economies to the core, challenging the effectiveness of previously developed policies in a broad range of areas as well as the role and function of the public administration overall. It is our duty to anticipate and manage these challenges to meet the needs and expectations of citizens and businesses. |
(32) |
The modernisation of European public administrations is one of the key priorities for successful implementation of the Digital Single Market Strategy. The mid-term evaluation of the Strategy highlighted the need to strengthen the transformation of public administrations and to ensure citizens have easy, trusted, and seamless access to public services. |
(33) |
The Annual Growth Survey published by the Commission in 2017 (28) shows that the quality of European public administrations has a direct impact on the economic environment and is therefore crucial to stimulating productivity, competitiveness, economic cooperation, sustainable growth, employment and high-quality jobs . In particular, efficient and transparent public administration and effective justice systems are necessary to support economic growth and deliver high quality services for firms and citizens. |
(34) |
Interoperability of European public services concerns all levels of administration: Union, national, regional and local. Besides removing barriers to a functioning Single Market, interoperability facilitates cross-border co-operation, promoting European standards, successful implementation of policies and offers great potential to avoid cross-border electronic barriers, further securing the emergence of new, or the consolidation of developing, common public services at Union level. In order to eliminate fragmentation of European services, to support fundamental freedoms and operational mutual recognition in the EU, a holistic cross-sector and cross-border approach to interoperability should be promoted in the manner that is the most effective, and the most responsive to end-users. This implies that interoperability is to be understood in a broad sense, spanning from technical to legal layers and encompassing policy elements in the field.Accordingly, the span of activities would go beyond the usual lifecycle of solutions to include all the interventions elements that would support the necessary framework conditions for sustained interoperability at large. The Programme should also facilitate cross-fertilisation between the different national initiatives, leading to the development of the digital society. |
(34a) |
The programme should, therefore, encourage open source solutions in order to allow reuse, increase trust and secure transparency. This will have a positive impact on the sustainability of funded projects. |
(35) |
The budget allocated to specific activities dedicated to the implementation of the interoperability framework and the interoperability of developed solutions is EUR 194 million |
(36) |
European Parliament resolution of 1 June 2017 on digitising European industry (29) stresses the importance of unlocking sufficient public and private finance for the digitisation of Europe’s industry. |
(37) |
In April 2016 the Commission adopted the Digitising European Industry initiative to ensure that ‘any industry in Europe, big or small, wherever situated and in any sector can fully benefit from digital innovations’. This is of particular relevance to SMEs in the cultural and creative sectors. |
(38) |
The European Economic and Social Committee welcomed the communication on ‘Digitising European Industry’ and considered it, together with accompanying documents, as ‘the first step in a vast European work programme to be carried out in close mutual cooperation between all interested public and private parties’. (30) |
(39) |
Reaching the target objectives may require leveraging the potential of complementary technologies in the networking and computing domains, as stated in the Communication ‘Digitising European Industry’ (31) that recognises ‘availability of world class networking and cloud infrastructure’ as an essential component of industry digitisation. |
(40) |
▌Regulation (EU) 2016/679 by providing for a single set of rules directly applicable in the Member States legal orders, guarantees the free flow of personal data between EU Member States and reinforce trust and security of the individuals, two indispensable elements for a real Digital Single Market. All actions undertaken under this Programme, when they involve the processing of personal data, should therefore support the application of Regulation (EU) 2016/679 , for instance in the field of artificial intelligence and blockchain technology. They should support the development of digital technologies that comply with the ‘data protection by design and by default’ obligations. |
(41) |
The Programme should be implemented in full respect of the international and EU framework of intellectual property protection and enforcement. The effective protection of intellectual property plays a key role in innovation and thus is necessary for the effective implementation of the Programme. |
(42) |
Bodies implementing this Programme should comply with the provisions applicable to the Union institutions, and with national legislation regarding the handling of information, in particular sensitive non-classified information and EU classified information. For Specific Objective 3, security reasons may require the exclusion of entities controlled from third countries from calls for proposals and tenders under this programme. In exceptional cases such an exclusion may also be required for Specific Objectives 1 and 2. The security reasons for such an exclusion should be proportionate and duly justified with reference to the risks inclusion of such entities would represent. |
(43) |
Reflecting the importance of tackling climate change in line with the Union’s commitments to implement the Paris Agreement and the United Nations Sustainable Development Goals, this Programme will contribute to mainstream climate actions and lead to the achievement of an overall target of 25 % of the EU budget expenditures supporting climate objectives (32). Relevant actions should be identified during the Programme's preparation and implementation, and reassessed in the context of the relevant evaluations and review processes. |
▌ |
|
(45) |
Work programmes should be adopted so that the objectives of the Programme are achieved in accordance with the Union's and Member States' priorities, while ensuring consistency, transparency and continuity of joint action by the Union and the Member States. The work programmes should be adopted in principle every two years, or, if justified by the needs related to the implementation of the programme, on an annual basis . The types of financing and the methods of implementation under this Regulation should be chosen on the basis of their ability to achieve the specific objectives of the actions and to deliver results, taking into account, in particular, the costs of controls, the administrative burden, and the expected risk of non-compliance. This should include consideration of the use of lump sums, flat rates and unit costs, as well as financing not linked to costs as referred to in Article 125(1) of the Financial Regulation. |
(46) |
The power to adopt acts in accordance with Article 290 of the Treaty on the Functioning of the European Union should be delegated to the Commission concerning amendments to Annexes I and II to review and/or complement the indicators. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. |
(47) |
This Regulation respects fundamental rights and observes the principles recognised in the Charter of Fundamental Rights of the European Unions, notably those referred under Articles 8, 11, 16, 21, 35, 38 and 47 regarding the protection of personal data, the freedom of expression and information, the freedom to conduct business, the prohibition of discrimination, healthcare, consumer protection and the right to effective remedy and fair trial. The Member States must apply this Regulation in a manner consistent with these rights and principles’. |
▌ |
|
(49) |
Horizontal financial rules adopted by the European Parliament and the Council on the basis of Article 322 of the Treaty on the Functioning of the European Union apply to this Regulation. These rules are laid down in the Financial Regulation and determine in particular the procedure for establishing and implementing the budget through grants, procurement, prizes, indirect implementation, and provide for checks on the responsibility of financial actors. Rules adopted on the basis of Article 322 TFEU also concern the protection of the Union's budget in case of generalised deficiencies as regards the rule of law in the Member States, as the respect for the rule of law is an essential precondition for sound financial management and effective EU funding. |
HAVE ADOPTED THIS REGULATION:
CHAPTER I
GENERAL PROVISIONS
Article 1
Subject matter
This Regulation establishes the Digital Europe programme (‘Programme’).
It lays down the objectives of the Programme, the budget for the period 2021 — 2027, the forms of European Union funding and the rules for providing such funding.
Article 2
Definitions
For the purposes of this Regulation, the following definitions shall apply:
(a) |
‘Blending operation’ means actions supported by the EU budget, including within blending facilities pursuant to Article 2(6) of the Financial Regulation, combining non-repayable forms of support and/or financial instruments from the EU budget with repayable forms of support from development or other public finance institutions, as well as from commercial finance institutions and investors. |
(b) |
‘Legal entity’ means any natural person, or legal person created and recognised as such under national law, Union law or international law, which has legal personality and which may, acting in its own name, exercise rights and be subject to obligations, or an entity without a legal personality in accordance with Article 197(2)(c) of the Financial Regulation; |
(c) |
‘Third country’ means a country that is not member of the Union; |
(d) |
‘Associated country’ means a third country which is party to an agreement with the Union allowing for its participation in the Programme pursuant to Article [10]; |
(da) |
‘international organisation of European interest’ means an international organisation, the majority of whose members are Member States or whose headquarters are in a Member State; |
(e) |
‘ European Digital Innovation Hub’ means legal entity ▌selected in in accordance with article 16 in order to fulfil the tasks under the Programme, in particular providing directly or ensuring access to, technological expertise and experimentation facilities, such as equipment and software tools to enable the digital transformation of the industry, as well as facilitating access to finance . European Digital Innovation Hub shall be open to business of all forms and sizes, in particular to SMEs, midcaps, scale-ups and public administrations across the Union. |
(f) |
‘Advanced digital skills’ are those skills and professional competences requiring knowledge, and experience necessary to understand, design, develop, manage, test, deploy , use and maintain the technologies , products and services supported by this Regulation as referred to under Article 3(2)(a), (b), (c) and (e) . |
(fa) |
‘European Partnership’ means an initiative as defined in [insert reference Horizon Europe FP Regulation] |
(fb) |
‘small and medium-sized enterprises’ or ‘SMEs’ means micro, small and medium-sized enterprises as defined in Article 2 of the Annex to Commission Recommendation 2003/361/EC; |
(g) |
‘Cybersecurity’ means all activities necessary to protect network and information systems, their users, and affected persons from cyber threats; |
(h) |
‘Digital Service Infrastructures’ means infrastructures which enable networked services to be delivered electronically, typically over the internet; |
(i) |
‘Seal of Excellence’ means a certified label as defined in [insert reference Horizon Europe FP Regulation] |
Article 3
Programme objectives
1. The Programme has the following general objective: to support and accelerate the digital transformation of the European economy , industry and society, to bring its benefits to European citizens, public administrations and businesses across the Union, and improve the competitiveness of Europe in the global digital economy while contributing to bridging the digital divide across the Union and reinforcing the Union’s strategic autonomy. This requires holistic, cross-sectoral and cross-border support and a stronger Union contribution . The Programme, implemented in close coordination with other Union funding programmes as applicable, will:
(a) |
strengthen and promote Europe's capacities in key digital technology areas through large-scale deployment, |
(b) |
widen their diffusion and uptake in the private sector and in areas of public interest, promoting their digital transformation and access to digital technologies |
2. The Programme will have five interrelated specific objectives:
(a) |
Specific Objective 1: High Performance Computing |
(b) |
Specific Objective 2: Artificial Intelligence |
(c) |
Specific Objective 3: Cybersecurity and Trust |
(d) |
Specific Objective 4: Advanced Digital Skills |
(e) |
Specific Objective 5: Deployment, best use of digital capacity and interoperability |
Article 4
High Performance Computing
1. The financial intervention by the Union under Specific Objective 1. High Performance Computing shall pursue the following operational objectives:
(a) |
deploy, coordinate at the Union level and operate an integrated demand-oriented and application driven world-class exascale ▌ supercomputing and data infrastructure in the Union that shall be easily accessible ▌to public and private users, notably SMEs, irrespective of which Member State they are located in, and for research purposes, in accordance with {Regulation establishing the European High Performance Computing Joint Undertaking} ; |
(b) |
deploy ready to use/operational technology resulting from research and innovation to build an integrated Union high performance computing ecosystem, covering various aspects in the scientific and industrial value chain segments, including hardware, software, applications, services, interconnections and digital skills , with a high level of security and data protection ; |
(c) |
deploy and operate a post-exascale ▌ infrastructure, including the integration with quantum computing technologies and ▌research infrastructures for computing science; encourage the development within the Union of the hardware and software necessary for such deployment . |
2. The actions under Specific Objective 1 shall be primarily implemented through the Joint Undertaking established by Council Regulation (EU) 2018/1488 of 28 September 2018 establishing the European High Performance Computing Joint Undertaking (33).
Article 5
Artificial Intelligence
1. The financial intervention by the Union under Specific Objective 2. Artificial Intelligence shall pursue the following operational objectives:
(a) |
build up and strengthen core artificial intelligence capacities and knowledge in the Union, including quality data resources and corresponding exchange mechanisms and libraries of algorithms while guaranteeing a human-centric and inclusive approach respecting European values. In full compliance with data protection legislation, artificial intelligence based solutions and data made available shall respect the principle of privacy and security by design. |
(b) |
make those capacities accessible to all businesses , especially SMEs and start-ups, civil society, not-for-profit organisations, research institutions, universities, and public administrations to maximise their benefit to European society and economy ; |
(c) |
reinforce and network ▌artificial intelligence testing and experimentation facilities in Member States. |
(ca) |
in order to develop and reinforce commercial application and production systems, facilitating integration of technologies in value chains, development of innovative business models, and shortening the time passed from innovation to industrialisation; and to foster the take up of AI-based solution in areas of public interest and society. |
1b. The Commission in accordance with the relevant Union and international laws, including the Charter of Fundamental Rights of the European Union, and taking into account inter alia the recommendations of the High-Level Expert Group on Artificial Intelligence shall specify conditions related to ethical issues in the work programmes under Specific objective 2. The calls or the grant agreements shall include relevant conditions as set out in work programmes.
Where appropriate, the Commission shall carry out ethics checks. Funding for actions which do not comply with the conditions of ethical issues may be suspended, terminated or reduced at any time in accordance with the Financial Regulation.
1c. The actions under this specific objective shall be implemented primarily through direct management.
The ethical and legal requirements provided for in this article shall apply to all actions of Specific Objective 2 regardless of the implementation mode.
Article 6
Cybersecurity and Trust
1. The financial intervention by the Union under Specific Objective 3. Cybersecurity and Trust shall pursue the following operational objectives:
(a) |
support, together with Member States, the build-up and procurement of advanced cybersecurity equipment, tools and data infrastructures in order to achieve a common high level of cybersecurity at the European level, in full compliance with data protection legislation and the fundamental rights while ensuring EU strategic autonomy. |
(b) |
support the build-up and best use of European knowledge, capacity and skills related to cybersecurity; and the sharing and mainstreaming of best practices, |
(c) |
ensure a wide deployment of the latest cybersecurity solutions across the economy; with special attention to public services and essential economic operators such as SMEs; |
(d) |
reinforce capabilities within Member States and private sector to help them meet Directive (EU) 2016/1148 of the European Parliament and of the Council of 6 July 2016 concerning measures for a high common level of security of network and information systems across the Union79 including through measures aiming at developing a cybersecurity culture within organisations . |
(da) |
improve resilience against cyber-attacks, to increase risk awareness and knowledge of basic security processes among users, particularly public services, SMEs and start-ups, to ensure that companies have basic levels of security, such as end-to-end encryption of data and communications and software updates, and to encourage the use of the security-by-design and by default knowledge of basic security processes as well as cyber-hygiene; |
1a. The actions under Specific objective 3 Cybersecurity and trust shall be primarily implemented through the European Cybersecurity Industrial, Technology and Research Competence Centre and the Cybersecurity Competence Network in accordance with [Regulation… of the European Parliament and of the Council (34)].
Article 7
Advanced Digital Skills
1. The financial intervention by the Union under Specific Objective 4. Advanced Digital skills shall support the development of advanced digital skills in areas supported by this programme, thus contributing to increase Europe's talent pool, bridging the digital divide , fostering greater professionalism taking into account gender balance , especially with regard to high performance and cloud computing, big data analytics, cybersecurity, distributed ledger technologies (e.g. blockchain), quantum technologies , robotics, artificial intelligence To tackle skills mismatches and encourage specialisation in digital technologies and applications, the financial intervention shall pursue the following operational objectives:
(a) |
support the design and delivery of high quality long-term trainings and courses including blended learning for students ▌and the workforce; |
(b) |
support the design and delivery of high quality short-term trainings and courses for ▌the workforce , in particular in SMEs and in the public sector ; |
(c) |
support high quality on-the-job trainings and work placements for students including traineeships ▌and the workforce, in particular in SMEs and in the public sector . |
2. The actions under this specific objective Advanced Digital Skills shall be implemented primarily through direct management.
Article 8
Deployment, best use of digital capacities and Interoperability
1. The financial intervention by the Union under Specific Objective 5. Deployment, best use of digital capacities and Interoperability shall achieve the following operational objectives while bridging the digital divide :
(a) |
support the public sector and areas of public interests, such as health and care, education, judiciary, customs, transport, mobility, energy, environment, cultural and creative sectors, including relevant businesses established within the Union, to effectively deploy and access state-of-the-art digital technologies, such as high performance computing, artificial intelligence and cybersecurity; |
(b) |
deploy, operate and maintain trans-European interoperable state of the art Digital Service Infrastructures across the Union (including related services) in complementarity with national and regional actions; |
(ba) |
support integration and use of trans-European Digital Service Infrastructures and of agreed European digital standards in the public sector and areas of public interests to facilitate cost-efficient implementation and interoperability; |
(c) |
facilitate the development, update and use of solutions and frameworks by European public administrations, businesses and citizens, including open source and the re-use of interoperability solutions and frameworks; |
(d) |
offer to the public sector and the Union industry, notably SMEs, easy access to testing and piloting of digital technologies as well as scaling up the use thereof , including their cross-border use; |
(e) |
support the uptake by the public sector and the Union industry, notably SMEs and start-ups, of advanced digital and related technologies, including in particular high performance computing, artificial intelligence, cybersecurity , other leading edge and future ▌technologies, such as distributed ledgers (e.g. blockchain) ; |
(f) |
support the design, testing, implementation, and deployment and maintenance of interoperable digital solutions , including digital government solutions , for EU level public services delivered through a data-driven reusable solutions platform, fostering innovation and establishing common frameworks in order to unleash the full potential of the public administrations’ services for European citizens and businesses; |
(g) |
ensure a continuous capacity at the Union level to lead digital development, in addition to observe, analyse and adapt to fast-evolving digital trends, as well as sharing and mainstreaming best practices |
(h) |
support cooperation towards achieving a European ecosystem for trusted datasharing and digital infrastructures using inter alia distributed ledger services and applications, including support for interoperability and standardisation and fostering the deployment of EU cross-border applications based on security and privacy by design, respecting consumer and data protection legislation ; |
(i) |
build up and strengthen the European Digital Innovation Hubs and their network . |
2. The actions under this specific objective shall be implemented primarily through direct management.
Article 9
Budget
1. The financial envelope for the implementation of the Programme for the period 2021–2027shall be EUR 8 192 391 000 in 2018 prices (EUR 9 194 000 000 in current prices).
2. The indicative distribution of the referred amount shall be:
(a) |
up to EUR 2 404 289 438 in 2018 prices ( EUR 2 698 240 000 in current prices) for Specific Objective 1, High Performance Computing |
(b) |
up to EUR 2 226 192 703 in 2018 prices ( EUR 2 498 369 000 in current prices) for Specific Objective 2, Artificial Intelligence |
(c) |
up to EUR 1 780 954 875 in 2018 prices ( EUR 1 998 696 000 in current prices) for Specific Objective 3, Cybersecurity and Trust |
(d) |
up to EUR 623 333 672 in 2018 prices ( EUR 699 543 000 in current prices) for Specific Objective 4, Advanced Digital skills |
(e) |
up to EUR 1 157 620 312 in 2018 prices ( EUR 1 299 152 000 in current prices) for Specific Objective 5, Deployment, best use of digital capacities and Interoperability |
3. The amount referred to in paragraph 1 may also be used for technical and administrative assistance for the implementation of the Programme, such as preparatory, monitoring, control, audit and evaluation activities including corporate information technology systems.
4. Budgetary commitments for actions extending over more than one financial year may be broken down over several years into annual instalments.
5. Resources allocated to Member States under shared management may, at their request, be transferred to the Programme, including to complement grants awarded to the action up to 100 % of the total eligible cost where possible, without prejudice to the co-financing principle as laid down in Art. 190 of the Financial Regulation and to State-Aid rules . The Commission shall implement those resources directly in accordance with point (a) of Article 62(1) of the Financial Regulation or indirectly in accordance with point (c) of that Article. Those resources shall be used for the benefit of the Member State concerned only .
6. Without prejudice to the Financial Regulation, expenditure for actions resulting from projects included in the first work programme may be eligible as from 1 January 2021.
Article 10
Third countries associated to the Programme
▌
1. |
The programme shall be open to Members of the European Free Trade Association, which are members of the European Economic Area, in accordance with the conditions laid down in the European Economic Area agreement; |
2. |
Full or partial association to the programme of third
countries
that are not referred to in paragraph 1 shall be based on a case by case assessment of the Specific objectives
, in accordance with the ▌conditions laid down in
a specific agreement covering the participation of the third country to any
Union
programme, provided that this specific agreement fully respects the following criteria:
|
2a. |
When preparing the work programmes, the European Commission or other relevant implementing bodies, shall assess on a case-by-case basis whether the conditions laid down in the agreement referred to in paragraph 2 are met for the actions included in the work programmes. |
▌
Article 11
International cooperation
1. The Union may cooperate with third countries mentioned in Article 10, with other third countries and with international organisations or bodies established in those countries, in particular within the framework of the Euro-Mediterranean and Eastern Partnerships and with neighbouring countries, in particular those of the Western Balkans and Black Sea regions. Without prejudice to Article 18 , related costs shall not be covered by the programme.
2. The cooperation with third countries and organisations mentioned in paragraph 1 under Specific Objective 1. High Performance Computing, Specific Objective 2. Artificial Intelligence and Specific Objective 3. Cybersecurity and Trust shall be subject to Article 12.
Article 12
Security
1. Actions carried out under the Programme shall comply with the applicable security rules and in particular the protection of the classified information against unauthorised disclosure, including compliance with any relevant national and Union law. In case of actions carried out outside the Union using and/or generating classified information , it is necessary that, in addition to the compliance with above requirements, a security agreement must have been concluded between the Union and the third country in which the activity is conducted.
2. Where appropriate, proposals and tenders shall include a security self-assessment identifying any security issues and detailing how those issues will be addressed in order to comply with the relevant national and Union laws.
3. Where appropriate, the Commission or funding body shall carry out a security scrutiny for proposals raising security issues.
4. Where appropriate, the actions shall comply with Commission Decision (EU, Euratom) 2015/444 (35), and its implementing rules.
5. The work programme may also provide that legal entities established in associated countries and legal entities established in the EU but controlled from third countries are not eligible for participation in all or some actions under Specific Objective 3 for duly justified security reasons. In such cases calls for proposals and calls for tenders shall be restricted to entities established or deemed to be established in Member States and controlled by Member States and/or nationals of Member States.
If duly justified for security reasons, the work programme may also provide that the legal entities established in associated countries and legal entities established in the EU but controlled from third countries may be eligible for participating in all or some actions under Specific Objectives 1 and 2 only if they comply with conditions that relate to the requirements to be fulfilled by those legal entities to guarantee the protection of the essential security interest of the Union and its Member States and to ensure the protection of classified documents information. Those conditions shall be set out in the work programme.
5a. Where appropriate the Commission shall carry out security checks. Funding for actions which do not comply with the conditions related to security issues may be suspended, terminated or reduced at any time in accordance with the Finacial Regulation.
Article 13
Synergies with other Union programmes
1. The Programme is designed to be implemented enabling synergies, as further described in Annex III, with other Union funding programmes, in particular through arrangements for complementary funding from EU programmes where management modalities permit; either in sequence, in an alternating way, or through the combination of funds including for the joint funding of actions. The Commission shall ensure that when leveraging the complementary character of the programme with other European funding programmes the achievement of Specific objectives 1 to 5 are not hampered.
2. The Commission, in cooperation with the Member States, shall ensure the overall consistency and complementarity of the Programme with the relevant policies and Union programmes. To this effect, the Commission shall facilitate setting up appropriate mechanisms of coordination between relevant authorities and between authorities and the European Commission and shall establish appropriate monitoring tools ▌to systematically ensure synergies between the Programme and any relevant EU funding instruments. The arrangements shall contribute to avoiding duplications and maximising impact of expenditure.
Article 14
Implementation and forms of funding
1. The Programme shall be implemented in direct management in accordance with the Financial Regulation or in indirect management with bodies referred to in Article 62(1)(c) ▌of the Financial Regulation in accordance with Articles 4 — 8. Funding bodies may depart from the rules for participation and dissemination laid down in this regulation only if this is provided for in the basic act setting up the funding body and/or entrusting budget implementation tasks to it or, for funding bodies under Article 62(1)(c)(ii), (iii) or (v) of the Financial Regulation, if it is provided for in the contribution agreement and their specific operating needs or the nature of the action so require.
2. The Programme may provide funding in any of the forms laid down in the Financial Regulation, including notably procurement as a primary form as well as grants and prizes.
Where the achievement of an objective of the action requires the procurements of innovative good and services, grants may only be awarded to beneficiaries that are contracting authorities or contracting entities as defined in Directives 2014/24/EU (36) , 2014/25/EU (37) and 2009/81/EC (38).
Where the supply of innovative digital goods or services that are not yet available on a large-scale commercial basis is necessary for the achievement of the objectives of the action, the procurement procedure may authorise the award of multiple contracts within the same procedure.
For duly justified reasons of public security, the contracting authority may impose the condition for the place of performance of the contract to be situated within the territory of the Union.
The Programme may also provide financing in the form of financial instruments within blending operations.
3. Contributions to a mutual insurance mechanism may cover the risk associated with the recovery of funds due by recipients and shall be considered a sufficient guarantee under the Financial Regulation. The provisions laid down in [Article X of ▌Regulation XXX ▌successor of the Regulation on the Guarantee Fund] shall apply.
Article 15
European Partnerships
The Programme may be implemented through European Partnerships established in accordance with Horizon Europe Regulation and within the Strategic planning process between the European Commission and the Member States . This may include in particular contributions to existing or new public-private partnerships in the form of joint undertakings established under Article 187 TFEU. For these contributions, provisions relating to European Partnerships under [Horizon Europe Regulation, ref to be added] apply.
Article 16
Digital Innovation Hubs
1. During the first year of the implementation of the Programme, an initial network of European Digital Innovation Hubs , consisting of at least one hub per Member State, without prejudice to paragraphs 2 and 3, shall be established.
2. For the purpose of the establishment of the network mentioned in paragraph 1, each Member State shall designate , in accordance with their national procedures, administrative and institutional structures, candidate entities through an open and competitive process, on the basis of the following criteria:
(a) |
appropriate competences related to the functions of the European Digital Innovation Hubs specified in Article 16(5) and competences in one or several areas identified in Article 3(2) ; |
(b) |
appropriate management capacity, staff and infrastructure necessary to carry out the functions identified in Art 16(5); |
(c) |
operational and legal means to apply the administrative, contractual and financial management rules laid down at Union level; |
(d) |
appropriate financial viability corresponding to the level of Union funds it will be called upon to manage and demonstrated, where appropriate, through guarantees issued preferably by a public authority. ▌ |
3. The Commission, shall adopt a decision on the selection of entities forming the initial network in accordance with the procedure referred to in Article 27a(2) taking utmost account of the opinion of each Member State before the selection of a European Digital Innovation Hub in its territory. These entities shall be selected by the Commission from candidate entities designated by Member States on the basis of the criteria mentioned in paragraph 2 and the following additional criteria:
(a) |
the budget available for the financing of the initial network; |
(b) |
the need to ensure by the initial network a coverage of the needs of industry and areas of public interest and a comprehensive and balanced geographical coverage , improving convergence between cohesion countries and the other Member States e.g. bridging the digital divide in geographical terms . |
4. Following an open and competitive process, the Commission, taking utmost account of the opinion of each Member State before the selection of a European Digital Innovation Hub in its territory, shall select, if needed, additional European Digital Innovation Hubs in accordance with the procedure referred to in Article 27a(2), in such a way to ensure a broad geographical coverage across Europe. The number of entities of the network shall meet the demand for the hub’s services in given Member States. To address the specific constraints faced by the EU outermost regions, specific entities may be nominated to cover their needs.
4a. European Digital Innovation Hubs shall have substantial overall autonomy to define their organisation, composition, and working methods.
5 . The European Digital Innovation Hubs ▌shall be involved in the implementation of the Programme by performing the following functions to the benefit of the Union industry, notably SMEs and midcaps, as well as the public sector :
(a) |
raise awareness and provide , or ensure access to, digital transformation expertise, know-how and services, including testing and experimentation facilities ▌; |
(aa) |
support companies, especially SMEs and start-ups, organisations to become more competitive and improve their business models through use of new technologies covered by the Programme; |
(b) |
facilitate the transfer of expertise and know-how between regions, in particular by networking SMEs , start-ups and midcaps established in one region with European Digital Innovation Hubs established in other regions which are best suited to provide relevant services; encourage exchanges of skills, joint initiatives and good practices; |
(c) |
provide, or ensure access to, thematic services, including in particular services related to artificial intelligence, high performance computing and cybersecurity and trust to the administrations, public sector organisations, SMEs or midcaps. European Digital Innovation Hubs may specialise in specific thematic services and do not need to provide all thematic services or provide those services to all categories of entities mentioned in this paragraph; |
(d) |
provide financial support to third parties under the specific objective 4, Advanced Digital Skills. |
6. Where a European Digital Innovation Hub receives funding under this programme, the funding shall be in the form of grants.
CHAPTER II
ELIGIBILITY
Article 17
Eligible actions
1. Only actions contributing to the achievement of the objectives referred to in Article ▌3▌ and Articles ▌4▌-▌8▌ shall be eligible for funding.
2. The eligibility criteria for the actions shall be set out in the work programmes.
Article 18
Eligible entities
▌
1. |
The following
legal
entities shall be eligible:
|
2. |
Legal entities established in a third country which is not associated to the Programme are exceptionally eligible to participate in specific actions where this is necessary for the achievement of the objectives of the Programme. Such entities shall bear the cost of their participation unless specified otherwise in the work programmes. |
3. |
Natural persons shall not be eligible, except for grants awarded under Specific Objective 4. Advanced digital skills. |
4. |
The work programme referred to in Article 23 may provide that participation is limited to beneficiaries established in Member States only, or to beneficiaries established in Member States and specified associated or other third countries for security reasons or actions directly related to EU strategic autonomy. Any limitation of the participation of legal entities established in associated countries shall be in accordance with this Regulation and with the terms and conditions of the relevant Agreement. |
▌
CHAPTER III
GRANTS
Article 19
Grants
Grants under the Programme shall be awarded and managed in accordance with Title VIII of the Financial Regulation and may cover up to 100 % of the eligible costs, without prejudice to the co-financing principle as laid down in Art. 190 of the Financial Regulation; and in accordance with the specification under each objective .
Article 20
Award criteria
1. The award criteria shall be defined in the work programmes and in the calls for proposals, taking into account at least the following elements:
(a) |
the maturity of the action in the project development; |
(b) |
the soundness of the implementation plan proposed; |
▌ |
|
(c) |
the need to overcome financial obstacles such as the lack of market finance. |
2. The following elements shall be taken into account where applicable:
(a) |
the stimulating effect of Union support on public and private investment; |
(b) |
▌the expected economic, social, climate and environmental impact; |
(c) |
▌accessibility and ease of access to respective services ; |
(d) |
▌a trans-European dimension; |
(e) |
▌a balanced geographical distribution across the Union, including bridging geographical divide and including the outermost regions; |
(f) |
▌the presence of a long-term sustainability plan; |
(g) |
the freedom for re-use and adaptation of the projects' results; |
(h) |
synergy and complementarity with other Union programmes. |
Article 20a
Evaluation
In accordance with Article 150 of the Financial Regulation, applications for grants shall be evaluated by an evaluation committee which may be fully or partially composed of external independent experts.
CHAPTER IV
BLENDING OPERATIONS AND OTHER COMBINED FUNDING
Article 21
Blending operations
Blending operations decided under this Programme shall be implemented in accordance with the InvestEU regulation and Title X of the Financial Regulation.
Article 22
Cumulative, complementary and combined funding
1. An action that has received a contribution from another Union programme , including funds under shared management, may also receive a contribution ▌under the Programme, provided that the contributions do not cover the same costs. The rules of each contributing Union programme shall apply to its respective contribution to the action. The cumulative funding shall not exceed the total eligible costs of the action and the support from the different Union programmes may be calculated on a pro-rata basis in accordance with the documents setting out the conditions for support.
2. Actions awarded a Seal of Excellence certification, or which comply with the following cumulative, comparative conditions:
(a) |
they have been assessed in a call for proposals under the Programme; |
(b) |
they comply with the minimum quality requirements of that call for proposals; |
(c) |
they may not be financed under that call for proposals due to budgetary constraints. |
may receive support from the European Regional Development Fund, the Cohesion Fund, the European Social Fund+ or the European Agricultural Fund for Rural Development, in accordance with paragraph 5 of Article [67] of Regulation (EU) XX [Common Provisions Regulation] and Article [8] or Regulation (EU) XX [Financing, management and monitoring of the Common Agricultural Policy], provided that such actions are consistent with the objectives of the programme concerned. The rules of the Fund providing support shall apply.
2a. Where an action has already been awarded or has received contributions from another Union programme or support from an EU fund, that contribution or support shall be listed in the application for a contribution under the Programme.
CHAPTER V
PROGRAMMING, MONITORING, EVALUATION AND CONTROL
Article 23
Work programmes
1 . The Programme shall be implemented by work programmes referred to in Article 110 of Financial Regulation.
2. Those work programmes shall be adopted as multiannual programmes for the entire Programme. If justified by specific implementation needs, they may also be adopted as annual programmes which cover one or more Specific Objectives.
3. The ▌work programmes shall focus on the activities set out in the Annex I and ensure that the actions thereby supported do not crowd out private financing.
3a. The Commission shall be empowered to adopt delegated acts in accordance with Article 27 to amend Annex I to review or complement the activities set out therein in a manner consistent with the objectives of this Regulation as set out in articles ▌ 4 — 8▌.
4. Work programmes shall set out, where applicable, the overall amount reserved for blending operations.
Article 24
Monitoring and reporting
1. Measurable indicators to monitor the implementation and progress of the Programme in achieving the general and specific objectives set out in Article 3 are set in the Annex II.
1a. The Commission shall define a methodology to provide for indicators for an accurate assessment of the progress towards achieving the general objectives set out in Article 3(1).
2. To ensure effective assessment of progress of the Programme towards the achievement of its objectives, the Commission is empowered to adopt delegated acts in accordance with Article 27 to amend Annex II to review or complement the measurable indicators where considered necessary and to supplement this Regulation with provisions on the establishment of a monitoring and evaluation framework.
3. The performance reporting system shall ensure that data for monitoring programme implementation ▌ are collected efficiently, effectively, and in a timely manner so that the results are suitable for an in-depth analysis of the progress achieved and the difficulties encountered . To that end, proportionate reporting requirements shall be imposed on recipients of Union funds and Member States.
4. Official EU statistics such as regular ICT statistical surveys shall be used to their maximum as context indicators . National Statistical Institutes shall be consulted on, and involved together with Eurostat, in the initial design and subsequent development of statistical indicators used for monitoring the implementation of the programme and the progress made with regard to digital transformation.
Article 25
Programme evaluation
1. Evaluations shall be carried out in a timely manner to feed into the decision-making process. They shall contain a qualitative assessment of the progress towards achieving the general objectives of the programme.
2. In addition to regularly monitoring the Programme, the Commission shall conduct an interim evaluation of the Programme which shall be performed once there is sufficient information available about the implementation of the Programme, but no later than four years after the start of the implementation of the Programme. The interim evaluation shall form the basis to adjust programme implementation, as appropriate, also taking into account new relevant technological developments.
The interim evaluation shall be submitted to the European Parliament, the Council, the European Economic and Social Committee and the Committee of the Regions
3. At the end of the implementation of the Programme, but no later than four years after the end of the period specified in Article ▌1▌, a final evaluation of the Programme shall be carried out by the Commission.
The final evaluation shall assess longer-term impacts of the Programme and its sustainability.
4. The evaluation reporting system shall ensure that data for programme evaluation are collected efficiently, effectively, in a timely manner and at the appropriate level of granularity by recipients of Union funds;
4a. The Commission shall submit the final evaluation report referred to in paragraph 3 to the European Parliament, the Council, the European Economic and Social Committee and the Committee of the Regions.
▌
Article 26
Audits
1. Audits on the use of the Union contribution carried out by persons or entities, including by others than those mandated by the Union Institutions or bodies, shall form the basis of the overall assurance pursuant to Article 127 of the Financial Regulation.
2. The control system shall ensure an appropriate balance between trust and control, taking into account administrative costs and other costs of controls at all levels.
3. Audits of expenditure shall be carried out in a consistent manner in accordance with the principles of economy, efficiency and effectiveness.
4. As part of the control system, the audit strategy may be based on the financial audit of a representative sample of expenditure. That representative sample shall be complemented by a selection based on an assessment of the risks related to expenditure.
5. Actions that receive cumulative funding from different Union programmes shall be audited only once, covering all involved programmes and their respective applicable rules.
Article 27
Exercise of the delegation
1. The power to adopt delegated acts is conferred on the Commission subject to the conditions laid down in this Article.
2. The power to adopt delegated acts referred to in Articles 23 and 24 shall be conferred on the Commission until 31 December 2028.
3. The delegation of power referred to in Articles 23 and 24 may be revoked at any time by the European Parliament or by the Council. A decision to revoke shall put an end to the delegation of power specified in that decision. It shall take effect the day following the publication of the decision in the Official Journal of the European Union or at a later date specified therein. It shall not affect the validity of any delegated acts already in force.
4. Before adopting a delegated act, the Commission shall consult experts designated by each Member State in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016.
5. As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the European Parliament and to the Council.
6. A delegated act adopted pursuant to Articles 23 and 24 shall enter into force if no objection has been expressed either by the European Parliament or by the Council within a period of two months of notification of that act to the European Parliament and the Council or if, before the expiry of that period, the European Parliament and the Council have both informed the Commission that they will not object. That period shall be extended by two months at the initiative of the European Parliament or of the Council.
Article 27a
Committee procedure
1. The Commission shall be assisted by the Digital Europe Programme Coordination Committee. That committee shall be a committee within the meaning of Regulation (EU) No 182/2011.
2. Where reference is made to this paragraph, Article 5 of Regulation (EU) No 182/2011 shall apply.
Article 28
Protection of the financial interests of the Union
Where a third country participates in the programme by a decision under an international agreement or by virtue of any other legal instrument, the third country shall grant the necessary rights and access required for the authorizing officer responsible, the European Anti-Fraud Office (OLAF), the European Court of Auditors to comprehensively exert their respective competences. In the case of OLAF, such rights shall include the right to carry out investigations, including on-the-spot checks and inspections, provided for in Regulation (EU, Euratom) No 883/2013 of the European Parliament and of the Council concerning investigations conducted by the European Anti-Fraud Office (OLAF).
CHAPTER VI
TRANSITIONAL AND FINAL PROVISIONS
Article 29
Information, communication, publicity, policy support and dissemination
1. The recipients of Union funding shall acknowledge the origin and ensure the visibility of the Union funding (in particular when promoting the actions and their results) by providing coherent, effective and proportionate targeted information to multiple audiences, including the media and the public.
2. The Commission shall implement information and communication actions relating to the Programme, and its actions and results. It shall also ensure integrated information and reach to potential applicants to Union funding in the digital sector . Financial resources allocated to the Programme shall also contribute to the corporate communication of the political priorities of the Union, as far as they are related to the objectives referred to in Article ▌3▌.
3. The Programme shall provide support to policy development, outreach, awareness-raising and the dissemination of activities and promote cooperation and the exchange of experience in the areas mentioned in Articles 4 to 8.
Article 30
Repeal
▌Decision (EU) 2015/2240 of the European Parliament and of the Council of 25 November 2015 establishing a programme on interoperability solutions and common frameworks for European public administrations, businesses and citizens (ISA2 Programme) as a means for modernising the public sector is repealed with effect from 1 January 2021.
Article 31
Transitional provisions
1. This Regulation shall not affect the continuation or modification of the actions concerned, until their closure, under Regulation (EU) No 283/2014 of the European Parliament and of the Council (39) and under Decision (EU) 2015/2240 (40), which shall continue to apply to the actions concerned until their closure.
2. The financial envelope for the Programme may also cover technical and administrative assistance expenses necessary to ensure the transition between the Programme and the measures adopted under Regulation (EU) No 283/2014 and under Decision (EU) 2015/2240.
3. Where necessary, appropriations may be entered in the budget beyond 2027 to cover the expenses referred to in Article 9(4) in order to enable the management of actions not completed by 31 December 2027.
Article 32
Entry into force
▌This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at …,
For the European Parliament
The President
For the Council
The President
(1) OJ C 62, 15.2.2019, p. 292.
(2) OJ C 86, 7.3.2019, p. 272.
(3) Position of the European Parliament of 17 April 2019. The underlined text has not been agreed in the framework of interinstitutional negotiations.
(4) Reference to be updated: OJ C 373, 20.12.2013, p. 1. The agreement is available at: http://eur-lex.europa.eu/legal-content/EN/TXT/?uri=uriserv:OJ.C_.2013.373.01.0001.01.ENG&toc=OJ:C:2013:373:TOC
(5) Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council of 18 July 2018 on the financial rules applicable to the general budget of the Union, amending Regulations (EU) No 1296/2013, (EU) No 1301/2013, (EU) No 1303/2013, (EU) No 1304/2013, (EU) No 1309/2013, (EU) No 1316/2013, (EU) No 223/2014, (EU) No 283/2014, and Decision No 541/2014/EU and repealing Regulation (EU, Euratom) No 966/2012 (OJ L 193, 30.7.2018, p. 1)
(6) OJ L 248, 18.9.2013, p. 1. The regulation is available at: http://eur-lex.europa.eu/legal-content/EN/TXT/HTML/?uri=CELEX:32013R0883&rid=1
(7) OJ L 312, 23.12.1995, p. 1. The regulation is available at http://eur-lex.europa.eu/legal-content/EN/TXT/HTML/?uri=CELEX:31995R2988&rid=1
(8) OJ L 292, 15.11.1996, p. 2. The regulation is available at http://eur-lex.europa.eu/legal-content/EN/TXT/HTML/?uri=CELEX:31996R2185&rid=1
(9) OJ L 283, 31.10.2017, p. 1. The regulation is available at http://eur-lex.europa.eu/legal-content/EN/TXT/HTML/?uri=CELEX:32017R1939&rid=1
(10) Directive (EU) 2017/1371 of the European Parliament and of the Council of 5 July 2017 on the fight against fraud to the Union's financial interests by means of criminal law (OJ L 198, 28.7.2017, p. 29).
(11) Council Decision / /EU.
(12) Interinstitutional Agreement between the European Parliament, the Council of the European Union and the European Commission on Better Law-Making of 13 April 2016; OJ L 123, 12.5.2016, p. 1.
(13) Regulation (EU) 2016/679 of the European Parliament and of the Council of 27 April 2016 on the protection of natural persons with regard to the processing of personal data and on the free movement of such data, and repealing Directive 95/46/EC (General Data Protection Regulation) (OJ L 119, 4.5.2016, p. 1).
(14) https://www.eu2017.ee/news/insights/conclusions-after-tallinn-digital-summit
(15) https://www.consilium.europa.eu/media/21620/19-euco-final-conclusions-en.pdf
(16) COM(2018)0098 final.
(17) COM(2018)0125 final.
(18) As indicated in the Communication on Digitising European Industry (COM(2016)0180 final)
(19)(20)
(21)
(22) Impact Assessment accompanying the document ‘Proposal for a Council Regulation on establishing the EuroHPC Joint Undertaking’ (https://ec.europa.eu/digital-single-market/en/news/proposal-council-regulation-establishing-eurohpc-joint-undertaking-impact-assessment).
(23) Document ref. A8-0183/2017, available at: http://www.europarl.europa.eu/sides/getDoc.do?type=TA&language=EN&reference=P8-TA-2017-0240
(24) https://ec.europa.eu/digital-single-market/en/policies/cybersecurity
(25) Within this package, the Digital Education Action Plan (COM(2018)0022) sets out a series of measure to support Member States in the development of digital skills and competences in formal education.
(26) Document ref. A8-0183/2017, available at: http://www.europarl.europa.eu/sides/getDoc.do?type=TA&language=EN&reference=P8-TA-2017-0240
(27) http://ec.europa.eu/newsroom/dae/document.cfm?doc_id=51628
(28) COM(2016)0725 final.
(29)(30)
(31) COM(2016)0180 final: Digitising European Industry — Reaping the full benefits of a digital single market.
(32) COM(2018)0321 final, page 1.
(33) Regulation establishing the European High Performance Computing Joint Undertaking. 10594/18. Brussels, 18 September 2018 (OR. en). http://data.consilium.europa.eu/doc/document/ST-10594-2018-INIT/en/pdf
(34) Regulation… of the European Parliament and of the Council establishing the European Cybersecurity Industrial, Technology and Research Competence Centre and the Network of National Coordination Centres.
(35) Commission Decision (EU, Euratom) 2015/444 of 13 March 2015 on the security rules for protecting EU classified information (OJ L 72, 17.3.2015, p. 53).
(36) Directive 2014/24/EU of the European Parliament and of the Council of 26 February 2014 on public procurement and repealing Directive 2004/18/EC Text with EEA relevance
(37) Directive 2014/25/EU of the European Parliament and of the Council of 26 February 2014 on procurement by entities operating in the water, energy, transport and postal services sectors and repealing Directive 2004/17/EC Text with EEA relevance
(38) Directive 2009/81/EC of the European Parliament and of the Council of 13 July 2009 on the coordination of procedures for the award of certain works contracts, supply contracts and service contracts by contracting authorities or entities in the fields of defence and security, and amending Directives 2004/17/EC and 2004/18/EC (Text with EEA relevance)
(39) Regulation (EU) No 283/2014 of the European Parliament and of the Council of 11 March 2014 on guidelines for trans-European networks in the area of telecommunications infrastructure and repealing Decision No 1336/97/EC (OJ L 86, 21.3.2014, p. 14).
(40) Decision (EU) 2015/2240 of the European Parliament and of the Council of 25 November 2015 establishing a programme on interoperability solutions and common frameworks for European public administrations, businesses and citizens (ISA2 programme) as a means for modernising the public sector.
ANNEX 1
ACTIVITIES
Technical description of the programme: initial scope of activities
The initial activities of the Programme shall be implemented in accordance with the following technical description:
Specific Objective 1. High Performance Computing
The Programme shall implement the European strategy on HPC by supporting a full EU ecosystem that provides the necessary HPC and data capabilities for Europe to compete globally. The strategy aims to deploy a world-class HPC and data infrastructure with exascale capabilities by 2022/2023, and post exascale facilities by 2026/27, endowing the Union with its own independent and competitive HPC technology supply, achieving excellence in HPC applications and widening HPC availability and use.
Initial activities shall include:
1. |
A joint procurement framework enabling a co-design approach for the acquisition of for an integrated network of world-class HPC including exascale (executing ten to the power of eighteen operations per second) supercomputing and data infrastructure. It will be easily accessible ▌to public and private users notably SMEs, irrespective of which Member State they are located in, and ▌for research purposes, in accordance with the {Regulation establishing the European High Performance Computing Joint Undertaking} . |
2. |
A joint procurement framework of a post-exascale (executing ten to the power of twenty-one operations per second) supercomputing infrastructure, including the integration with quantum computing technologies. |
3. |
EU-level coordination and adequate financial resources to support the development, procurement and operation of such infrastructure. |
4. |
Networking of Member State HPC and data capacities and support for Member States wishing to upgrade or acquire new HPC capacities. |
5. |
Networking of HPC Competence Centres, at least one per Member State and associated with their national supercomputing centres to provide HPC services to industry (in particular SMEs), academia and public administrations. |
6. |
The deployment of ready to use/operational technology: supercomputing as a service resulting from R&I to build an integrated European HPC ecosystem, covering all scientific and industrial value chain segments (hardware, software, applications, services, interconnections and advanced digital skills). |
Specific Objective 2. Artificial Intelligence
The Programme shall build up and strengthen core Artificial Intelligence capacities in Europe including data resources and repositories of algorithms and making them accessible by all businesses and public administrations as well as reinforcement and networking of existing and newly established AI testing and experimentation facilities in Member States.
Initial activities shall include:
1. |
Creation of Common European Data spaces that aggregate public information across Europe , including from the re-use of Public Sector Information, and become a data input source for AI solutions. The spaces would ▌be open to public and private sector. For increased usage, data within a space should be made interoperable, notably through data formats that would be open, machine readable, standardized and documented, both in the interactions between public and private sectors, within sectors and across sectors (semantic interoperability). |
2. |
Development of common European libraries or interfaces to libraries of algorithms that would be easily accessible to all based on fair, reasonable and non-discriminatory terms . Companies and public sector would be able to identify and acquire whichever solution would work best for their needs. |
3. |
Co-investment with Member States in world class reference sites for experimentation and testing in real setting focusing on the applications of AI in essential sectors such as health, earth/environment monitoring, transport and mobility, security, manufacturing or finance, as well as in other areas of public interest. The sites should be open to all actors across Europe and connected to the Network of Digital Innovation Hubs. They should be equipped with or connected to large computing and data handling facilities as well as latest AI technologies including emerging areas inter alia neuromorphic computing, deep learning and robotics. |
Specific Objective 3. Cybersecurity and trust
The Programme shall stimulate the reinforcement, building and acquisition of essential capacities to secure the EU's digital economy, society and democracy by reinforcing the EU's cybersecurity industrial potential and competitiveness, as well as improving capabilities of both private and public sectors to protect European citizens and businesses from cyber threats, including supporting the implementation of the Network and Information Security Directive.
Initial activities, under this objective, shall include:
1. |
Co-investment with Member States in advanced cybersecurity equipment, infrastructures and know-how that are essential to protect critical infrastructures and the DSM at large. This could include investments in quantum facilities and data resources for cybersecurity, situational awareness in cyberspace as well as other tools to be made available to public and private sector across Europe. |
2. |
Scaling up existing technological capacities and networking the competence centres in Member States and making sure that these capacities respond to public sector needs and industry, including in products and services that reinforce cybersecurity and trust within the DSM. |
3. |
Ensuring wide deployment of effective state of the art cybersecurity and trust solutions across the Member States. This includes strengthening security and safety of products , from their design to their commercialisation . |
4. |
Support to close the cybersecurity skills gap by e.g. aligning cybersecurity skills programmes, adapting them to specific sectorial needs and facilitating access to targeted specialised training courses. |
Specific Objective 4. Advanced Digital skills
The Programme shall support training opportunities on advanced digital skills, notably in HPC, big data analytics, AI, distributed ledgers (e.g. blockchain) and cybersecurity for the current and future work force by offering inter alia students, recent graduates or citizens of all ages in need of upskilling, and current workers, wherever they are situated, with the means to acquire and develop these skills.
Initial activities shall include:
1. |
Access to on the job training by taking part in traineeships in competence centres and companies and other organisations deploying advanced digital technologies. |
2. |
Access to courses in advanced digital technologies which will be offered by higher education institutions, research institutions and industry professional certification bodies in cooperation with the bodies involved in the Programme (topics are expected to include AI, cybersecurity, distributed ledgers (e.g. blockchain), HPC and quantum technologies). |
3. |
Participation in short-term, specialised professional training courses that have been pre-certified, for example in the area of cybersecurity. |
Interventions shall focus on advanced digital skills related to specific technologies.
The European Digital Innovation Hubs, as defined in Article 16, shall act as facilitators for training opportunities, liaising with education and training providers .
Specific Objective 5. Deployment, best use of digital capacities and Interoperability
I. Initial activities related to the digital transformation of areas of public interest shall include:
Projects serving the deployment, the best use of digital capacities or interoperability shall constitute projects of common interest.
1. Modernisation of public administrations:
1.1. |
Support Member States in the implementation of the Principles of the Tallinn Declaration on e-Government in all policy domains, creating where necessary, the registries needed and interconnecting them in full respect of the General Data Protection Regulation. |
1.2. |
Support the design, piloting, deployment, maintenance , evolution and promotion of a coherent eco-system of cross-border digital services infrastructure and facilitate seamless end-to-end, secure, interoperable, multi-lingual, interoperable cross-border or cross-sector solutions and common frameworks within public administration. Methodologies for assessing the impact and benefits shall also be included. |
1.3. |
Support the assessment, updating and promotion of existing common specifications and standards as well as the development, establishment and promotion of new common specifications, open specifications and standards through the Union's standardisation platforms and in cooperation with European or international standardisation organisations as appropriate. |
1.4. |
Cooperate towards a European ecosystem for trusted infrastructures possibly using distributed ledgers (e.g. blockchain) services and applications, including support for interoperability and standardisation and fostering the deployment of EU cross-border applications. |
2. Health (1)
2.1. |
Ensure that EU citizens have control over their personal data and can access, share, use, and manage their personal health data ▌across borders securely and in a way that guarantees their privacy irrespective of their location or the location of the data , in accordance with applicable data protection legislation . Complete the eHealth Digital Service Infrastructure and extend it by new digital services , related to disease prevention, health and care, support their deployment , building on a broad support by EU activities and Member States, in particular in the eHealth Network according to Article 14 of Directive 2011/24/EU . |
2.2. |
Make available better data for research, disease prevention and personalised health and care. Ensure that European health researchers and clinical practitioners have access to necessary scale of resources (shared data spaces, including data storage and computing, expertise and analytical capacities) to achieve breakthroughs in major as well as in rare diseases. The target is to ensure a population-based cohort of at least 10 million citizens. ▌ |
2.3. |
Make digital tools available for citizen empowerment and for person-centred care by supporting the exchange of innovative and best practices in digital health, capacity building and technical assistance, in particular for cybersecurity, AI and HPC. |
3. |
Judiciary: Enable seamless and secure cross-border electronic communication within the judiciary and between the judiciary and other competent bodies in the area of civil and criminal justice. Improve access to justice and juridical information and procedures to citizens, businesses, legal practitioners and members of the judiciary with semantically interoperable interconnections to ▌ databases and registers as well as facilitating the out-of-court dispute resolution online. Promote the development and implementation of innovative technologies for courts and the legal profession based inter alia on artificial intelligence solutions which are likely to streamline and speed-up procedures (for example ‘legal tech’ applications). |
4. |
Transport, mobility, energy and environment: Deploy decentralised solutions and infrastructures required for large-scale digital applications such as connected automated driving, Unmanned Aerial Vehicles, smart mobility concepts, smart cities, smart rural areas or outermost regions in support of transport, energy and environmental policies , in coordination with the actions for digitalizing the transport and energy sectors under Connecting Europe Facility . |
5. |
Education, culture and media : Provide creators, creative industry and cultural sectors in Europe with access to latest digital technologies from AI to advanced computing. Exploit the European cultural heritage , including Europeana, to support education and research and to promote cultural diversity, social cohesion and European society . Support the uptake of digital technologies in education as well as private and publicly funded cultural institutions . |
▌ |
6. |
Other activities supporting the Digital Single Market , for example fostering digital and media literacy and raising awareness ▌among minors, parents and teachers regarding risks minors may encounter online and ways to protect them, tackling cyberbullying and the dissemination of child sexual abuse material online by supporting a pan-European network of Safer Internet Centres ; promoting measures aimed at detecting and combatting intentional disinformation spread , thereby increasing the Union's overall resilience ; supporting an EU observatory for the digital platform economy as well as studies and outreach activities. |
Activities referred to in points 1 to 6 may be partly supported by European Digital Innovation Hubs through the same capacities developed to assist the industry with their digital transformation (see point II).
II. Initial activities related to the digitisation of industry:
1. |
Contribution to the upscaling of the ▌network of
European
Digital Innovation Hubs to ensure access to digital capacities to any business, notably SMEs in any region across the EU. This includes notably:
|
2. |
Activities will be coordinated with, and will complement the innovation actions in digital technologies supported notably under the Horizon Europe Programme as well as investments in European Digital Innovation Hubs supported under the European Regional and Development Funds. Grants for market replication may also be provided from the Digital Europe Programme in line with state aid rules. Support for access to finance further steps in their digital transformation will be achieved with financial instruments making use of the InvestEU scheme. |
(1) COM(2018)0233 final, on enabling the digital transformation of health and care in the Digital Single Market; empowering citizens and building a healthier society
ANNEX 2
Performance indicators
Specific Objective 1 — High-performance computing
1.1 |
Number of HPC infrastructures jointly procured |
1.2 |
Usage of the exascale and post-exascale computers in total and by various stakeholder groups (universities, SMEs etc.) |
Specific Objective 2 — Artificial intelligence
2.1 |
Total amount co-invested in sites for experimentation and testing |
2.2 |
Usage of common European libraries or interfaces to libraries of algorithms, usage of Common European Data Spaces and usage of sites for experimentation and testing related to activities under this regulation |
2.2a |
Number of cases for which organisations decide to integrate artificial intelligence in their product, processes or services, as a result of the Programme |
Specific Objective 3 — Cybersecurity & Trust
3.1 |
Number of cybersecurity infrastructure and/or tools jointly procured. |
3.2 |
Number of users and user communities getting access to European cybersecurity facilities |
Specific Objective 4 — Advanced digital skills
4.1 |
Number of persons who have received training to acquire advanced digital skills supported by the Programme |
4.2 |
Number of enterprises , in particular SMEs, having difficulty recruiting ICT specialists |
4.2b |
Number of people reporting improved employment situation after the end of the training supported by the Programme |
Specific Objective 5 — Deployment, best use of digital capacity and interoperability
5.1 |
Take-up of digital public services |
5.2 |
Enterprises with high digital intensity score |
5.3 |
Extent of alignment of the National Interoperability Framework with the European Interoperability Framework |
5.4 |
Number of businesses and public sector entities which have used the European Digital Innovation Hubs’ services |
ANNEX 3
Synergies with other Union programmes
1 . |
Synergies with Horizon Europe shall ensure that:
|
2 . |
Synergies with Union programmes under shared management, including the European Regional Development Fund (ERDF), the European Social Fund Plus (ESF+), the European Agricultural Fund for Rural Development (EAFRD) and European Maritime and Fisheries Fund (EMFF), shall ensure that:
|
3 . |
Synergies with the Connecting Europe Facility (CEF) shall ensure that:
|
4 . |
Synergies with InvestEU shall ensure that:
|
5. |
Synergies with Erasmus
+
shall ensure that:
|
5a. |
Synergies with Creative Europe shall ensure that:
|
6. |
Synergies with other EU Programmes and Initiatives on Competences/Skills shall be ensured. |
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/459 |
P8_TA(2019)0404
Fiscalis programme for cooperation in the field of taxation ***I
European Parliament legislative resolution of 17 April 2019 on the proposal for a regulation of the European Parliament and of the Council establishing the ‘Fiscalis’ programme for cooperation in the field of taxation (COM(2018)0443 — C8-0260/2018 — 2018/0233(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/51)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2018)0443), |
— |
having regard to Article 294(2) and Articles 114 and 197 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0260/2018), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
having regard to the opinion of the European Economic and Social Committee of 17 October 2018 (1), |
— |
having regard to the letter from its President to the committee chairs of 25 January 2019 outlining the Parliament's approach to the Multiannual Financial Framework (MFF) post-2020 sectorial programmes, |
— |
having regard to the letter from the Council to the President of the European Parliament of 1 April 2019 confirming the common understanding reached between the co-legislators during negotiations, |
— |
having regard to Rule 59 of its Rules of Procedure, |
— |
having regard to the report of the Committee on Economic and Monetary Affairs and the opinion of the Committee on Budgets (A8-0421/2018), |
1. |
Adopts its position at first reading hereinafter set out (2); |
2. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
3. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
(1) OJ C 62, 15.2.2019, p. 118.
(2) This position replaces the amendments adopted on 17 January 2019 (Texts adopted, P8_TA(2019)0039).
P8_TC1-COD(2018)0233
Position of the European Parliament adopted at first reading on 17 April 2019 with a view to the adoption of Regulation (EU) …/… of the European Parliament and of the Council establishing the ‘Fiscalis’ programme for cooperation in the field of taxation
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on the Functioning of the European Union, and in particular Articles 114 and 197 thereof,
Having regard to the proposal from the European Commission,
After transmission of the draft legislative act to the national parliaments,
Having regard to the opinion of the European Economic and Social Committee (1),
Acting in accordance with the ordinary legislative procedure (2),
Whereas:
(1) |
The Fiscalis 2020 programme, which was established by Regulation (EU) No 1286/2013 of the European Parliament and of the Council (3) and is implemented by the Commission in cooperation with the Member States and associated countries, and its predecessors have significantly contributed to facilitating and enhancing cooperation between tax authorities within the Union. The added value of those programmes, including as regards the protection of the financial and economic interests of Member States of the Union and of taxpayers, has been recognised by the tax authorities of the participating countries. The challenges identified for the next decade cannot be tackled if Member States do not look beyond the borders of their administrative territories and cooperate intensively with their counterparts. |
(2) |
The Fiscalis 2020 programme offers Member States a Union framework within which to develop those cooperation activities, and which is more cost-effective than if each Member State were to set up individual cooperation frameworks on a bilateral or multilateral basis. It is therefore appropriate to ensure the continuation of that programme by establishing a new programme in the same area, the Fiscalis programme (the ‘Programme’). |
(3) |
In providing a framework for actions which supports the single market, fosters Union competitiveness and protects the financial and economic interests of the Union and its Member States, the Programme should contribute to : supporting tax policy and the implementation of Union law relating to the field of taxation; preventing and fighting tax fraud, tax evasion , aggressive tax planning and double non-taxation ; preventing and reducing unnecessary administrative burden for citizens and businesses in cross-border transactions; supporting fairer and more efficient tax systems; achieving the full potential of the single market and fostering fair competition in the Union; ▌supporting a joint Union approach in international fora and supporting administrative capacity building of tax authorities, including by modernisation of reporting and auditing techniques; as well as supporting training their staff in this regard . |
(4) |
This Regulation lays down a financial envelope for the Programme, which is to constitute the prime reference amount, within the meaning of point 17 of the Interinstitutional Agreement of 2 December 2013 between the European Parliament, the Council and the Commission on budgetary discipline, on cooperation in budgetary matters and on sound financial management (4), for the European Parliament and the Council during the annual budgetary procedure. |
(5) |
In order to support the process of accession and association by third countries, the Programme should be open to the participation of acceding and candidate countries as well as potential candidates and partner countries of the European Neighbourhood Policy if certain conditions are fulfilled. It may also be open to other third countries, in accordance with the conditions laid down in specific agreements between the Union and those countries covering their participation in any Union programme. |
(6) |
Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council (5) (the ‘Financial Regulation’) applies to this Programme. It lays down rules on the implementation of the Union budget, including the rules on grants, prizes, procurement and reimbursements of external experts. |
(7) |
The actions which applied under the Fiscalis 2020 programme have proven to be adequate and should therefore be maintained. In order to provide more simplicity and flexibility in the execution of the Programme and thereby better deliver on its objectives, the actions should be defined only in terms of overall categories with a list of illustrative examples of concrete activities , such as meetings and similar ad-hoc events, including, where appropriate, presence in administrative offices and participation in administrative enquiries, project-based structured collaboration including, where appropriate, joint audits, and IT capacity building, including, where appropriate, the access by tax authorities to interconnected registers. Where appropriate, actions should also aim at addressing priority topics in order to fulfil the objectives of the Programme . Through cooperation and capacity building, the Fiscalis programme should also promote and support the uptake and leverage of innovation to further improve the capabilities to deliver on the core priorities of taxation. |
(8) |
Given the increasing mobility of taxpayers, the number of cross-border transactions and the internationalisation of financial instruments and the resulting increased risk of tax fraud, tax evasion and aggressive tax planning , which go well beyond the Union borders, adaptations of or extensions of European electronic systems to third countries not associated to the Programme and international organisations could have an interest for the Union or the Member States. In particular, they would avoid the administrative burden and the costs implied by developing and operating two similar electronic systems for, respectively, Union and international exchanges of information. Therefore, when duly justified by such an interest, adaptations of or extensions to European electronic systems for cooperation with third countries and international organisations should be eligible costs under the Programme. |
(9) |
Considering the importance of globalisation and the importance of combating tax fraud, tax evasion and aggressive tax planning , the Programme should continue to provide the possibility of involving external experts within the meaning of Article 238 of the Financial Regulation. Those external experts should mainly be representatives of governmental authorities, including from non-associated third countries, including least developed countries, as well as representatives of international organisations, economic operators, taxpayers and civil society. Least developed country should be understood to mean a non-EU country or territory eligible to receive official development assistance in accordance with the relevant list made publicly available by the Development Assistance Committee of the Organisation for Economic Cooperation and Development and based on the United Nations' definition. The selection of experts in expert groups should be based on the Commission decision of 30.5.2016 establishing horizontal rules on the creation and operation of Commission expert groups. As regards experts appointed in their personal capacity for acting independently in the public interest it should be ensured that they are impartial, that there is no possible conflict of interests with their professional role and that information about their selection and participation is publicly available. |
(10) |
In line with the Commission's commitment to ensure the coherence and simplification of funding programmes, set out in its Communication of 19 October 2010 entitled ‘The EU Budget Review’ (6), resources should be shared with other Union funding instruments if the envisaged actions under the Programme pursue objectives that are common to various funding instruments, excluding however double financing. Actions under the Programme should ensure coherence in the use of the Union's resources supporting tax policy and tax authorities. |
(10a) |
For the sake of cost-effectiveness, the Fiscalis Programme should exploit possible synergies with other Union measures in related fields, such as the Customs Programme, the EU Anti-Fraud Programme, the Single Market Programme and the Reform Support Programme. |
(11) |
Information Technology (IT) capacity building actions are set to attract the greatest part of the budget under the Programme. Therefore, specific provisions should describe, respectively, the common and national components of the European electronic systems. Moreover, the scope of actions and the responsibilities of the Commission and the Member States should be clearly defined. To the extent possible, there should be interoperability between the common and national components of the European electronic systems and synergies with other electronic systems of relevant Union programmes. |
(12) |
Currently, there is no requirement to draw up a Multi-Annual Strategic Plan for Taxation (‘MASP-T’) for creating a coherent and interoperable electronic environment for taxation in the Union. In order to ensure coherence and coordination of IT capacity building actions, the Programme should provide for the creation of such a MASP-T , a planning tool, which should be compliant with and should not exceed the obligations stemming from the relevant legally binding Union acts . |
(13) |
This Regulation should be implemented by means of work programmes. In view of the mid to long-term nature of the objectives pursued and building on experience gained over time, work programmes should be able to cover several years. The shift from annual to multiannual work programmes , each covering no more than 3 years, will reduce the administrative burden for both the Commission and Member States. |
(14) |
In order to supplement this Regulation, the power to adopt acts in accordance with Article 290 of the Treaty on the Functioning of the European Union (TFEU) should be delegated to the Commission in respect of the adoption of work programmes . |
(15) |
Pursuant to paragraph 22 and 23 of the Interinstitutional agreement on Better Law-Making of 13 April 2016 (7), there is a need to evaluate this programme on the basis of information collected through specific monitoring requirements, while avoiding overregulation and administrative burdens, in particular on Member States. These requirements, where appropriate, can include measurable indicators, as a basis for evaluating the effects of the Instrument on the ground. The interim and final evaluations, which should be performed no later than four years after the start of the implementation or completion of the Programme respectively, should contribute to the decision-making process of the next Multiannual Financial Frameworks. The interim and final evaluations should also address the remaining obstacles to the achievement of the Programme's objectives and make suggestions for best practices. In addition to the interim and final evaluations, as part of the performance reporting system, annual progress reports should be issued to monitor the progress made. Those reports should include a summary of the lessons learnt and, where appropriate, of the obstacles encountered, in the context of the activities of the programme that have taken place in the year in question. |
(15a) |
The Commission should organise regular seminars of tax administrations with representatives of beneficiary Member States to discuss issues and suggest potential improvements related to the objectives of the Programme, including the exchange of information between tax administrations. |
(16) |
In order to respond appropriately to changes in tax policy priorities, the power to adopt acts in accordance with Article 290 TFEU should be delegated to the Commission in respect of amending the list of indicators to measure the achievement of the specific objectives of the Programme. It is of particular importance that the Commission carries out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. |
(17) |
In accordance with Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council ( the ‘Financial Regulation’), Regulation (EU, Euratom) No 883/2013 of the European Parliament and of the Council (8), and Council Regulation (Euratom, EC) No 2988/95 (9), Council Regulation (Euratom, EC) No 2185/96 (10) and Council Regulation (EU) 2017/1939 (11), the financial interests of the Union are to be protected through proportionate measures, including the prevention, detection, correction and investigation of irregularities, including fraud, the recovery of funds lost, wrongly paid or incorrectly used and, where appropriate, the imposition of administrative sanctions. In particular, in accordance with Regulation (EU, Euratom) No 883/2013 and Regulation (Euratom, EC) No 2185/96, the European Anti-Fraud Office (OLAF) may carry out administrative investigations, including on-the-spot checks and inspections, with a view to establishing whether there has been fraud, corruption or any other illegal activity affecting the financial interests of the Union. In accordance with Regulation (EU) 2017/1939, the European Public Prosecutor's Office ( ‘the EPPO’) may investigate and prosecute fraud and other criminal offences against the Union’s financial interests ▌as provided for in Directive (EU) 2017/1371 of the European Parliament and of the Council (12). In accordance with the Financial Regulation, any person or entity receiving Union funds is to fully cooperate in the protection of the Union’s financial interests, to grant the necessary rights and access to the Commission, OLAF, the EPPO in respect of those Member State participating in enhanced cooperation pursuant to Regulation (EU) 2017/1939, and the European Court of Auditors (ECA) and to ensure that any third parties involved in the implementation of Union funds grant equivalent rights. |
(17a) |
Third countries which are members of the EEA may participate in Union programmes in the framework of the cooperation established under the EEA agreement, which provides for the implementation of the programmes by a decision under that agreement. Third countries may also participate on the basis of other legal instruments. A specific provision should be introduced in this Regulation to grant the necessary rights for and access to the authorizing officer responsible, OLAF, as well as the European Court of Auditors to comprehensively exert their respective competences. |
(18) |
Horizontal financial rules adopted by the European Parliament and the Council on the basis of Article 322 TFEU apply to this Regulation. These rules are laid down in the Financial Regulation and determine in particular the procedure for establishing and implementing the budget through grants, procurement, prizes, indirect implementation, and provide for checks on the responsibility of financial actors. Rules adopted on the basis of Article 322 TFEU also concern the protection of the Union's budget in case of generalised deficiencies as regards the rule of law in the Member States, as the respect for the rule of law is an essential precondition for sound financial management and effective EU funding. |
(19) |
The types of financing and the methods of implementation under this Regulation should be chosen on the basis of their ability to achieve the specific objectives of the actions and to deliver results, taking into account, in particular, the costs of controls, the administrative burden, and the expected risk of non-compliance. This should include consideration of the use of lump sums, flat rates and unit costs, as well as financing not linked to costs as referred to in Article 125(1) of the Financial Regulation. The eligible costs will be determined in function of the nature of the eligible actions. The coverage of travel, accommodation and subsistence costs for participants to meeting-type activities or cost linked to the organisation of events should be of utmost importance, so that the participation of national experts and the administration in joint actions is ensured. |
(20) |
Since the objective of this Regulation cannot be sufficiently achieved by the individual Member States but can rather, by reason of its scale and effects, be better achieved at Union level, the Union may adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty on European Union. In accordance with the principle of proportionality as set out in that Article, this Regulation does not go beyond what is necessary in order to achieve that objective. |
(21) |
This Regulation replaces Regulation (EU) No 1286/2013 of the European Parliament and of the Council, which should therefore be repealed, |
HAVE ADOPTED THIS REGULATION:
CHAPTER I
GENERAL PROVISIONS
Article 1
Subject matter
1. This Regulation establishes the ‘Fiscalis’ programme for cooperation in the field of taxation ( the ‘Programme’).
2. It lays down the objectives of the Programme, the budget for the period 2021-2027, the forms of Union funding and the rules for providing such funding.
Article 2
Definitions
For the purposes of this Regulation, the following definitions apply:
(1) |
‘taxation’ means matters, including the design, administration, enforcement and compliance, relating to the following taxes and duties:
|
(2) |
‘tax authorities’ means the public authorities and other bodies, which are responsible for taxation or tax-related activities; |
(3) |
‘European electronic systems’ means electronic systems necessary for taxation and for the execution of the missions of tax authorities; |
(4) |
‘third country’ means a country that is not member of the Union; |
Article 3
Programme objectives
1. The Programme has the general objectives of supporting tax authorities and taxation to enhance the functioning of the single market, of fostering Union competitiveness and fair competition in the Union, of protecting the financial and economic interests of the Union and its Member States , including protecting those interests from tax fraud, tax evasion and tax avoidance, and of improving tax collection .
2. The Programme has the specific objective to support tax policy and the implementation of Union law relating to the field of taxation; to foster tax cooperation, including exchange of tax information; and to support administrative capacity building, including human competency and the development and operation of the European electronic systems.
Article 4
Budget
1. The financial envelope for the implementation of the Programme for the period 2021 — 2027 shall be EUR 300 million in 2018 prices or EUR 339 million in current prices .
2. The amount referred to in paragraph 1 may inter alia cover expenses for preparation, monitoring, control, audit, evaluation and other activities for managing the Programme and evaluating the achievement of its objectives. It may moreover cover expenses relating to studies and other relevant written material , meetings of experts, information and communication actions, in so far as they are related to the objectives of the Programme, as well as expenses linked to information technology networks focusing on information processing and exchange, including corporate information technology tools and other technical and administrative assistance needed in connection with the management of the Programme.
Article 5
Third countries associated to the Programme
The Programme shall be open to the following third countries:
(a) |
acceding countries, candidate countries and potential candidates, in accordance with the general principles and general terms and conditions for the participation of those countries in Union programmes established in the respective framework agreements and Association Council decisions, or similar agreements, and in accordance with the specific conditions laid down in agreements between the Union and those countries; |
(b) |
countries covered by the European Neighbourhood Policy, in accordance with the general principles and general terms and conditions for the participation of those countries in Union programmes established in the respective framework agreements and association Council decisions, or similar agreements, and in accordance with the specific conditions laid down in agreements between the Union and those countries, provided that those countries have reached a sufficient level of approximation of the relevant legislation and administrative methods to those of the Union; |
(c) |
other third countries, in accordance with the conditions laid down in a specific agreement covering the participation of the third country to any Union programme, provided that the agreement:
|
Article 6
Implementation and forms of EU funding
1. The Programme shall be implemented in direct management in accordance with the Financial Regulation.
2. The Programme may provide funding in any of the forms laid down in the Financial Regulation, in particular grants, prizes, procurement and reimbursement of travel and subsistence expenses incurred by external experts.
CHAPTER II
ELIGIBILITY
Article 7
Eligible actions
1. Only actions implementing the objectives referred to in Article 3 shall be eligible for funding.
2. Actions referred to in paragraph 1 shall include the following:
(a) |
meetings and similar ad-hoc events; |
(b) |
project-based structured collaboration; |
(c) |
IT capacity building actions, in particular the development and operation of European electronic systems; |
(d) |
human competency and capacity building actions; |
(e) |
support and other actions, including:
|
Possible forms of relevant actions referred to in points (a), (b) and (d) are presented in a non-exhaustive list in Annex I .
Priority topics for actions are presented in a non-exhaustive list in Annex III.
3. Actions consisting in the development and operation of adaptations or extensions to the common components of the European electronic systems for cooperation with third countries not associated to the Programme or international organisations shall be eligible for funding when they are of interest to the Union. The Commission shall put in place the necessary administrative arrangements, which may provide for a financial contribution from the third parties concerned to these actions.
4. Where an IT capacity building action referred to in point (c) of paragraph 2 concerns the development and operation of a European electronic system, only the costs related to the responsibilities entrusted to the Commission pursuant to Article 11(2) shall be eligible for funding under the Programme. Member States shall bear the costs related to the responsibilities entrusted to them pursuant to Article 11(3).
Article 8
Participation of external experts
1. Wherever beneficial for the achievement of the actions implementing the objectives referred to in Article 3, representatives of governmental authorities, including those from third countries not associated to the Programme pursuant to Article 5 , including from least developed countries, and, where relevant , representatives of international and other relevant organisations, of economic operators and organisations representing economic operators and of civil society may take part as external experts to actions organised under the Programme.
2. Costs incurred by the external experts referred to in paragraph 1 shall be eligible for reimbursement under the Programme in accordance with the provisions of Article 238 of the Financial Regulation.
3. The external experts shall be selected by the Commission , including from experts proposed by the Member States, based on their skills, experience and knowledge relevant to the specific action on an ad-hoc basis, based on needs .
The Commission shall assess, inter alia, the impartiality of those external experts and the absence of conflict of interests with their professional responsibilities.
CHAPTER III
GRANTS
Article 9
Award, complementarity and combined funding
1. Grants under the Programme shall be awarded and managed in accordance with Title VIII of the Financial Regulation.
2. An action that has received a contribution from another Union programme may also receive a contribution under the Programme, provided that the contribution do not cover the same costs. The rules of each contributing Union programme shall apply to its respective contribution to the action. The cumulative funding shall not exceed the total eligible costs of the action and the support from the different Union programmes may be calculated on a pro-rata basis in accordance with the documents setting out the conditions for support.
3. In accordance with Article 198(f) of the Financial Regulation, the grants shall be awarded without a call for proposals where the eligible entities are tax authorities of the Member States and of the third countries associated to the Programme as referred to in Article 5 of this Regulation, provided that the conditions set out in that Article are met.
Article 10
Co-financing rate
1. By derogation from Article 190 of the Financial Regulation, the Programme may finance up to 100 % of eligible costs of an action.
2. The applicable co-financing rate where actions require the awarding of grants shall be set out in the multiannual work programmes referred to in Article 13.
CHAPTER IV
SPECIFIC PROVISIONS FOR IT CAPACITY BUILDING ACTIONS
Article 11
Responsibilities
1. The Commission and the Member States shall ensure jointly the development and operation, including the design, specification, conformance testing, deployment, maintenance, evolution, security, quality assurance and quality control, of the European electronic systems listed in the Multi-Annual Strategic Plan for Taxation referred to in Article 12.
2. The Commission shall, in particular, ensure the following:
(a) |
the development and operation of common components as established under the Multi-Annual Strategic Plan for Taxation provided for in Article 12; |
(b) |
the overall coordination of the development and operation of European electronic systems with a view to their operability, interconnectivity and continuous improvement and their synchronised implementation; |
(c) |
the coordination at Union level of European electronic systems with a view to their promotion and implementation at national level; |
(d) |
the coordination of the development and operation of European electronic systems as regards their interactions with third parties, excluding actions designed to meet national requirements; |
(e) |
the coordination of European electronic systems with other relevant actions relating to e-Government at Union level; |
3. The Member States shall, in particular, ensure the following:
(a) |
the development and operation of national components as established under the Multi-annual Strategic Plan for Taxation provided for in Article 12; |
(b) |
the coordination of the development and operation of the national components of European electronic systems at national level; |
(c) |
the coordination of European electronic systems with other relevant actions relating to e-Government at national level; |
(d) |
the regular provision to the Commission of information regarding the measures taken to enable their respective authorities or economic operators to make full use of European electronic systems; |
(e) |
the implementation at national level of European electronic systems. |
Article 12
Multi-Annual Strategic Plan for Taxation (MASP-T)
1. The Commission and the Member States, shall draw up and keep updated a Multi-Annual Strategic Plan for Taxation , aligned with relevant legally binding Union acts, listing all tasks relevant for the development and operation of European electronic systems and classifying each system, or part thereof, as:
(a) |
a common component: a component of the European electronic systems developed at Union level, which is available for all Member States or identified as common by the Commission for reasons of efficiency, security and rationalisation; |
(b) |
a national component: a component of the European electronic systems developed at national level, which is available in the Member State that created such a component or contributed to its joint creation; |
(c) |
or a combination of both. |
2. The Multi-Annual Strategic Plan for Taxation shall also include innovation and pilot actions as well as the supporting methodologies and tools related to the European electronic systems.
3. Member States shall notify the Commission of the completion of each task allocated to them under the Multi-Annual Strategic Plan for Taxation referred to in paragraph 1. They shall also regularly report to the Commission on progress with their tasks.
4. No later than 31 March of each year, the Member States shall submit to the Commission annual progress reports on the implementation of the Multi-Annual Strategic Plan for Taxation referred to in paragraph 1 covering the period 1 January to 31 December of the preceding year. Those annual reports shall be based on a pre-established format.
5. No later than 31 October of each year, the Commission shall, on the basis of the annual reports referred to in paragraph 4, establish a consolidated report assessing the progress made by Member States and the Commission in the implementation of the plan referred to in paragraph 1 and make that report public.
CHAPTER V
PROGRAMMING, MONITORING, EVALUATION AND CONTROL
Article 13
Work programme
1. The Programme shall be implemented by multiannual work programmes referred to in Article 110 of the Financial Regulation.
2. The multiannual work programmes shall be adopted by the Commission by means of delegated acts. Those delegated acts shall be adopted in accordance with the procedure referred to in Article 17 .
Article 14
Monitoring and reporting
1. Indicators to report on progress of the Programme towards the achievement of the specific objectives set out in Article 3 are set in Annex II .
2. To ensure effective assessment of progress of the Programme towards the achievement of its objectives, the Commission is empowered to adopt delegated acts in accordance with Article 17 to amend Annex II to review or complement the indicators where considered necessary and to supplement this Regulation with provisions on the establishment of a monitoring and evaluation framework.
3. The performance reporting system shall ensure that data for monitoring programme implementation and results are collected efficiently, effectively, and in a timely manner. To that end, proportionate reporting requirements shall be imposed on recipients of Union funds.
Article 15
Evaluation
1. Evaluations shall be carried out in a timely manner to feed into the decision-making process. Evaluations shall be made publicly available by the Commission.
2. The interim evaluation of the Programme shall be performed once there is sufficient information available about the implementation of the Programme, but no later than four years after the start of the programme implementation.
3. At the end of the implementation of the Programme, but no later than four years after the end of the period specified in Article 1, a final evaluation of the Programme shall be carried out by the Commission.
4. The Commission shall communicate the conclusions of the evaluations, accompanied by its observations, to the European Parliament, the Council, the European Economic and Social Committee and the Committee of the Regions.
Article 16
Protection of the financial interests of the Union
Where a third country participates in the Programme by a decision under an international agreement or by virtue of any other legal instrument, the third country shall grant the necessary rights and access required for the authorising officer responsible, the European Anti-Fraud Office (OLAF) and the European Court of Auditors to comprehensively exert their respective competences. In the case of the OLAF, such rights shall include the right to carry out investigations, including on-the-spot checks and inspections, provided for in Regulation (EU, Euratom) No 883/2013 of the European Parliament and of the Council concerning investigations conducted by the European Anti-Fraud Office (OLAF).
CHAPTER VI
EXERCISE OF THE DELEGATION AND COMMITTEE PROCEDURE
Article 17
Exercise of the delegation
1. The power to adopt delegated acts is conferred on the Commission subject to the conditions laid down in this Article.
2. The power to adopt delegated acts referred to in Articles 13(2) and 14(2) shall be conferred on the Commission until 31 December 2028.
3. The delegation of power referred to in Articles 13(2) and 14(2) may be revoked at any time by the European Parliament or by the Council. A decision to revoke shall put an end to the delegation of power specified in that decision. It shall take effect the day following the publication of the decision in the Official Journal of the European Union or at a later date specified therein. It shall not affect the validity of any delegated acts already in force.
4. Before adopting a delegated act, the Commission shall consult experts designated by each Member State in accordance with the principles laid down in the Interinstitutional Agreement of 13 April 2016 on Better Law-Making ▌.
5. As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the European Parliament and to the Council.
6. A delegated act adopted pursuant to Articles 13(2) and 14(2) shall enter into force if no objection has been expressed either by the European Parliament or by the Council within a period of two months of notification of that act to the European Parliament and the Council or if, before the expiry of that period, the European Parliament and the Council have both informed the Commission that they will not object. That period shall be extended by two months at the initiative of the European Parliament or of the Council.
Article 18
Committee procedure
1. The Commission shall be assisted by a committee referred to as the ‘Fiscalis Programme Committee’. That committee shall be a committee within the meaning of Regulation (EU) No 182/2011.
2. Where reference is made to this paragraph, Article 5 of Regulation (EU) No 182/2011 shall apply.
CHAPTER VII
TRANSITIONAL AND FINAL PROVISIONS
Article 19
Information, communication and publicity
1. The recipients of Union funding shall acknowledge the origin and ensure the visibility of the Union funding (in particular when promoting the actions and their results) by providing coherent, effective and proportionate targeted information to multiple audiences, including the media and the public.
2. The Commission shall implement information and communication actions relating to the Programme, and its actions and results. Financial resources allocated to the Programme shall also contribute to the corporate communication of the political priorities of the Union, as far as they are related to the objectives referred to in Article 3.
Article 20
Repeal
Regulation (EU) No 1286/2013 is repealed with effect from 1 January 2021.
Article 21
Transitional provisions
1. This Regulation shall not affect the continuation or modification of the actions concerned, until their closure, under Regulation (EU) No 1286/2013, which shall continue to apply to the actions concerned until their closure.
2. The financial envelope for the Programme may also cover technical and administrative assistance expenses necessary to ensure the transition between the Programme and the measures adopted under its predecessor, the Regulation (EU) No 1286/2013.
3. If necessary, appropriations may be entered in the budget beyond 2027 to cover the expenses provided for in Article 4(2), to enable the management of actions not completed by 31 December 2027.
Article 22
Entry into force
This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at …,
For the European Parliament
The President
For the Council
The President
(1) OJ C […], […], p. […].
(2) Position of the European Parliament of 17 April 2019. The underlined text has not been agreed in the framework of interinstitutional negotiations.
(3) Regulation (EU) No 1286/2013 of the European Parliament and of the Council of 11 December 2013 establishing an action programme to improve the operation of taxation systems in the European Union for the period 2014-2020 (Fiscalis 2020) and repealing Decision No 1482/2007/EC (OJ L 347, 20.12.2013, p. 25).
(4) OJ C 373, 20.12.2013, p. 1.
(5) Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council of 18 July 2018 on the financial rules applicable to the general budget of the Union, amending Regulations (EU) No 1296/2013, (EU) No 1301/2013, (EU) No 1303/2013, (EU) No 1304/2013, (EU) No 1309/2013, (EU) No 1316/2013, (EU) No 223/2014, (EU) No 283/2014, and Decision No 541/2014/EU and repealing Regulation (EU, Euratom) No 966/2012 (OJ L 193, 30.7.2018, p. 1).
(6) COM(2010)0700.
(7) Interinstitutional Agreement of 13 April 2016 between the European Parliament, the Council of the European Union and the European Commission on Better Law-making (OJ L 123, 12.5.2016, p. 1).
(8) Regulation (EU, Euratom) No 883/2013 of the European Parliament and of the Council of 11 September 2013 concerning investigations conducted by the European Anti-Fraud Office (OLAF) and repealing Regulation (EC) No 1073/1999 of the European Parliament and of the Council and Council Regulation (Euratom) No 1074/1999 (OJ L 248, 18.9.2013, p. 1).
(9) Council Regulation (EC, Euratom) No 2988/95 of 18 December 1995 on the protection of the European Communities financial interests (OJ L 312, 23.12.1995, p. 1).
(10) Council Regulation (Euratom, EC) No 2185/96 of 11 November 1996 concerning on-the-spot checks and inspections carried out by the Commission in order to protect the European Communities' financial interests against fraud and other irregularities (OJ L 292, 15.11.1996, p. 2).
(11) Council Regulation (EU) 2017/1939 of 12 October 2017 implementing enhanced cooperation on the establishment of the European Public Prosecutor’s Office (‘the EPPO’) (OJ L 283, 31.10.2017, p. 1).
(12) Directive (EU) 2017/1371 of the European Parliament and of the Council of 5 July 2017 on the fight against fraud to the Union's financial interests by means of criminal law (OJ L 198, 28.7.2017, p. 29).
(13) Council Directive 2006/112/EC of 28 November 2006 on the common system of value added tax (OJ L 347, 11.12.2006, p. 1).
(14) Council Directive 92/83/EEC of 19 October 1992 on the harmonization of the structures of excise duties on alcohol and alcoholic beverages (OJ L 316, 31.10.1992, p. 21).
(15) Council Directive 2011/64/EU of 21 June 2011 on the structure and rates of excise duty applied to manufactured tobacco (OJ L 176, 5.7.2011, p. 24).
(16) Council Directive 2003/96/EC of 27 October 2003 restructuring the Community framework for the taxation of energy products and electricity (OJ L 283, 31.10.2003, p. 51).
(17) Council Directive 2010/24/EU of 16 March 2010 concerning mutual assistance for the recovery of claims relating to taxes, duties and other measures (OJ L 84, 31.3.2010, p. 1).
ANNEX I
Non-exhaustive list of possible forms of actions referred to in points (a), (b) and (d) of the first subparagraph of Article 7(2)
Actions referred to in points (a), (b) and (d) of the first subparagraph of Article 7(2) may take the forms, among others, of:
(a) |
As regards meetings and similar ad-hoc events:
|
(b) |
As regards structured collaboration:
|
(d) |
As regards human competency and capacity building actions:
|
ANNEX II
Indicators
Specific objective: support tax policy, tax cooperation and administrative capacity building, including human competency and the development and operation of the European electronic systems.
1. Capacity Building (administrative, human and IT capacity):
1. |
Union Law and Policy Application and Implementation Index (Number of actions under the Programme organised in this area and recommendations issued following those actions) |
2. |
Learning Index (Learning modules used; number of officials trained; quality score by participants) |
3. |
Availability of European electronic systems (in time percentage terms) |
4. |
Availability of the Common Communication Network (in time percentage terms) |
5. |
IT simplified procedures for the national administrations and economic operators (number of registered economic operators, numbers of applications and number of consultations in the different electronic systems funded by the Programme) |
2. Knowledge sharing and networking:
6. |
Collaboration Robustness Index (degree of networking generated, number of face-to-face meetings, number of on-line collaboration groups) |
7. |
Best Practices and Guideline Index (number of actions under the Programme organised in this area; percentage of tax administrations that made use of a working practice/guideline developed with the support of the Programme) |
ANNEX III
In line with the specific and general objective of the Programme, the actions referred to in Article 7 may focus, among others, on the following priority topics:
(a) |
supporting the implementation of Union law in the field of taxation, including training of staff in that regard, and helping to identify possible ways to improve administrative cooperation, including recovery assistance, between tax authorities; |
(b) |
supporting the effective exchange of information, including group requests, the development of standard IT formats, the access by tax authorities to beneficial ownership information and the improvement of the use of the information received. |
(c) |
supporting the effective operation of mechanisms of administrative cooperation and exchange of best practices between tax authorities, including best practices on recovery of taxes; |
(d) |
supporting digitalisation and updating of methodologies in tax administrations; |
(e) |
supporting the exchange of best practices for combating VAT fraud. |
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/475 |
P8_TA(2019)0405
Programme for the Environment and Climate Action (LIFE) ***I
European Parliament legislative resolution of 17 April 2019 on the proposal for a regulation of the European Parliament and of the Council establishing a Programme for the Environment and Climate Action (LIFE) and repealing Regulation (EU) No 1293/2013 (COM(2018)0385 — C8-0249/2018 — 2018/0209(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/52)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2018)0385), |
— |
having regard to Article 294(2) and Article 192 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0249/2018), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
having regard to the opinion of the European Economic and Social Committee of 18 October 2018 (1), |
— |
having regard to the opinion of the Committee of the Regions of 9 October 2018 (2), |
— |
having regard to the letter from its President to the committee chairs of 25 January 2019 outlining the Parliament's approach to the Multiannual Financial Framework (MFF) post-2020 sectorial programmes, |
— |
having regard to the letter from the Council to the President of the European Parliament of 1 April 2019 confirming the common understanding reached between the co-legislators during negotiations, |
— |
having regard to Rule 59 of its Rules of Procedure, |
— |
having regard to the report of the Committee on the Environment, Public Health and Food Safety and the opinions of the Committee on Budgets, the Committee on Regional Development and the Committee on Agriculture and Rural Development (A8-0397/2018), |
1. |
Adopts its position at first reading hereinafter set out (3); |
2. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
3. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
(1) OJ C 62, 15.2.2019, p. 226.
(2) OJ C 461, 21.12.2018, p. 156.
(3) This position replaces the amendments adopted on 11 December 2018 (Texts adopted, P8_TA(2018)0487).
P8_TC1-COD(2018)0209
Position of the European Parliament adopted at first reading on 17 April 2019 with a view to the adoption of Regulation (EU) …/… of the European Parliament and of the Council establishing a Programme for the Environment and Climate Action (LIFE) and repealing Regulation (EU) No 1293/2013
(Text with EEA relevance)
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on the Functioning of the European Union, and in particular Article 192 (1) thereof,
Having regard to the proposal from the European Commission,
After transmission of the draft legislative act to the national parliaments,
Having regard to the opinion of the European Economic and Social Committee (1),
Having regard to the opinion of the Committee of the Regions (2),
Acting in accordance with the ordinary legislative procedure (3),
Whereas:
(1) |
Union environmental, climate and relevant ▌energy policy and legislation have delivered substantial improvements to the state of the environment. However, major environmental and climate challenges remain, which if left unaddressed, will have significant negative consequences for the Union and the well-being of its citizens. |
(2) |
The Programme for the Environment and Climate Action (LIFE), established by Regulation (EU) No 1293/2013 of the European Parliament and of the Council (4) for the period 2014 to 2020 is the latest in a series of Union programmes over 25 years which support the implementation of environmental and climate legislation and policy priorities. It was positively assessed in a recent mid-term evaluation (5) as being on track to be effective, efficient and relevant. The 2014-2020 LIFE Programme should therefore be continued with certain modifications identified in the mid-term evaluation and subsequent assessments. Accordingly, a Programme for the Environment and Climate Action (LIFE) (the ‘ LIFE Programme’) should be established for the period starting 2021. |
(3) |
Pursuing the achievement of the Union's objectives and targets set by environmental, climate and relevant energy legislation, policy, plans and international commitments, the LIFE Programme should contribute in line with a just transition to the shift towards a sustainable , circular, energy-efficient, renewable energy-based, climate- neutral and - resilient economy, to the protection , restoration and improvement of the quality of the environment , including air, water and soil, and health, to halting and reversing biodiversity loss , including through supporting the implementation and management of the Natura2000 network and tackling the degradation of ecosystems , either through direct interventions or by supporting the integration of those objectives in other policies. The LIFE Programme should also support the implementation of the General action programmes adopted in accordance with Article 192(3) TFEU, such as the 7th Environment Action Programme (6). |
(4) |
The Union is committed to developing a comprehensive response to the Sustainable Development Goals of the United Nations 2030 Agenda for the Sustainable Development, which highlight the intrinsic connection between the management of natural resources to ensure their long-term availability, ecosystem services, their link to human health and sustainable and socially inclusive economic growth. In this spirit, the LIFE Programme should reflect the principles of solidarity, while making a material contribution to both economic development and social cohesion. |
(4a) |
With a view to promoting sustainable development, environmental and climate protection requirements should be integrated into the definition and implementation of all Union policies and activities. Synergies and complementarity with other Union funding programmes should, therefore, be promoted, including by facilitating the funding of activities that complement strategic integrated projects and strategic nature projects and support the uptake and replication of solutions developed under the LIFE Programme. Coordination is required to prevent double funding. The Commission and Member States should take steps to prevent administrative overlap and burden on project beneficiaries, arising from reporting obligations from different financial instruments. |
(5) |
The LIFE Programme should contribute to sustainable development and to the achievement of the objectives and targets of the Union environment, climate and relevant ▌energy legislation, strategies, plans and international commitments, in particular the United Nations 2030 Agenda for the Sustainable Development (7), the Convention on Biological Diversity (8) and the Paris Agreement adopted under the United Nations Framework Convention on Climate Change (9) (‘Paris Agreement on Climate Change’),. and among others the UNECE Convention on Access to Information, Public Participation and Access to Justice in Environmental Matters (the ‘Aarhus Convention’), the UNECE Convention on Long-Range Transboundary Air Pollution, the UN Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and Their Disposal, the UN Rotterdam Convention on the Prior Informed Consent Procedure for Certain Hazardous Chemicals and Pesticides in International Trade and the UN Stockholm Convention on Persistent Organic Pollutants . ▌ |
(6a) |
The Union attaches great importance to the long-term sustainability of the results of LIFE projects, and to the capacity to secure and maintain those results after project implementation, inter alia by project continuation, replication and/or transfer. |
(7) |
Complying with the Union's commitments under the Paris Agreement on Climate Change requires the transformation of the Union into a sustainable, circular, energy efficient, renewable energy-based, climate-neutral and - resilient society. This in turn requires actions, with a special focus on sectors that contribute most to the current levels of greenhouse gas output and pollution, promoting energy efficiency and renewable energy, as well as contributing to the implementation of the 2030 energy and climate policy framework and the Member States' Integrated National Energy and Climate Plans and to the implementation of the Union's mid-century and long-term climate and energy strategy, in line with the long-term objectives of the Paris Agreement . The LIFE Programme should also include measures contributing to the implementation of the Union's climate adaptation policy to decrease vulnerability to the adverse effects of climate change. |
(7a) |
Projects under the new Clean Energy Transition sub-programme of the LIFE Programme should focus on the creation of capacity building and diffusion of knowledge, skills, innovative techniques, methods and solutions for reaching the objectives of the Union legislation and policy on the transition to renewable energy and increased energy efficiency. These are typically coordination and support actions of high EU added-value, aiming to break market barriers that hamper the socio-economic transition to sustainable energy, typically engaging small and middle-size stakeholders, multiple actors including local and regional public authorities and non-profit organisations. These actions bring multiple co-benefits, such as tackling energy poverty, improved indoor air quality, reducing local pollutants thanks to energy efficiency improvements and increased distributed renewable energies, and contributing to positive local economic effects and more socially inclusive growth. |
(8) |
In order to contribute to the mitigation of climate change and the Union’s international commitments for decarbonisation, the transformation of the energy sector needs to be accelerated . Actions for capacity building supporting energy, efficiency and renewable energy funded until 2020 under Horizon 2020 (10), should be integrated in the new Clean Energy Transition sub-programme of the LIFE Programme since their objective is not to fund excellence and generate innovation, but to facilitate the uptake of already available technology for renewable energy and energy efficiency, that will contribute to climate mitigation. The LIFE Programme should involve all stakeholders and sectors involved in a clean energy transition . The inclusion of these capacity building activities into the LIFE Programme offers potential for synergies between the sub-programmes and increases the overall coherence of Union funding. Therefore, data should be collected and disseminated on the uptake of existing research and innovation solutions in the LIFE projects, including from the Horizon Europe programme and its predecessors. |
(9) |
The impact assessment for the amendment of the ▌Energy Efficiency Directive (11) estimates that the delivery of the Union's 2030 energy targets will require additional investments of EUR 177 billion annually in the period 2021-2030. The biggest gaps relate to the investments in buildings decarbonisation (energy efficiency and small-scale renewable energy sources), where capital needs to be channelled towards projects of highly distributed nature. One of the objectives of the Clean Energy Transition sub-programme , which covers rapid deployment of renewable energy and energy efficiency, is to build capacity for the development and aggregation of such projects , thereby also helping to absorb funds from the European Structural and Investment Funds and catalyse investments in renewable energy and energy efficiency, also using the financial instruments provided under InvestEU. |
( 9a) |
The LIFE programme is the only programme dedicated specifically to environment and climate action, and therefore plays a crucial role in supporting the implementation of Union legislation and policies in those areas. |
(10) |
Synergies with Horizon Europe should facilitate that research and innovation needs to tackle environmental, climate and energy challenges within the EU are identified and established during Horizon Europe's strategic research and innovation planning process. The LIFE Programme should continue to act as a catalyst for implementing EU environment, climate and relevant energy policy and legislation, including by taking up and applying research and innovation results from Horizon Europe and help deploying them on a larger scale where it can help address environmental, climate or ▌energy transition issues. Horizon Europe's European Innovation Council can provide support to scale up and commercialise new breakthrough ideas that may result from the implementation of LIFE projects. Similarly, synergies with the Innovation Fund under the Emission Trading System should also be taken into account. |
(11) |
An action that has received a contribution from the LIFE Programme can also receive a contribution from any other Union programme , provided that the contributions do not cover the same costs. Actions that receive cumulative funding from different Union programmes should be audited only once, covering all involved programmes and their respective applicable rules. |
(12) |
The ▌most recent Commission Communication on the Environmental Implementation Review (EIR) (12) indicates that significant progress is required to accelerate implementation of the Union environment acquis and enhance the integration and mainstreaming of environmental and climate objectives into other policies. The LIFE Programme should therefore act as a catalyst to tackle horizontal, systemic challenges as well as the root causes for implementation deficiencies as identified in the EIR and to achieve the required progress through developing, testing and replicating new approaches; supporting policy development, monitoring and review; improving governance on environmental, climate change and related energy transition matters, including through enhancing stakeholder involvement at all levels, capacity building, communication and awareness ; mobilising investments across Union investment programmes or other financial sources and supporting actions to overcome the various obstacles to the effective implementation of key plans required by environment legislation. |
(13) |
Halting and reversing biodiversity loss , the degradation of ecosystems , including in marine ecosystems, requires support for the development, implementation, enforcement and assessment of relevant Union legislation and policy, including the EU Biodiversity Strategy to 2020 (13), Council Directive 92/43/EEC (14) and Directive 2009/147/EC of the European Parliament and of the Council (15) and Regulation (EU) No 1143/2014 of the European Parliament and of the Council (16), in particular by developing the knowledge base for policy development and implementation and by developing, testing, demonstrating and applying best practices and solutions , such as effective management, on small scale or tailored to specific local, regional or national contexts, including integrated approaches for the implementation of the prioritised action frameworks prepared on the basis of Directive 92/43/EEC. The Union and the Member States should track their biodiversity-related expenditure to fulfil their reporting obligations under the Convention on Biological Diversity. Requirements for tracking in other relevant Union legislation should also be met. Biodiversity-related Union spending will be tracked using a specific set of markers (17). |
(14) |
Recent evaluations and assessments, including the mid-term review of the EU Biodiversity Strategy to 2020 and the Fitness Check of Nature legislation, indicate that one of the main underlying causes for insufficient implementation of Union nature legislation and of the biodiversity strategy is the lack of adequate financing. The main Union funding instruments, including the [European Regional Development Fund, the Cohesion Fund, the European Agricultural Fund for Rural Development and the European Maritime and Fisheries Fund], can make a significant contribution towards meeting those needs , on a complementary basis . The LIFE Programme can further improve the efficiency of such mainstreaming through strategic nature projects dedicated to catalysing the implementation of Union nature and biodiversity legislation and policy, including the actions set out in the Priority Action Frameworks developed in accordance with Directive 92/43/EEC. The strategic nature projects should support programmes of actions in Member States for the mainstreaming of relevant nature and biodiversity objectives into other policies and financing programmes, thus ensuring that appropriate funds are mobilised for implementing these policies. Member States could decide within their Strategic Plan for the Common Agricultural Policy to use a certain share of the European Agricultural Fund for Rural Development allocation to leverage support for actions that complement the Strategic Nature Projects as defined under this Regulation. |
(15) |
The voluntary scheme for Biodiversity and Ecosystem Services in Territories of European Overseas (BEST) promotes the conservation of biodiversity, including marine biodiversity, and sustainable use of ecosystem services, including ecosystem-based approaches to climate change adaptation and mitigation, in the Union's Outermost Regions and Overseas Countries and Territories. Through the BEST preparatory action adopted in 2011 and the subsequent BEST 2.0 Programme and BEST RUP project, BEST has helped to raise awareness for the ecological importance of the Outermost Regions and Overseas Countries and Territories and their key role in conserving global biodiversity. The Commission estimates that the need for financial support for projects on the ground in those territories is EUR 8 million per year . In their Ministerial Declarations in 2017 and 2018, Overseas Countries and Territories have expressed their appreciation for this small grant scheme for biodiversity. It is therefore appropriate for the LIFE Programme to finance small grants for biodiversity , including capacity building and catalytic actions, in both the Outermost Regions and the Overseas Countries and Territories. |
(16) |
Promoting the circular economy and resource efficiency requires a ▌shift in the way of designing, producing, consuming , repairing, reusing, recycling and disposing of materials and products, including plastics , focusing on the whole life cycle of products. The LIFE Programme should contribute to the transition to a circular economy model through financial support targeting a variety of actors (businesses, public authorities and consumers), in particular by applying, developing, and replicating best technology, practices and solutions tailored to specific local, regional or national contexts, including through integrated approaches for the application of the waste hierarchy and the implementation of waste management and prevention plans. Through supporting the implementation of Commission Communications of 16 January 2018 on ‘A European Strategy for Plastics in a Circular Economy’ , action can be taken to address the problem of marine litter in particular. |
(16a) |
A high level of environmental protection is of fundamental importance for the health and well-being of Union citizens. The Programme should support the Union’s objective to produce and use chemicals in ways that lead to the minimisation of significant adverse effects on human health and the environment, with a view to reaching the objective of a non-toxic environment in the EU. The Programme should also support activities to facilitate the implementation of Directive 2002/49/EC of the Parliament and of the Council (18) in order to achieve noise levels that do not give rise to significant negative impacts on and risks to human health.’ |
(17) |
The Union's long-term objective for air policy is to achieve levels of air quality that do not cause significant negative impacts on and risks to human health and the environment, while reinforcing the synergies between air quality improvements and greenhouse gas emission reduction . Public awareness about air pollution is high and citizens expect authorities to act , in particular in areas where the population and ecosystems are exposed to high levels of air pollutants . Directive (EU) 2016/2284 of the European Parliament and of the Council (19) stresses the role Union funding can play in achieving clean air objectives. Therefore, the LIFE Programme should support projects, including strategic integrated projects, which have the potential to leverage public and private funds, to be showcases of good practice and catalysts for the implementation of air quality plans and legislation at local, regional, multi-regional, national and trans-national level. |
(18) |
Directive 2000/60/EC (20) established a framework for the protection of the Union’s surface waters, coastal waters, transitional waters and groundwater. The objectives of that Directive are supported by ▌better implementation and integration of water policy objectives into other policy areas. The LIFE Programme should therefore support projects which contribute to the effective implementation of Directive 2000/60/EC and of other relevant Union water legislation that contributes to achieving a good status of the Union’s water bodies through applying, developing and replicating best practices, as well as through mobilising complementary actions under other Union programmes or financial sources. |
(19) |
The protection and restoration of the marine environment is one of the overall aims of the Union's environment policy. The LIFE Programme should support the following: the management, conservation, restoration and monitoring of biodiversity and marine ecosystems in particular in Natura 2000 marine sites and the protection of species in accordance with the prioritised action frameworks developed pursuant to Directive 92/43/EEC; the achievement of Good Environmental Status in line with the Directive 2008/56/EC of the European Parliament and of the Council (21); the promotion of clean and healthy seas; the implementation of the Commission communication on strategy for plastic in a circular economy, to address the problem of lost fishing gear and marine litter in particular; and the promotion of the Union's involvement in international ocean governance which is essential for achieving the goals of the United Nations 2030 Agenda for Sustainable Development and to guarantee healthy oceans for future generations. The LIFE Programme's strategic integrated projects and strategic nature projects should include relevant actions aiming at the protection of the marine environment. |
(20) |
The improvement of governance on environmental, climate change and related ▌energy transition matters requires involvement of civil society by raising public awareness, including through a communication strategy that takes into account new media and social networks, consumer engagement, and broadening of stakeholder involvement at all levels , including non-governmental organisations, in consultation on and implementation of related policies. It is, therefore, appropriate that the Programme support a broad range of NGOs as well as networks of non-profit-making entities that pursue an aim which is of general Union interest, and that are primarily active in the field of environment or climate action, by awarding, in a competitive and transparent manner, operating grants, in order to help such NGOs, networks and entities to make effective contributions to Union policy, and to build up and strengthen their capacity to become more efficient partners. |
(21) |
Whilst improving governance at all levels should be a cross-cutting objective for all sub-programmes of the LIFE Programme, the LIFE Programme should support the development and implementation and enforcement of, and compliance with, the environment and climate acquis, in particular of the horizontal legislation on the environmental governance, including the legislation implementing the United Nations Economic Commission for Europe (UNECE) Convention on Access to Information, Public Participation in Decision-Making and Access to Justice in Environmental Matters (22). |
(22) |
The LIFE Programme should prepare and support market players for the shift towards a sustainable , circular, energy-efficient, renewable energy-based, climate-neutral and -resilient economy by testing new business opportunities, upgrading professional skills, facilitating consumers' access to sustainable products and services, engaging and empowering influencers and testing novel methods to adapt the existing processes and business landscape. To support a broader market uptake of sustainable solutions, general public acceptance and consumer engagement should be promoted. |
(22a) |
The Programme is designed to support the demonstration of techniques, approaches and best practices that can be replicated and upscaled. Innovative solutions would contribute to the improvement of environmental performance and sustainability, in particular for the development of sustainable farming practices in the areas active in the fields of climate, water, soil, biodiversity and waste. Synergies with other programmes and policies, such as the European Innovation Partnership for Agricultural Productivity and Sustainability and the EU Eco-Management and Audit Scheme, should be emphasised in this regard. |
(23) |
At Union level, large investments in environmental and climate actions are primarily funded by major Union funding programmes (mainstreaming). It is therefore imperative to step up the mainstreaming efforts, to ensure sustainability, biodiversity and climate proofing of other Union funding programmes and the integration of sustainability safeguards in all Union instruments . In the context of their catalytic role, strategic integrated projects and strategic nature projects to be developed under the LIFE Programme should leverage financing opportunities under those funding programmes and other sources of funding such as national funds, and create synergies. |
(23a) |
The success of strategic nature projects and strategic integrated projects depends on close cooperation between national, regional and local authorities and the non-state actors affected by the Programme's objectives. The principles of transparency and disclosure regarding decisions concerning the development, implementation, assessment and monitoring of projects should, therefore, be applied, in particular in the case of mainstreaming or when multiple funding sources are involved. |
(24) |
Reflecting the importance of tackling climate change in a coordinated and ambitious manner, in line with the Union's commitments to implement the Paris Agreement and the United Nations Sustainable Development Goals, the LIFE Programme will contribute to mainstream climate actions and to the achievement of an overall target of at least 25 % of the EU budget expenditures supporting climate objectives over the MFF 2021-2027 period, and an annual target of 30 % as soon as possible and at the latest by 2027 . Actions under the LIFE Programme are expected to contribute 61 % of the overall financial envelope of the LIFE Programme to climate objectives. Relevant actions will be identified during the LIFE Programme's preparation and implementation, and reassessed in the context of the relevant evaluations and review processes. |
(25) |
In the implementation of the LIFE Programme due consideration should be given to the strategy for outermost regions (23) in view of Article 349 TFEU and the specific needs and vulnerabilities of these regions. Union policies other than environmental, climate and relevant energy policies should also be taken into account. |
(26) |
In support of the implementation of the LIFE Programme, the Commission should collaborate with the LIFE Programme’s National Contact Points (NCP) network in order to stimulate cooperation aiming to improve and make NCP services across the EU more effective, as well as to increase the overall quality of proposals submitted , organise seminars and workshops, publish lists of projects funded under the LIFE Programme or undertake other activities , such as media campaigns, in order to better disseminate project results and to facilitate exchanges of experience, knowledge and best practices and the replication of project results across the Union , thus promoting cooperation and communication . Such activities should in particular target Member States with a low uptake of funds and should facilitate the communication and cooperation between project beneficiaries, applicants or stakeholders of completed and ongoing projects in the same field. It is essential that such communication and cooperation activities are addressed to regional and local authorities and stakeholders. |
(26a) |
Quality is the criterion governing the project evaluation and award process in the LIFE Programme. In order to facilitate the implementation of the objectives of the LIFE Programme across the Union and to promote high quality of project proposals, funding for technical assistance projects for the effective participation in the LIFE Programme should be made available. The Commission should pursue an effective, quality-based geographical coverage across the Union, including by supporting Member States to increase the quality of the projects through capacity building. Specification of low effective participation and eligible activities and award criteria to the LIFE Programme will be set out in the Multiannual Work Programme guided by participation and success rate of applicants from the respective Member States taking into account, among others, population and population density, total area of Natura 2000 sites for each Member State expressed as a proportion of the total area of Natura 2000 and proportion of a Member State's territory covered by Natura 2000 sites. Eligible activities should be of such nature that they aim at improving the quality of project applications. |
(27) |
The European Union Network for the Implementation and Enforcement of Environmental Law (IMPEL), the European Network of Prosecutors for the Environment (ENPE) and the European Union Forum of judges for the environment (EUFJE (24)) have been created to facilitate the collaboration between Member States and play a unique role in the enforcement of the Union environmental legislation. They provide a substantial contribution to reinforce consistency in the implementation and enforcement of Union environmental legislation across the Union, avoiding distortions of competition, contribute to improving the quality of the environmental inspection and the law enforcement mechanisms through a networking system at both, Union and Member State level, and provide exchange of information and experience at different administrative levels, as well as through training and in-depth discussions on environmental issues and enforcement aspects, including monitoring and permitting processes. In view of their contribution to the objectives of the LIFE Programme, it is appropriate to authorise the award of grants to IMPEL, ENPE and EUFJE without a call for proposals so as to continue to provide support to the activities of these associations. In addition, in other cases a call may not be required pursuant to the general requirements of the Financial Regulation, e.g. for bodies designated by the Member States and operating under their responsibility, where those Member States are identified as beneficiaries of a grant by a legislative act of the Union. |
(28) |
It is appropriate to lay down a financial envelope for the LIFE Programme which is to constitute the prime reference amount, within the meaning of point 17 of the Interinstitutional Agreement of 2 December 2013 between the European Parliament, the Council and the Commission on budgetary discipline, on cooperation in budgetary matters and on sound financial management (25), for the European Parliament and the Council during the annual budgetary procedure. |
(28a) |
The maximum co-financing rates should be set at levels which are necessary to maintain the effective level of support provided by the Programme. In order to take into account the necessary adaptability that is needed to respond to the existing range of actions and entities, specific co-financing rates will facilitate certainty, while maintaining a degree flexibility that be afforded as per specific needs or requirements. The specific co-financing rates should always be subject to the established relevant maximum co-financing rates. |
(29) |
Horizontal financial rules adopted by the European Parliament and the Council on the basis of Article 322 of the Treaty on the Functioning of the European Union apply to this Regulation. These rules are laid down in the Financial Regulation and determine in particular the procedure for establishing and implementing the budget through grants, procurement, prizes, indirect implementation, and provide for checks on the responsibility of financial actors. Rules adopted on the basis of Article 322 TFEU also concern the protection of the Union's budget in case of generalised deficiencies as regards the rule of law in the Member States, as the respect for the rule of law is an essential precondition for sound financial management and effective EU funding. |
(30) |
In accordance with Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council (26) (the Financial Regulation), Regulation (EU, Euratom) No 883/2013 of the European Parliament and of the Council (27) , Council Regulation (Euratom, EC) No 2988/95 (28), Council Regulation (Euratom, EC) No 2185/96 (29) and Council Regulation (EU) 2017/1939 (30), the financial interests of the Union are to be protected through proportionate measures, including the prevention, detection, correction and investigation of irregularities , including fraud, the recovery of funds lost, wrongly paid or incorrectly used and, where appropriate, the imposition of administrative sanctions. In particular, in accordance with Regulation (EU, Euratom) No 883/2013 and Regulation (Euratom, EC) No 2185/96, the European Anti-Fraud Office (OLAF) may carry out administrative investigations, including on-the-spot checks and inspections, with a view to establishing whether there has been fraud, corruption or any other illegal activity affecting the financial interests of the Union. In accordance with Regulation (EU) 2017/1939, the European Public Prosecutor's Office ( ‘the EPPO’ ) may investigate and prosecute offences against the Union's financial interests, provided for in Directive (EU) 2017/1371 of the European Parliament and of the Council (31). In accordance with the Financial Regulation, any person or entity receiving Union funds is to fully cooperate in the protection of the Union’s financial interests , to grant the necessary rights and access to the Commission, OLAF, the ▌EPPO in respect of those Member States participating in enhanced cooperation pursuant to Regulation (EU ) 2017/1939, and the European Court of Auditors (ECA), and to ensure that any third parties involved in the implementation of Union funds grant equivalent rights. |
(31) |
The types of financing and the methods of implementation should be chosen on the basis of their ability to achieve the specific objectives of the actions and to deliver results, taking into account, in particular, the costs of controls, the administrative burden, and the expected risk of non-compliance. As regards grants, this should include consideration of the use of lump sums, flat rates and scales of unit costs. The Commission should ensure that implementation is easy to understand, and should promote genuine simplification for project developers. |
(32) |
Where appropriate, the policy objectives of the LIFE Programme should be also addressed through financial instruments and budgetary guarantee under the ▌InvestEU, including with the allocated amount from the LIFE Programme as specified within the multiannual work programmes under the LIFE Programme . |
(33) |
Pursuant to Article 94 of Council Decision 2013/755/EU (32), entities established in overseas countries and territories are eligible for funding subject to the rules and objectives of the LIFE Programme and possible arrangements applicable to the Member State to which the relevant overseas country or territory is linked. The participation of these entities to this LIFE Programme should focus primarily on projects under sub-programme Nature and Biodiversity. |
(34) |
The Programme should be open to third countries in accordance with the agreements between the Union and those countries establishing the specific conditions for their participation. |
(35) |
Third countries which are members of the European Economic Area (EEA) may participate in Union programmes in the framework of the cooperation established under the EEA agreement, which provides for the implementation of the programmes by a decision under that agreement. Third countries may also participate on the basis of other legal instruments. A specific provision should be introduced in this Regulation to grant the necessary rights for and access to the authorizing officer responsible, the European Anti-Fraud Office (OLAF) as well as the European Court of Auditors to comprehensively exert their respective competences. |
(36) |
Pursuant to points 22 and 23 of the Inter-institutional agreement of 13 April 2016 on Better Law-Making, there is a need to evaluate the LIFE Programme on the basis of information collected through specific monitoring requirements, while avoiding overregulation and administrative burdens, in particular on Member States. These requirements, where appropriate, may include measurable indicators, as a basis for evaluating the effects of the LIFE Programme on the ground. The full impact of the LIFE Programme accrues through indirect, long-term and difficult-to-measure contributions towards achieving the full range of Union environment and climate objectives. For monitoring of the LIFE Programme, direct output indicators and tracking requirements set out in this Regulation should be complemented by aggregation of specific project level indicators to be described in multiannual work programmes or calls for proposals, inter alia regarding Natura 2000 and emissions of certain atmospheric pollutants. |
(36a) |
In order to ensure uniform conditions for the implementation of this Regulation relating to the adoption of the multiannual work programmes, implementing powers should be conferred on the Commission. Those powers should be exercised in accordance with Regulation (EU) No 182/2011 of the European Parliament and of the Council (33) . If the Committee for the LIFE Programme does not deliver any opinion on a draft implementing act, the Commission should, in accordance with the second subparagraph of Article 5(4) of Regulation (EU) No 182/2011, not adopt the draft implementing act. |
(37) |
In order to ensure that support from and implementation of the Programme is consistent with the policies and priorities of the Union, the power to adopt acts in accordance with Article 290 of the Treaty on the Functioning of the European Union should be delegated to the Commission , in order to amend the indicators or supplement this Regulation in respect of the indicators, and for the establishment of the monitoring and evaluation framework . It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement of 13 April 2016 on Better Law-Making. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. |
(38) |
Since the objectives of this Regulation, namely contributing to a high level of environmental protection and ambitious climate action with good governance and a multi-stakeholder approach sustainable development and to the achievement of the objectives and targets of the Union environment, biodiversity, climate , circular economy, and relevant renewable energy and energy efficiency legislation, strategies, plans or international commitments cannot be sufficiently achieved by the Member States but can rather, by reason of scale and effects of this Regulation, be better achieved at Union level, the Union may adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty on European Union. In accordance with the principle of proportionality as set out in that Article, this Regulation does not go beyond what is necessary in order to achieve those objectives. |
(39) |
Regulation (EU) No 1293/2013 should therefore be repealed, |
HAVE ADOPTED THIS REGULATION:
CHAPTER I
GENERAL PROVISIONS
Article 1
Subject matter
This Regulation establishes a Programme for the Environment and Climate Action (LIFE) (the ‘ LIFE Programme’).
It lays down the objectives of the LIFE Programme, the budget for the period 2021-2027, the forms of Union funding and the rules for providing such funding.
Article 2
Definitions
For the purposes of this Regulation, the following definitions apply:
(1) |
‘strategic nature projects’ means projects that support the achievement of Union nature and biodiversity objectives by implementing coherent programmes of action in the Member States to mainstream these objectives and priorities into other policies and financing instruments, including through coordinated implementation of the priority action frameworks established pursuant to Directive 92/43/EEC; |
(2) |
‘strategic integrated projects’ means projects that implement on a regional, multi-regional, national or transnational scale, environmental or climate strategies or action plans developed by Member States' authorities and required by specific environmental, climate or relevant ▌energy Union legislation or policy, while ensuring involvement of stakeholders and promoting the coordination with and mobilisation of at least one other Union, national or private funding source; |
(3) |
‘technical assistance projects’ means projects that support the development of capacity to participate in standard action projects, the preparation of strategic nature projects and strategic integrated projects, the preparation for accessing other Union financial instruments or other measures necessary for preparing the upscaling or replication of results from other projects funded by the LIFE Programme, its predecessor programmes or other Union programmes, in view of pursuing the objectives set out in Article 3. Such projects may also include capacity-building related to the activities of Member States authorities for effective participation in the LIFE Programme ; |
(4) |
‘standard action projects’ means projects, other than strategic integrated projects, strategic nature projects or technical assistance projects, that pursue the specific objectives of the Programme set out in Article 3(2); |
(5) |
‘blending operations’ means actions supported by the Union budget, including within blending facilities pursuant to Article 2(6) of Regulation (EU, Euratom) 2018/… (‘the Financial Regulation’), combining non-repayable forms of support and/or financial instruments from the Union budget with repayable forms of support from development or other public finance institutions, as well as from commercial finance institutions and investors; |
(6) |
‘legal entity’ means any natural or legal person created and recognised as such under national law, Union law or international law, which has legal personality and which may, acting in its own name, exercise rights and be subject to obligations, or an entity without a legal personality in accordance with Article 190(2)(c) of the Financial Regulation. |
Article 3
Programme objectives
1. The general objective of the LIFE Programme shall be to contribute to the shift towards a sustainable , circular, energy-efficient, renewable energy-based, climate-neutral and -resilient economy, to protect, restore and improve the quality of the environment , including the air, water and soil, and to halt and reverse biodiversity loss and to tackle the degradation of ecosystems, including through supporting the implementation and management of the Natura 2000 network , thereby contributing to sustainable development. The LIFE Programme shall also support the implementation of General action programmes adopted in accordance with Article 192(3) TFEU .
2. The LIFE Programme shall have the following specific objectives:
(a) |
to develop, demonstrate and promote innovative techniques , methods and approaches for reaching the objectives of the Union legislation and policy on environment , including nature and biodiversity, and on climate action, including the transition to renewable energy and increased energy efficiency , and to contribute to the knowledge base and to the application of best practice , in particular in relation to nature and biodiversity , including through the support of the Natura 2000 network ; |
(b) |
to support the development, implementation, monitoring and enforcement of the relevant Union legislation and policy on environment, including nature and biodiversity, and on climate action and the transition to renewable energy or increased energy efficiency , including by improving governance at all levels, in particular through enhancing capacities of public and private actors and the involvement of civil society; |
(c) |
to catalyse the large-scale deployment of successful technical and policy-related solutions for implementing the relevant Union legislation and policy on environment, including nature and biodiversity, and on climate action and the transition to renewable energy or increased energy efficiency by replicating results, integrating related objectives into other policies and into public and private sector practices, mobilising investment and improving access to finance. |
Article 4
▌Structure
The LIFE Programme shall be structured as follows:
(1) |
the field Environment, which includes:
|
(2) |
the field Climate Action, which includes:
|
Article 5
Budget
1. The financial envelope for the implementation of the Programme for the period 2021-2027 shall be EUR 6 442 000 000 in 2018 prices (EUR 7 272 000 000 in current prices).
2. The indicative distribution of the amount referred to in paragraph 1 shall be:
(a) |
EUR 4 715 000 000 in 2018 prices ( EUR 5 322 000 000 in current prices, which constitutes 73,2 % of the total financial envelope of the Programme ) for the field Environment, of which
|
(b) |
EUR 1 950 000 000 for the field Climate Action, of which
|
3. The amounts referred to in paragraphs 1 and 2 shall be without prejudice to provisions on flexibility set out in Regulation (EU) … of the European Parliament and of the Council (34) [the new Multiannual Financial Framework Regulation] and the Financial Regulation.
3a. Notwithstanding paragraph 2, at least 60 % of the budgetary resources allocated to projects supported by way of action grants under the field Environment referred to in point (a) in paragraph 2 shall be dedicated to grants for projects supporting the Sub-programme Nature and Biodiversity referred to in point i) of point (a) in paragraph 2.
4. The LIFE Programme may finance technical and administrative assistance activities by the Commission for the implementation of the LIFE Programme, such as preparatory, monitoring, control, audit and evaluation activities including corporate information technology systems and network activities supporting the LIFE Programme’s National Contact Points, including training, mutual learning activities and events to share experience .
5. The Programme may finance activities implemented by the Commission in support of the preparation, implementation and mainstreaming of Union environmental, climate or relevant ▌energy ▌legislation and policies for the purpose of achieving the objectives set out in Article 3. Such activities may include:
(a) |
information and communication, including awareness raising campaigns. Financial resources allocated to communication activities pursuant to this Regulation shall also cover corporate communication regarding the political priorities of the Union, as well as regarding the implementation and transposition status of Union environmental, climate or relevant energy legislation; |
(b) |
studies, surveys, modelling and scenario building; |
(c) |
preparation, implementation, monitoring, checking and evaluation of ▌ policies, programmes and legislation, as well as assessment and analysis of projects not funded by the LIFE Programme, if they serve the purposes of the objectives as set out in Article 3 ; |
(d) |
workshops, conferences and meetings; |
(e) |
networking and best-practice platforms; |
(f) |
other activities, such as prizes . |
Article 6
Third countries associated to the Programme
1. Subject to fully complying with all its rules and regulations, the Programme shall be open to the following third countries:
(a) |
European Free Trade Association (EFTA) members which are members of the European Economic Area (EEA), in accordance with the conditions laid down in the EEA agreement; |
(b) |
acceding countries, candidate countries and potential candidates, in accordance with the general principles and general terms and conditions for the participation of those countries in Union programmes established in the respective framework agreements and Association Council decisions, or similar agreements and in accordance with the specific conditions laid down in agreements between the Union and those countries; |
(c) |
countries covered by the European Neighbourhood Policy, in accordance with the general principles and general terms and conditions for the participation of those countries in Union programmes established in the respective framework agreements and association council decisions, or similar agreements, and in accordance with the specific conditions laid down in agreements between the Union and those countries; |
(d) |
other third countries, in accordance with the conditions laid down in a specific agreement covering the participation of the third country to any Union programme, provided that the agreement
|
2. Where a third country participates in the programme by a decision under an international agreement or by virtue of any other legal instrument, the third country shall grant the necessary rights and access required for the authorizing officer responsible, the European Anti-Fraud Office (OLAF), the European Court of Auditors to comprehensively exert their respective competences. In the case of OLAF, such rights shall include the right to carry out investigations, including on-the-spot checks and inspections, provided for in Regulation (EU, Euratom) No 883/2013 of the European Parliament and of the Council concerning investigations conducted by the European Anti-Fraud Office (OLAF).
Article 6a
International cooperation
In the course of implementing the LIFE Programme, cooperation with relevant international organisations, and with their institutions and bodies, shall be possible where needed for the purpose of achieving the general objectives set out in Article 3.
Article 7
Synergies with other Union programmes
The Commission shall facilitate the consistent implementation of the LIFE Programme and the Commission and the Member States shall facilitate coherence and coordination with the European Regional Development Fund, the European Social Fund+, the Cohesion Fund, the European Agricultural Fund for Rural Development, and the European Maritime and Fisheries Fund, Horizon Europe, the Connecting Europe Facility and InvestEU, in order to create synergies, particularly as regards strategic nature projects and strategic integrated projects, and to support the uptake and replication of solutions developed under the LIFE Programme. The Commission and Member States shall pursue complementarity at all levels.
Article 8
Implementation and forms of Union funding
1. The Commission shall implement the LIFE Programme ▌ in direct management in accordance with the Financial Regulation or in indirect management with bodies referred to in Article [61(1)(c)] of the Financial Regulation.
2. The LIFE Programme may provide funding in any of the forms laid down in the Financial Regulation, in particular grants, prizes and procurement. It may also provide financing in the form of financial instruments within blending operations.
2a. At least 85 % of the budget for the LIFE Programme shall be allocated to grants as referred to in Article 10(2) and 10(5), to projects financed through other forms of funding to the extent specified within the multiannual work programme, or, where appropriate and to the extent specified within the multiannual work programme referred to in Article 17, for financial instruments in the form of blending operations as referred to in Article 8(2). The Commission shall ensure that the projects financed by other forms of funding are fully in line with the objectives set out in Article 3 of this Regulation. The maximum amount allocated to grants as referred to in Article 10(3b) shall be 15 Mio EUR.
2b. The maximum co-financing rates for the eligible actions referred to in points (a), (b), (c) and (d) of Article 10(2) shall be up to 60 % of eligible costs and up to 75 % in the case of projects funded under the sub-programme Nature and Biodiversity, in particular those that concern priority habitats or species for the implementation of Directive 92/43/EEC or the species of birds considered as a priority for funding by the Committee for Adaptation to Technical and Scientific Progress set up pursuant to Article 16 of Directive 2009/147/EC, when necessary to achieve the conservation objective. For the actions referred to in Article 10(5), the maximum co-financing rate shall be 70 % of the eligible costs. Without prejudice to the relevant and determined maximum co-financing rates, specific rates shall be further specified in the multiannual work programme referred to in Article 17. They may be adapted in accordance with the requirements of each sub-programme, project type or type of grant.
For projects as described in art. 10(3b) the maximum co-financing rates shall not exceed 95 % of eligible costs for projects during the period of the first multiannual work programme; for the second multiannual work programme and subject to confirmation in this work programme, the co-financing rate shall be 75 % of eligible costs.
2c. Quality is the criterion governing the project evaluation and award process in the LIFE Programme. The Commission shall pursue an effective, quality-based geographical coverage across the Union, including by supporting Member States to increase the quality of the projects through capacity building.
CHAPTER II
ELIGIBILITY
Article 9
Grants
Grants under the LIFE Programme shall be awarded and managed in accordance with Title VIII of the Financial Regulation.
Article 10
Eligible actions
1. Only actions implementing the objectives referred to in Article 3 shall be eligible for funding.
2. Grants may finance the following types of action:
(a) |
strategic nature projects under the sub-programme referred to in point (1)(a) of Article 4; |
(b) |
strategic integrated projects under the sub-programmes referred to in points (1)(b), (2)(a) and 2(b) of Article 4; |
(c) |
technical assistance projects; |
(d) |
standard action projects; |
(e) |
other actions needed for the purpose of achieving the general objective set out in Article 3(1), including coordination and support actions aimed at capacity-building, dissemination of information and knowledge, and awareness raising to support the transition to renewable energy and increased energy efficiency. |
3. Projects under the sub-programme Nature and Biodiversity concerning the management, restoration and monitoring of Natura 2000 sites in accordance with Directives 92/43/EEC and 2009/147/EC shall take account of priorities set out in national and regional plans, strategies and policies on nature and biodiversity conservation, including in prioritised action frameworks established pursuant to Directive 92/43/EEC.
3a. Technical assistance projects for capacity building related to the activities of Member States’ authorities to improve the effective participation in the LIFE programme shall support activities of those Member States with low effective participation, with a view to improving the National Contact Points services across the EU and to increasing the overall quality of proposals submitted.
4. Grants may finance activities outside a Member State or an overseas country or territory linked to it , provided that the project pursues Union environmental and climate objectives and the activities outside the Union are necessary to ensure the effectiveness of interventions carried out in Member State territories or an overseas country or territory, or to support international agreements to which the Union is party .
5. Operating grants shall support the functioning of non-profit making entities which are involved in the development, implementation and enforcement of Union legislation and policy and which are primarily active in the field of environment or climate action, including energy transition , in line with the objectives of the LIFE Programme referred to in Article 3 .
Article 11
Eligible entities
1. The eligibility criteria set out in paragraph 2 to 3 shall apply in addition to the criteria set out in Article [197] of the Financial Regulation.
2. The following entities shall be eligible:
(a) |
legal entities established in any of the following countries or territories:
|
(b) |
any legal entity created under Union law or any international organisation. |
3. Natural persons shall not be eligible.
4. Legal entities established in a third country which is not associated to the Programme are exceptionally eligible to participate where this is necessary for the achievement of the objectives of a given action to ensure the effectiveness of interventions carried out in the Union.
5. Legal entities participating in consortia of at least three independent entities, established in different Member States or overseas countries or territories linked to those states or third countries associated to the Programme or other third countries, are eligible.
6. Legal entities established in a third country which is not associated to the Programme should in principle bear the cost of their participation.
6a. In order to ensure effective use of the Programme’s funds and efficient participation by the legal entities referred to in paragraph 4, the Commission is empowered to adopt delegated acts in accordance with Article 21 to supplement this Article by laying down the extent to which participation by those legal entities in the environmental and climate policy conducted by the Union is sufficient for them to be considered eligible for the Programme .
Article 12
Direct award
Without prejudice to Article [188] of the Financial Regulation, grants may be awarded without a call for proposals to the bodies listed in Annex I.
Article 13
Specification of award criteria
The Commission shall set out award criteria in the multiannual work programme referred to in Article 17 and the calls for proposals taking into account the following principles :
(a) |
projects financed by the LIFE Programme shall be of Union interest by making a significant contribution to the achievement of and shall not undermine the general and specific objectives of the LIFE Programme referred to in Article 3 and , whenever possible, shall promote the use of green public procurement; |
(aa) |
projects shall ensure a cost-effective approach and be technically and financially coherent; |
(ab) |
projects with the highest potential contribution for the achievement of the objectives set out in Article 3 shall be given priority; |
(b) |
projects that provide co-benefits and promote synergies between the sub-programmes referred to in Article 4 shall benefit from a bonus in their evaluation ; |
(c) |
projects with the highest potential of being replicated and taken-up by the public or private sector or of mobilising the largest investments or financial resources (catalytic potential) shall benefit from a bonus in their evaluation ; |
(d) |
the replicability of standard action project results shall be ensured; |
(e) |
projects that build on or upscale the results of other projects funded by the LIFE Programme, its predecessor programmes or with other Union funds shall benefit from a bonus in their evaluation; |
(f) |
where appropriate, special regard shall be given to projects in geographical areas with specific needs or vulnerabilities, such as areas with specific environmental challenges or natural constraints, trans-border areas, areas of high natural value or outermost regions. |
Article 14
Eligible costs related to purchase of land
In addition to the criteria set out in Article [186] of the Financial Regulation, costs relating to the purchase of land shall be considered eligible provided that the following conditions are fulfilled:
(a) |
the purchase will contribute to improving, maintaining and restoring the integrity of the Natura 2000 network set up pursuant to Article 3 of Directive 92/43/EEC, including through improving connectivity by the creation of corridors, stepping stones, or other elements of green infrastructure; |
(b) |
land purchase is the only or most cost-effective way of achieving the desired conservation outcome; |
(c) |
the land purchased is reserved in the long term for uses consistent with the specific objectives of the LIFE Programme; |
(d) |
the Member State concerned ensures, by way of transfer or otherwise, the long-term assignment of such land to nature conservation purposes. |
Article 15
Cumulative, complementary and combined funding
1. An action that has received a contribution from another Union programme may also receive a contribution under the LIFE Programme, provided that the contributions do not cover the same costs and that the action pursues the environmental or climate objectives set out in Article 3, and does not undermine any of them . The rules of each contributing Union programme shall apply to its respective contribution to the action. The cumulative funding shall not exceed the total eligible costs of the action and the support from the different Union programmes may be calculated on a pro-rata basis in accordance with the documents setting out the conditions for support.
2. Actions awarded a Seal of Excellence certification, or which comply with the following cumulative, comparative conditions:
(a) |
they have been assessed in a call for proposals under the LIFE Programme; |
(b) |
they comply with the minimum quality requirements of that call for proposals; |
(c) |
they may not be financed under that call for proposals due to budgetary constraints. |
may receive support from the European Regional Development Fund, the Cohesion Fund, the European Social Fund+ or the European Agricultural Fund for Rural Development, in accordance with paragraph 5 of Article 67 of Regulation (EU) XX [Common Provisions Regulation] and Article 8 or Regulation (EU) XX [Financing, management and monitoring of the Common Agricultural Policy], provided that such actions are consistent with the objectives and eligibility criteria of the programme concerned. The rules of the Fund providing support shall apply.
CHAPTER III
BLENDING OPERATIONS
Article 16
Blending operations
Blending operations under the LIFE Programme shall be implemented in accordance with the Invest EU Regulation and Title X of the Financial Regulation , with due regard to sustainability and transparency requirements .
CHAPTER IV
PROGRAMMING, MONITORING, REPORTING AND EVALUATION
Article 17
Multiannual work programme
1. The Commission shall , by means of implementing acts, adopt multiannual work programmes for the LIFE Programme. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 20a(2).
2. Each multiannual work programme shall specify, in line with the objectives set out in Article 3, the following:
(a) |
the allocation of funds within each sub-programme between needs thereunder and between different types of funding, as well as the maximum total amount allocated to grants as referred to in Article 10(2)(a) and 10(2)(b) ; |
(aa) |
the maximum total amount for financial instruments within blending operations under the LIFE Programme, where applicable; |
(ab) |
the maximum total amount for grants to be awarded to the bodies listed in Annex I in accordance with Article 12; |
(b) |
the project topics or specific needs for which there is pre-allocation of funding for the projects referred to in points (c) and (d) of Article 10(2); |
(c) |
the strategies and plans targeted by strategic integrated projects for which funding may be requested for projects as referred to in point (b) of Article 10(2); |
(d) |
the maximum eligibility period for the implementation of the project; |
(da) |
indicative timetables for the calls for proposals for the period covered by the multiannual work programme ; |
(db) |
the technical methodology for the project submission and selection procedure and the award criteria in accordance with the elements referred to in Article 13; |
(dc) |
the specification of the co-financing rates referred to in Article 8(2b); |
(dd) |
the maximum co-financing rates for the eligible actions referred to in Article 10(2) e; |
(de) |
detailed rules concerning the application of cumulative, complementary and combined funding, where relevant; |
(df) |
the specification of low effective participation and eligible activities and award criteria for technical assistance projects for the capacity building related to the activities of Member States’ authorities for the effective participation in the LIFE programme. |
2a. The duration of the first multiannual work programme shall be four years and the duration of the second multiannual work programme shall be three years.
2b. In the framework of the multiannual work programmes the Commission shall publish calls of proposals for the covered period. The Commission shall ensure that unused funds in a given call for proposals are reallocated between the different types of actions referred to in Article 10(2) within the same field.
2c. The Commission shall ensure stakeholder consultation in the development of the multiannual work programmes.
Article 18
Monitoring and reporting
1. The Commission shall report on progress of the LIFE Programme towards the achievement of the objectives set out in Article 3 based on the indicators contained in Annex II.
2. To ensure effective assessment of progress of the LIFE Programme towards the achievement of its objectives, the Commission is empowered to adopt delegated acts in accordance with Article 21 to amend Annex II to review or complement the indicators where considered necessary , including in view of their alignment with indicators set out for other Union programmes, and to supplement this Regulation with provisions on the establishment of a monitoring and evaluation framework.
2a. The Commission shall be empowered to adopt delegated acts in accordance with Article 21 to define on the basis of Annex II specific indicators for each sub-programme and type of projects.
3. The Commission shall ensure that data for monitoring programme implementation and results are collected efficiently, effectively, and in a timely manner. To that end and according to relevant methodologies , proportionate reporting requirements shall be imposed on recipients of Union funds to enable the collection of aggregable project-level output and impact indicators, for all relevant specific environment and climate policy objectives, including in relation to Natura 2000 and the emissions of certain atmospheric air pollutants, including CO2.
4. The Commission shall regularly monitor and report on mainstreaming of climate and biodiversity objectives, including the amount of expenditure. The contribution of this Regulation to the budget-wide target of 25 % of expenditure contributing to climate objectives shall be tracked through the Union climate marker system. Biodiversity-related spending shall be tracked using a specific set of markers. Those tracking methods shall be used to quantify the commitment appropriations expected to contribute respectively to climate and to biodiversity objectives over the Multiannual Financial Framework for 2021-2027 at the appropriate level of disaggregation. The spending shall be presented annually in the budget Programme Statement. The contribution of the Programme to Union climate and biodiversity objectives shall be reported regularly in the context of evaluations and the annual report.
5. The Commission shall assess synergies between the LIFE Programme and other complementary Union programmes and between its sub-programmes.
Article 19
Evaluation
1. The Commission shall carry out evaluations▌ in a timely manner to feed into the decision-making process with due regard to coherence, synergies, Union added value and long-term sustainability, using Union’s climate and environment priorities .
2. The Commission shall perform the mid-term evaluation of the LIFE Programme▌ once there is sufficient information available about the implementation of the Programme, but no later than 42 months after the start of the LIFE Programme implementation , making use of the output and result indicators as set in accordance with Annex II .
The evaluation shall cover at least the following:
(a) |
qualitative and quantitative aspects of the implementation of the Programme; |
(b) |
efficiency of the use of resources; |
(c) |
the degree to which the objectives of all the measures have been achieved, specifying where possible, results and impacts; |
(d) |
the actual or expected success of projects in leveraging other Union funds, taking into account, in particular, the benefits of increased coherence with other Union financial instruments; |
(e) |
the extent to which synergies between the objectives have been reached and its complementarity with other relevant Union programmes; |
(f) |
the Union added value and long-term impact of the LIFE Programme, with a view to taking a decision on the renewal, modification or suspension of the measures; |
(g) |
the extent to which stakeholders have been involved; |
(h) |
a quantitative and qualitative analysis of the contribution of the LIFE Programme to the conservation status of habitats and species listed under Directives 92/43/EEC and 2009/147/EC; |
(i) |
an analysis of the geographical coverage across the Union, as referred to in article 8(2c), and, if no such coverage is reached, an analysis of the underlying reasons. |
3. At the end of the implementation of the LIFE Programme, but no later than four years after the end of the period specified in the second paragraph of Article 1, a final evaluation of the LIFE Programme shall be carried out by the Commission.
4. The Commission shall communicate the conclusions of the evaluations accompanied by its observations, to the European Parliament, the Council, the European Economic and Social Committee and the Committee of the Regions and the Commission shall make the results of the evaluations publicly available .
CHAPTER V
TRANSITIONAL AND FINAL PROVISIONS
Article 20
Information, communication and publicity
1. The recipients of Union funding shall acknowledge the origin and ensure the visibility of the Union funding (in particular when promoting the projects and their results), by providing coherent, effective and proportionate targeted information to multiple audiences, including the media and the public. For this purpose, the recipients shall use the LIFE Programme logo, depicted in Annex IIa, or, where this is not feasible, mention the LIFE Programme for all communication activities and appear on notice boards at strategic places visible to the public. All durable goods acquired in the framework of the LIFE Programme shall bear the LIFE Programme logo except in cases specified by the Commission.
2. The Commission shall implement information and communication actions relating to the LIFE Programme, and its actions and results. Financial resources allocated to the LIFE Programme shall also contribute to the corporate communication of the political priorities of the Union, as far as they are related to the objectives referred to in Article 3.
Article 20a
Committee procedure
1. The Commission shall be assisted by the Committee for the LIFE Programme. That committee shall be a committee within the meaning of Regulation (EU) No 182/2011.
2. Where reference is made to this paragraph, Article 5 of Regulation (EU) No 182/2011 shall apply.
3. Where the Committee delivers no opinion, the Commission shall not adopt the draft implementing act and the third subparagraph of Article 5(4) of Regulation (EU) No 182/2011 shall apply.
4. The Commission shall report annually to the Committee on the overall progress of the implementation of the sub-programmes and on particular actions, inter alia on blending operations implemented through budgetary resources allocated from the LIFE Programme.
Article 21
Exercise of the delegation
1. The power to adopt delegated acts is conferred on the Commission subject to the conditions laid down in this Article.
2. The power to adopt delegated acts referred to in Articles 18(2) and (2a) shall be conferred on the Commission until 31 December 2028.
3. The delegation of power referred to in Articles 18(2) and (2a) may be revoked at any time by the European Parliament or by the Council. A decision to revoke shall put an end to the delegation of the power specified in that decision. It shall take effect the day following the publication of the decision in the Official Journal of the European Union or at a later date specified therein. It shall not affect the validity of any delegated acts already in force.
4. Before adopting a delegated act, the Commission shall consult experts designated by each Member State in accordance with the principles laid down in the Interinstitutional Agreement of 13 April 2016 on Better Law-Making.
5. As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the European Parliament and to the Council.
6. A delegated act adopted pursuant to Articles 18(2) and (2a) shall enter into force only if no objection has been expressed either by the European Parliament or the Council within a period of two months of notification of that act to the European Parliament and the Council or if, before the expiry of that period, the European Parliament and the Council have both informed the Commission that they will not object. That period shall be extended by two months at the initiative of the European Parliament or of the Council.
Article 22
Repeal
Regulation (EU) No 1293/2013 shall be repealed with effect from 1 January 2021.
Article 23
Transitional provisions
1. This Regulation shall not affect the continuation or modification of the actions concerned, until their closure, under Regulation (EC) No 614/2007 of the European Parliament and of the Council (35) and under Regulation (EU) No 1293/2013, which shall continue to apply to the projects concerned until their closure.
2. The financial envelope for the LIFE Programme may also cover technical and administrative assistance expenses necessary to ensure the transition between the LIFE Programme and the measures adopted under Regulations (EC) No 614/2007 and (EU) No 1293/2013.
3. If necessary, appropriations may be entered in the budget beyond 31 December 2027 to cover the expenses provided for in Article 5(4), to enable the management of projects not completed by that date.
4. Reflows from financial instruments established under Regulation (EU) No 1293/2013 may be invested in the financial instruments established under [InvestEU Fund].
5. The appropriations corresponding to assigned revenue arising from the repayment of amounts wrongly paid pursuant to Regulation (EC) No 614/2007 or Regulation (EU) No 1293/2013 shall be used, in accordance with Article 21 of Regulation (EU, Euratom) No 966/2012 of the European Parliament and of the Council (36), to finance the LIFE Programme.
Article 24
Entry into force
This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at …,
For the European Parliament
The President
For the Council
The President
(1) OJ C , , p. .
(2) OJ C , , p. .
(3) Position of the European Parliament of 17 April 2019. The underlined text has not been agreed in the framework of interinstitutional negotiations.
(4) Regulation (EU) No 1293/2013 of the European Parliament and of the Council of 11 December 2013 on the establishment of a Programme for the Environment and Climate Action (LIFE) and repealing Regulation (EC) No 614/2007 (OJ L 347, 20.12.2013, p. 185).
(5) Report on the Mid-term Evaluation of the Programme for Environment and Climate Action (LIFE) (SWD(2017)0355).
(6) Decision No 1386/2013/EU of the European Parliament and of the Council of 20 November 2013 on a General Union Environment Action Programme to 2020 ‘Living well, within the limits of our planet’ (OJ L 354, 28.12.2013, p. 171).
(7) Agenda 2030, Resolution adopted by UN GA on 25/09/2015.
(8) 93/626/EEC: Council Decision of 25 October 1993 concerning the conclusion of the Convention on Biological Diversity, (OJ L 309, 13.12.1993, p. 1).
(9) OJ L 282, 19.10.2016, p. 4.
(10) Horizon 2020 Part III ‘Secure, clean and efficient energy’ (Societal Challenges) (Council Decision 2013/743/EU of 3 December 2013 establishing the specific programme implementing Horizon 2020 — the Framework Programme for Research and Innovation (2014-2020) and repealing Decisions 2006/971/EC, 2006/972/EC, 2006/973/EC, 2006/974/EC and 2006/975/EC (OJ L 347, 20.12.2013, p. 965)).
(11) Directive (EU) 2018/2002 of the European Parliament and of the Council of 11 December 2018 amending Directive 2012/27/EU on energy efficiency (OJ L 328, 21.12.2018, p. 210).
(12) Communication from the Commission to the European Parliament, the Council, the European Economic and Social Committee and the Committee of the Regions — The EU Environmental Implementation Review: Common challenges and how to combine efforts to deliver better results (COM(2017)0063).
(13) COM(2011)0244.
(14) Council Directive 92/43/EEC of 21 May 1992 on the conservation of natural habitats and of wild fauna and flora (OJ L 206, 22.7.1992, p. 7).
(15) Directive 2009/147/EC of the European Parliament and of the Council of 30 November 2009 on the conservation of wild birds (OJ L 20, 26.1.2010, p. 7).
(16) Regulation (EU) No 1143/2014 of the European Parliament and of the Council of 22 October 2014 on the prevention and management of the introduction and spread of invasive alien species (OJ L 317, 4.11.2014, p. 35).
(17) SEC(2017)0250.
(18) Directive 2002/49/EC of the European Parliament and of the Council of 25 June 2002 relating to the assessment and management of environmental noise — Declaration by the Commission in the Conciliation Committee on the Directive relating to the assessment and management of environmental noise (OJ L 189, 18.7.2002, p. 12).
(19) Directive (EU) 2016/2284 of the European Parliament and of the Council of 14 December 2016 on the reduction of national emissions of certain atmospheric pollutants, amending Directive 2003/35/EC and repealing Directive 2001/81/EC (OJ L 344, 17.12.2016, p. 1).
(20) Directive 2000/60/EC of the European Parliament and of the Council of 23 October 2000 establishing a framework for Community action in the field of water policy (OJ L 327, 22.12.2000, p. 1).
(21) Directive 2008/56/EC of the European Parliament and of the Council of 17 June 2008 establishing a framework for community action in the field of marine environmental policy (Marine Strategy Framework Directive) (OJ L 164, 25.6.2008, p. 19).
(22) OJ L 124, 17.5.2005, p. 4.
(23) Doc. 13715/17 - COM(2017)0623.
(24) Doc. 5485/18 — COM(2018)0010, p. 5.
(25) OJ C 373, 20.12.2013, p. 1.
(26) Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council of 18 July 2018 on the financial rules applicable to the general budget of the Union, amending Regulations (EU) No 1296/2013, (EU) No 1301/2013, (EU) No 1303/2013, (EU) No 1304/2013, (EU) No 1309/2013, (EU) No 1316/2013, (EU) No 223/2014, (EU) No 283/2014, and Decision No 541/2014/EU and repealing Regulation (EU, Euratom) No 966/2012 (OJ L 193, 30.7.2018, p. 1).
(27) Regulation (EU, Euratom) No 883/2013 of the European Parliament and of the Council of 11 September 2013 concerning investigations conducted by the European Anti-Fraud Office (OLAF) and repealing Regulation (EC) No 1073/1999 of the European Parliament and of the Council and Council Regulation (Euratom) No 1074/1999 (OJ L 248, 18.9.2013, p. 1).
(28) Council Regulation (EC, Euratom) No 2988/95 of 18 December 1995 on the protection of the European Communities financial interests (OJ L 312, 23.12.1995, p. 1).
(29) Council Regulation (Euratom, EC) No 2185/96 of 11 November 1996 concerning on-the-spot checks and inspections carried out by the Commission in order to protect the European Communities' financial interests against fraud and other irregularities (OJ L 292, 15.11.1996, p. 2).
(30) [Full title + OJ L info].
(31) Directive (EU) 2017/1371 of the European Parliament and of the Council of 5 July 2017 on the fight against fraud to the Union's financial interests by means of criminal law (OJ L 198, 28.7.2017, p. 29).
(32) Council Decision 2013/755/EU of 25 November 2013 on the association of the overseas countries and territories with the European Union (Overseas Association Decision) (OJ L 344, 19.12.2013, p. 1).
(33) Regulation (EU) No 182/2011 of the European Parliament and the Council of 16 February 2011 laying down the rules and general principles concerning mechanisms for control by Member States of the Commission’s exercise of implementing powers (OJ L 55, 28.2.2011, p. 13).
(34) [Please insert full title and OJ info].
(35) Regulation (EC) No 614/2007 of the European Parliament and of the Council of 23 May 2007 concerning the Financial Instrument for the Environment (LIFE+) (OJ L 149, 9.6.2007, p. 1).
(36) Regulation (EU, Euratom) No 966/2012 of the European Parliament and of the Council of 25 October 2012 on the financial rules applicable to the general budget of the Union and repealing Council Regulation (EC, Euratom) No 1605/2002 (OJ L 298, 26.10.2012, p. 1).
ANNEX I
Bodies to which grants may be awarded without a call for proposals
1. |
European Union Network for the Implementation and Enforcement of Environmental Law (IMPEL); |
2. |
European Network of Prosecutors for the Environment (ENPE); |
3. |
European Union Forum of Judges for the Environment (EUFJE). |
ANNEX II
Indicators
1. Output indicators
1.1. |
Number of projects developing, demonstrating and promoting innovative techniques and approaches; |
1.2. |
Number of projects applying best practice in relation to nature and biodiversity; |
1.3. |
Number of projects for the development, implementation, monitoring or enforcement of the relevant Union legislation and policy; |
1.4. |
Number of projects improving governance through enhancing capacities of public and private actors and the involvement of civil society; |
1.5. |
Number of projects
, including strategic integrated and strategic nature projects,
implementing
|
2. Result indicators
2.1. |
Net change to the environment and climate, based on the aggregation of project level indicators to be specified in the calls for proposals under the sub-programmes for
|
2.2. |
Cumulative investments triggered by the projects or finance accessed (million EUR); |
2.3. |
Number of organisations involved in projects or receiving operating grants; |
2.4. |
Share of projects having had a catalytic effect after the end date of the project. |
ANNEX IIa
Programme logo
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/501 |
P8_TA(2019)0406
Justice programme ***I
European Parliament legislative resolution of 17 April 2019 on the proposal for a regulation of the European Parliament and of the Council establishing the Justice programme (COM(2018)0384 — C8-0235/2018 — 2018/0208(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/53)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2018)0384), |
— |
having regard to Article 294(2), Article 81(1) and (2) and Article 82(1) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0235/2018), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
Having regard to the opinion of the European Economic and Social Committee of 18 October 2018 (1), |
— |
After consulting the Committee of the Regions, |
— |
having regard to the letter from its President to the committee chairs of 25 January 2019 outlining the Parliament's approach to the Multiannual Financial Framework (MFF) post-2020 sectorial programmes, |
— |
having regard to the letter from the Council to the President of the European Parliament of 1 April 2019 confirming the common understanding reached between the co-legislators during negotiations, |
— |
having regard to Rule 59 of its Rules of Procedure, |
— |
having regard to the joint deliberations of the Committee on Legal Affairs and the Committee on Civil Liberties, Justice and Home Affairs under Rule 55 of the Rules of Procedure, |
— |
having regard to the report of the Committee on Legal Affairs and the Committee on Civil Liberties, Justice and Home Affairs and the opinions of the Committee on Budgets, the Committee on Budgetary Control and the Committee on Women's Rights and Gender Equality (A8-0068/2019), |
1. |
Adopts its position at first reading hereinafter set out (2); |
2. |
Recalls its resolution of 14 March 2018 on the next MFF: Preparing the Parliament’s position on the MFF post-2020 (3); reiterates its support for programmes in the areas of culture, education, media, youth, sport, democracy, citizenship and civil society that have clearly demonstrated their European added value and enjoy lasting popularity among beneficiaries; reiterates that a stronger and a more ambitious Union can only be achieved if it is provided with reinforced financial means; calls, therefore, for providing continuous support to existing policies, for increasing resources to the Union’ flagship programmes, and for additional responsibilities to be matched with additional financial means; |
3. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
4. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
(1) OJ C 62, 15.2.2019, p. 178.
(2) This position replaces the amendments adopted on 13 February 2019 (Texts adopted, P8_TA(2019)0097).
(3) Text adopted, P8_TA(2018)0075.
P8_TC1-COD(2018)0208
Position of the European Parliament adopted at first reading on 17 April 2019 with a view to the adoption of Regulation (EU) 2019/… of the European Parliament and of the Council establishing the Justice programme
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on the Functioning of the European Union, and in particular, Article 81(1) and (2), Article 82(1) thereof,
Having regard to the proposal from the European Commission,
After transmission of the draft legislative act to the national parliaments,
Having regard to the opinion of the European Economic and Social Committee (1),
After consulting the Committee of the Regions,
Acting in accordance with the ordinary legislative procedure (2),
Whereas:
(1) |
According to Article 2 of the Treaty on European Union, ‘the Union is founded on the values of respect for human dignity, freedom democracy, equality, the rule of law and the respect for human rights, including the rights of the persons belonging to minorities. These values are common to the Member States in a society where pluralism, non-discrimination, tolerance, justice, solidarity and equality between women and men prevail’. Article 3 further specifies that the ‘Union’s aim is to promote peace, its values and the well-being of its people’ and, among others, ‘it shall respect its rich cultural and linguistic diversity, and shall ensure that Europe’s cultural heritage is safeguarded and enhanced’. These values are further reaffirmed and articulated in the rights, freedoms and principles enshrined in the Charter of Fundamental Rights of the European Union (‘the Charter’). |
(2) |
Those rights and values must continue to be actively cultivated, protected and promoted and enforced and shared among the citizens and peoples ▌ and be at the heart of the EU project, given that deterioration in the protection of those rights and values in any Member State can have detrimental effects on the Union as a whole. Therefore, a new Justice, Rights and Values Fund, comprising the Citizens, Equality, Rights and Values and the Justice programmes shall be created in the EU budget. At a time where European societies are confronted with extremism, radicalism and divisions and a shrinking space for independent civil society , it is more important than ever to promote, strengthen and defend justice, rights and EU values: human rights, respect for human dignity, freedom, democracy, equality, the rule of law. This will have profound and direct implications for political, social, cultural and economic life in the EU. As ▌ part of the new Fund, the Justice Programme will continue to support the further development of Union area of justice based on the rule of law, independence and impartiality of the judiciary, on mutual recognition and mutual trust, access to justice and cross-border cooperation. The Citizens, Equality, Rights and Values Programme will bring together the 2014-2020 Programme Rights, Equality and Citizenship ▌ established by Regulation (EU) No 1381/2013 of the European Parliament and of the Council (3) and the Europe for Citizens programme established by Council Regulation (EU) No 390/2014 ▌ (4) (hereafter ‘the predecessor Programmes ’). |
(3) |
The Justice, Rights and Values Fund and its two underlying funding programmes will focus ▌on persons and entities, which contribute to make our common values, equality, rights and rich diversity alive and vibrant. The ultimate objective is to nurture and sustain a rights-based, equal, open, pluralist, inclusive and democratic society. That includes a vibrant and empowered civil society as a key stakeholder , encouraging people’s democratic, civic and social participation and cultivating the rich diversity of European society, ▌ based on our common values, history and memory. Article 11 of the ▌ Treaty of the European Union requires that the institutions of the Union maintain an open, transparent and regular dialogue with civil society and , by appropriate means, give citizens and representative associations the opportunity to make known and publicly exchange their views in all areas of Union action. |
(4) |
The Treaty on the Functioning of the European Union (TFEU) provides for the creation of an area of freedom, security and justice, with respect for fundamental rights and the different legal systems and traditions of the Member States. Respect for and promotion of the rule of law, fundamental rights and democracy within the Union are prerequisites for upholding all rights and obligations enshrined in the Treaties, and for building people's trust in the Union. The way in which the rule of law is implemented in the Member States plays a vital role in ensuring mutual trust among Member States and between their legal systems. To that end, the Union may adopt measures to develop judicial cooperation in civil and criminal matters ▌. Respect for fundamental rights as well as for common principles and values, such as non-discrimination and equal treatment on the basis of any of the grounds listed in Article 21 of the Charter, solidarity , effective access to justice for all, the rule of law , democracy and a well-functioning independent judicial system should be ensured and fostered at all levels in the further development of a European area of justice. |
(5) |
Financing should remain one of the important tools for the successful implementation of the ambitious goals set by the Treaties. They should be attained inter alia by establishing a flexible and effective Justice Programme which should facilitate planning and implementation of those goals. The Programme should be implemented in a user friendly way (i.e. user friendly application and reporting procedure) and should aim at balanced geographical coverage. Particular attention should be paid to the Programme accessibility to all types of beneficiaries. |
(6) |
For the gradual establishment of an area of freedom, security and justice for all , the Union is to adopt measures relating to judicial cooperation in civil and criminal matters based on the principle of mutual recognition of judgments and judicial decisions, which is a cornerstone of judicial cooperation within the Union since the Tampere European Council of 15 and 16 October 1999. Mutual recognition requires a high level of mutual trust among Member States. Measures to approximate the laws of the Member States in several areas have been adopted to facilitate mutual recognition and foster mutual trust. A well-functioning area of justice, where obstacles in cross-border judicial proceedings and access to justice in cross-border situations are eliminated, is also key to ensure economic growth and further integration . At the same time, a properly functioning European area of justice and of efficient, independent and quality national legal systems, as well as greater mutual trust, are necessary for a flourishing internal market and for upholding the common values of the Union . |
(6 a) |
Access to justice should include, in particular, access to courts, to alternative methods of dispute settlement, and to public office-holders who are obliged by the law to provide parties with independent and impartial legal advice. |
(7) |
Full respect and promotion of the rule of law is essential for a high level of mutual trust in the area of justice and home affairs, in particular for effective judicial cooperation in civil and criminal matters which is based on mutual recognition. The rule of law is one of the common values enshrined in Article TEU 2, and the principle of effective judicial protection provided for in Articles 19(1) TEU and 47 of the Charter of Fundamental Rights is a concrete expression of the rule of law. Promoting the rule of law by supporting the efforts to improve the independence, transparency, accountability, quality and efficiency of national justice systems enhances the mutual trust which is indispensable for judicial cooperation in civil and criminal matters. Judicial independence and impartiality forms part of the essence of the right to a fair trial and are key for the protection of European values. Furthermore, having efficient justice systems with reasonable time limits for proceedings serves legal certainty for all parties concerned. |
(8) |
Pursuant to Articles 81(2)(h) and 82(1)(c) of the Treaty on the Functioning of the EU, the Union shall support the training of the judiciary and judicial staff as a tool to improve judicial cooperation in civil, and criminal matters based on the principle of mutual recognition of judgments and of judicial decisions. Training of justice professionals is an important tool to develop a common understanding of how best to implement and uphold the rule of law and fundamental rights . It contributes to the building of the European area of justice by creating a common judicial culture among justice professionals of the Member States. It is essential to ensure the non-discriminatory, correct and coherent application of law in the Union and mutual trust and understanding between justice professionals in cross-border proceedings. The training activities supported by the Programme should be based on sound training needs’ assessments, use state of the art training methodology, include cross-border events gathering justice professionals of different Member States, comprise active learning and networking elements and be sustainable. Such activities should include training on legal terminology, civil and criminal law, fundamental rights and on mutual recognition and procedural safeguards. It should include training courses for judges, lawyers and prosecutors about the challenges and obstacles experienced by people who often face discrimination or are in a vulnerable situation, such as women, children, minorities, LGBTQI persons, persons with disabilities, victims of gender-based violence, domestic violence or violence in intimate relationships and other forms of interpersonal violence. Such training courses should be organised with the direct involvement of organisations representing or supporting such persons and where possible, the involvement of such persons. Taking into account that women judges are underrepresented in the top positions, female judges, prosecutors and other legal professions should be encouraged to participate in the training activities. |
(8 a) |
For the purposes of this Regulation, the term ‘judiciary and judicial staff’ should be interpreted extensively so as to include judges, prosecutors, court and prosecutor’s office staff, as well as any other justice professionals associated with the judiciary or otherwise participating in the administration of justice, irrespective of their national definition, legal status and internal organisation, such as lawyers, notaries, bailiffs or enforcement officers, insolvency practitioners, mediators, court interpreters and translators, court experts, prison staff, probation officers. |
(9) |
Judicial training can involve different actors, such as Member States’ legal, judicial and administrative authorities, academic institutions, national bodies responsible for judicial training, European-level training organisations or networks, or networks of court coordinators of Union law. Bodies and entities pursuing a general European interest in the field of training of the judiciary, such as the European Judicial Training Network (‘EJTN’), the Academy of European Law (‘ERA’), the European Network of Councils for the Judiciary (‘ENCJ’), the Association of the Councils of State and Supreme Administrative Jurisdictions of the European Union (‘ACA-Europe’), the Network of the Presidents of Supreme Judicial Courts of the European Union (‘RPCSJUE’) and the European Institute of Public Administration (‘EIPA’), should continue to play their role in promoting training programmes with a genuine European dimension for the judiciary and judicial staff, and could therefore be granted adequate financial support in accordance with the procedures and the criteria set out in the ▌ work programmes adopted by the Commission pursuant to this Regulation. |
(10) |
The programme should support the annual work programme of EJTN, which is an essential actor of judicial training. The EJTN is in a exceptional situation, insofar as it is the only network at Union level gathering the judicial training bodies of the Member States. It is in a unique position to organise exchanges for new and experienced judges and prosecutors between all Member States and to coordinate the work of the national judicial training bodies regarding the organisation of training activities on Union law and the promotion of good training practices. The EJTN is also a provider of training activities of excellent quality delivered in a cost-efficient manner at Union level. Moreover, it comprises the judicial training bodies of candidate countries as observer members. The EJTN annual report should include information on the training provided disaggregated also by staff category. |
(11) |
Measures under the Programme should support enhanced mutual recognition of judicial decisions and judgments in civil and criminal matters, mutual trust between Member States and the necessary approximation of legislation that will facilitate cooperation between all the relevant authorities, including by electronic means. It should also support the judicial protection of individual rights in civil and commercial matters. The Programme should also advance ▌ greater convergence in civil law that will help to eliminate obstacles to good and efficient functioning judicial and extra-judicial procedures in benefit of all parties in a civil dispute. Finally, in order to support the effective enforcement and practical application of the Union law on judicial cooperation in civil matters, the Programme should support the functioning of the European Judicial Network in Civil and Commercial matters established by Council Decision 2001/470/EC. In criminal matters, the programme should help fostering and implementing rules and procedures for ensuring recognition of judgement and decisions throughout the Union. It should facilitate cooperation and contribute to eliminating obstacles to good cooperation and to mutual trust. The Programme should also contribute to improving access to justice, by promoting and supporting the rights of victims of crime as well as the procedural rights of suspects and accused persons in criminal proceedings. |
(12) |
Pursuant to Article 3(3) of the TEU, Article 24 of the Charter and the 1989 United Nations Convention on the Rights of the Child, the Programme should support the protection of the rights of the child, and should mainstream the promotion of the rights of the child in the implementation of all of its actions. To this purpose, particular attention should be given to actions aimed at the protection of the rights of children in the context of civil and criminal justice, including the protection of children accompanying parents in detention, children of imprisoned parents and children who are suspects or accused persons in criminal proceedings. |
(13) |
The 2014-2020 Programme has enabled training activities on Union law, in particular on the scope and application of the Charter, targeted at members of the judiciary and other legal practitioners. In its conclusions of 12 October 2017 on the application of the Charter in 2016, the Council recalled the importance of awareness-raising on the application of the Charter, including among policymakers, legal practitioners and the rights holders themselves, at national as well as at Union level. Therefore, to mainstream fundamental rights in a consistent way, it is necessary to extend financial support to awareness –raising activities for other public authorities than judicial authorities and legal practitioners. |
(14) |
Pursuant to Article 67 TFEU, the Union should constitute an area of freedom, security and justice with respect for fundamental rights, to which non-discriminatory access to justice for all is instrumental. In order to facilitate effective access to justice, and with a view to foster the mutual trust which is indispensable for the good functioning of the area of freedom, security and justice, it is necessary to extend financial support to activities of other authorities than judicial authorities at national, regional and local level, and legal practitioners, as well as of civil society organisations, which contribute to these objectives. Support should be given, in particular, to activities which facilitate effective and equal access to justice for persons who often face discrimination or are in a vulnerable situation. It is important to support advocacy activities of civil society organisations such as networking, litigation, campaigning, communication and other watchdog activities. Within this context, justice professionals associated with the judiciary and working for civil society organisations have also an important role to play. |
(15) |
Pursuant to Articles 8 and 10 TFEU, the Programme in all its activities should ▌ support gender mainstreaming ▌ and the mainstreaming of non-discrimination objectives ▌. The UNCRPD also confirms the right to full legal capacity and access to justice for persons with disabilities. The interim and the final evaluation of the programme should evaluate gender impacts to assess the extent to which the Programme is contributing to gender equality and to assess that the Programme is not having unintended negative impacts on gender equality. In this context and while taking into account the different nature and size of the activities of the specific objectives of the programme, it will be important that individual data collected are broken down by sex whenever possible. It is also important to provide information to grants applicants on how to take gender equality into account, including on the use of gender mainstreaming tools such as gender budgeting and gender impact assessments where necessary. Gender balance should be considered when consulting experts and stakeholders. |
(15 a) |
The Programme in all its activities, where relevant, should also support and protect the rights of victims both in civil and criminal matters. To this purpose, particular attention should be given to better implementation of and coordination between the various Union instruments for protection of victims as well as to actions aimed at the exchange of best practices between courts and legal practitioners dealing with cases of violence. The Programme should also support the improvement of the knowledge and use of collective redress instruments. |
(16) |
Actions covered by this Regulation should contribute to the creation of a European area of justice, fostering the independence and efficiency of the legal system, increasing cross-border cooperation and networking , underpinning mutual trust between the Member State judiciaries and achieving the correct, coherent and consistent application of Union law. Funding activities should also contribute to a common understanding of the Union’s values, the rule of law, to better knowledge of Union law and policies, to sharing know-how and best practices in using judicial cooperation instruments by all concerned stakeholders, as well as to a proliferation and promotion of interoperable digital solutions underpinning seamless and efficient cross-border cooperation, and should provide a sound analytical basis to support the development, enforcement and proper understanding and implementation of Union law and policies. Union intervention allows for those actions to be pursued consistently across the Union and brings economies of scale. Moreover, the Union is in a better position than Member States to address cross-border situations and to provide a European platform for mutual learning and sharing of best practice . |
(16 a) |
The Programme should also contribute to enhancing cooperation between Member States whenever Union law has an external dimension and taking into account external consequences, to improve access to justice and facilitate tackling judicial and procedural challenges. |
(17) |
The Commission should ensure overall consistency, complementarity and synergies with the work of Union bodies, offices and agencies, such as EUROJUST, FRA, eu-LISA and the European Public Prosecutor Office, and should take stock of the work of other national and international actors in the areas covered by the Programme. |
(18) |
It is necessary to ensure the viability, visibility, the core principle of European added value, and sound financial management in the implementation of all actions and activities carried out within the Justice Programme, their complementarity to Member States’ activities, and their consistency with other Union activities. In order to ensure efficient and performance-based allocation of funds from the general budget of the Union, consistency, complementarity and synergies should be sought between funding programmes supporting policy areas with close links to each other, in particular within the Justice, Rights and Values Fund — and thus with the Rights and Values Programme- and between the Programme and the Single Market Programme, Border management and Security, in particular the Asylum and Migration (‘AMIF’) and the Internal Security Funds, Strategic Infrastructure in particular the Digital Europe Programme, the European Social Fund+, the Erasmus+ Programme, the Framework Programme for research and innovation, the Instrument for Pre-accession Assistance, and the LIFE Regulation (5) . The implementation of the Justice Programme should be without prejudice to, and complemented by, Union legislation and policies regarding the protection of the Union’s budget in case of generalised deficiencies as regards the rule of law in Member States . |
(19) |
This Regulation lays down a financial envelope for the Justice programme which is to constitute the prime reference amount, within the meaning of [reference to be updated as appropriate according to the new inter-institutional agreement: point 17 of the Interinstitutional Agreement of 2 December 2013 between the European Parliament, the Council and the Commission on budgetary discipline, on cooperation in budgetary matters and on sound financial management (6)], for the European Parliament and the Council during the annual budgetary procedure. |
(19 a) |
Mechanisms to ensure a link between Union funding policies and Union values should be further refined, allowing the Commission to make a proposal to the Council to transfer resources allocated to a Member State under shared management to the Programme where that Member State is subject to procedures relating to Union values. A comprehensive Union mechanism on democracy, rule of law and fundamental rights should guarantee the regular and equal review of all Member States, providing the necessary information for the activation of measures related to general deficiencies of Union values in Member States. In order to ensure uniform implementation and in view of the importance of the financial effects of measures being imposed, implementing powers should be conferred on the Council which should act on the basis of a Commission proposal. To facilitate the adoption of decisions which are required to ensure effective action, reversed qualified majority voting should be used. |
(20) |
Regulation (EU, Euratom) No [the new FR] (the ‘Financial Regulation’) applies to this Programme. It lays down rules on the implementation of the Union budget, including the rules on grants, prizes, procurement, indirect implementation, financial assistance, financial instruments and budgetary guarantees. |
(21) |
The types of financing and the methods of implementation under this Regulation should be chosen on the basis of their ability to achieve the specific objectives of the actions and to deliver results, taking into account, in particular, the costs of controls, the administrative burden, the capacity of relevant stakeholders and targeted beneficiaries, and the expected risk of non-compliance. This should include consideration of the use of lump sums, flat rates and unit costs, as well as financing not linked to costs as referred to in Article 125(1) of the Financial Regulation. |
(22) |
In accordance with the Financial Regulation, Regulation (EU, Euratom) No 883/2013 of the European Parliament and of the Council (7), Council Regulation (Euratom, EC) No 2988/95 (8), Council Regulation (Euratom, EC) No 2185/96 (9) and Council Regulation (EU) 2017/1939 (10) the financial interests of the Union are to be protected through proportionate measures, including the complete transparency of the Programme financing and selection procedures, prevention, detection, correction and investigation of irregularities and fraud, the recovery of funds lost, wrongly paid or incorrectly used and, where appropriate, the imposition of administrative sanctions. In particular, in accordance with Regulation (EU, Euratom) No 883/2013 and Regulation (Euratom, EC) No 2185/96 the European Anti-Fraud Office (OLAF) should carry out administrative investigations, including on-the-spot checks and inspections, with a view to establishing whether there has been fraud, corruption or any other illegal activity affecting the financial interests of the Union. In accordance with Regulation (EU) 2017/1939, the European Public Prosecutor’s Office (EPPO) should investigate and prosecute fraud and other criminal offences affecting the financial interests of the Union as provided for in Directive (EU) 2017/1371 of the European Parliament and of the Council (11) In accordance with the Financial Regulation, any person or entity receiving Union funds is to fully cooperate in the protection of the Union’s financial interests, to grant the necessary rights and access to the Commission, OLAF, the EPPO and the European Court of Auditors (ECA) and to ensure that any third parties involved in the implementation of Union funds grant equivalent rights. |
(23) |
Third countries which are members of the European Economic Area (EEA) may participate in Union programmes in the framework of the cooperation established under the EEA agreement, which provides for the implementation of the programmes by a decision under that agreement. Third countries may also participate on the basis of other legal instruments. A specific provision should be introduced in this Regulation to grant the necessary rights for and access to the authorizing officer responsible, human rights bodies and networks, including national institutions responsible for the protection of human rights in each Member State, bodies and networks responsible for non-discrimination and equality policies, ombudsmen, the European Agency for Fundamental Rights (FRA), the European Anti-Fraud Office (OLAF) as well as the European Court of Auditors to comprehensively exert their respective competences, and enhance their synergies and cooperation . It should be possible to include third countries especially whenever their involvement fosters the objectives of the programme, taking note that it is in accordance with the general principles and general terms and conditions for the participation of those countries in Union programmes established in the respective framework agreements and Association Council decisions or similar agreements . |
(24) |
Horizontal financial rules adopted by the European Parliament and the Council on the basis of Article 322 of the Treaty on the Functioning of the European Union apply to this Regulation. These rules are laid down in the Financial Regulation and determine in particular the procedure for establishing and implementing the budget through grants, procurement, prizes, indirect implementation, and provide for checks on the responsibility of financial actors. Rules adopted on the basis of Article 322 TFEU also concern the protection of the Union's budget in case of generalised deficiencies as regards the rule of law in the Member States, as the respect for the rule of law is an essential precondition for sound financial management and effective EU funding. |
(24 a) |
The proposal for a regulation of the European Parliament and the Council on the protection of the Union's budget in case of generalised deficiencies as regards the rule of law in the Member States aims to equip the Union to better protect its budget when weaknesses in the rule of law impair or threaten to impair sound financial management of the financial interests of the Union. It should complement the Justice programme the role of which is different, namely to further support the development of a European Area of Justice that is based on the rule of law and mutual trust, and to ensure people can enjoy their rights. |
(25) |
Pursuant to [reference to be updated as appropriate according to a new decision on OCTs: Article 94 of Council Decision 2013/755/EU (12)], persons and entities established in overseas countries and territories are eligible for funding subject to the rules and objectives of the Programme and possible arrangements applicable to the Member State to which the relevant overseas country or territory is linked. It is essential that the Programme ensure that such persons and entities are sufficiently informed about their eligibility for funding. |
(25a) |
Based on their importance and relevance, this Programme should contribute to fulfilling the commitment of the Union and its Member States to achieving the Sustainable Development Goals. |
(26) |
Reflecting the importance of tackling climate change in line with the Union's commitments to implement the Paris Agreement and the United Nations Sustainable Development Goals, this Programme will contribute to mainstream climate action and to the achievement of an overall target of 25 % of the EU budget expenditures supporting climate objectives. Relevant actions will be identified during the Programme's preparation and implementation, and reassessed in the context of its mid-term evaluation. |
(27) |
Pursuant to paragraph 22 and 23 of the Inter-institutional agreement for Better Law-Making of 13 April 2016, there is a need to evaluate this Programme on the basis of information collected through specific monitoring requirements, while avoiding overregulation and administrative burdens, in particular on Member States. These requirements, where appropriate, can include measurable indicators, as a basis for evaluating the effects of the Programme on the ground. |
(28) |
In order to ensure uniform conditions for the implementation of this Regulation, the power to adopt acts in accordance with Article 290 of the Treaty on the Functioning of the European Union should be delegated to the Commission in respect of indicators as set out in Article 12 and 14 and Annex II. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States’ experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. |
(29) |
In order to ensure uniform conditions for the implementation of this Regulation, implementing powers should be conferred on the Commission. Those powers should be exercised in accordance with Regulation (EU) No 182/2011 of the European Parliament and of the Council (13). |
(30) |
In accordance with Articles 1 and 2 of Protocol No 22 on the position of Denmark, annexed to the Treaty on European Union and to the Treaty on the Functioning of the European Union, Denmark is not taking part in the adoption of this Regulation and is not bound by it or subject to its application. |
(31) |
[In accordance with Article 3 and Article 4a(1) of Protocol No 21 on the position of the United Kingdom and Ireland in respect of the area of freedom, security and justice, annexed to the Treaty on European Union and to the Treaty on the Functioning of the European Union, Ireland has notified [, by letter of …,] its wish to take part in the adoption and application of this Regulation. OR In accordance with Articles 1 and 2 and Article 4a(1) of Protocol No 21 on the position of the United Kingdom and Ireland in respect of the area of freedom, security and justice, annexed to the Treaty on European Union and to the Treaty on the Functioning of the European Union, and without prejudice to Article 4 of that Protocol, Ireland is not taking part in the adoption of this Regulation and is not bound by it or subject to its application.] |
HAVE ADOPTED THIS REGULATION:
CHAPTER I
GENERAL PROVISIONS
Article 1
Subject matter
This Regulation establishes the Justice programme (the ‘Programme’).
It lays down the objectives of the Programme, the budget for the period 2021 — 2027, the forms of Union funding and the rules for providing such funding.
Article 2
Definition
For the purposes of this Regulation, the following definitions apply:
1. |
‘Judiciary and judicial staff’ means judges, prosecutors and court and prosecutor’s office staff, as well as any other justice professionals associated with the judiciary ▌. |
Article 3
Programme objectives
1. The Programme has the general objective of contributing to the further development of a European area of justice based on the rule of law, including independence and impartiality of the judiciary, on mutual recognition, mutual trust and judicial cooperation, thereby also strengthening democracy rule of law and fundamental rights.
2. The Programme has the following specific objectives ▌:
(a) |
to facilitate and support judicial cooperation in civil and criminal matters, and to promote the rule of law , independence and impartiality of the judiciary, including by supporting the efforts to improve the effectiveness of national justice systems, and the effective enforcement of decisions ; |
(b) |
to support and promote judicial training, with a view to fostering a common legal, judicial and rule of law culture , as well as the consistent and effective implementation of the Union’s legal instruments relevant in the context of this programme ; |
(c) |
to facilitate effective and non-discriminatory access to justice for all, and effective redress, including by electronic means (e-justice) , by promoting efficient civil, and criminal procedures, and by promoting and supporting the rights of all victims of crime as well as the procedural rights of suspects and accused persons in criminal proceedings. |
Article 3 a
Mainstreaming
In the implementation of all of its actions, the Programme shall seek to promote gender equality, the rights of the child, inter alia by means of child- friendly justice, the protection of victims and the effective application of the principle of equal rights and non-discrimination based on any of the grounds listed in Article 21 of the Charter, in accordance with and within the limits set by Article 51 of the Charter.
Article 4
Budget
1. Within the meaning of [reference to be updated as appropriate according to the new inter-institutional agreement] point 17 of the Interinstitutional Agreement of 2 December 2013 between the European Parliament, the Council and the Commission on budgetary discipline, on cooperation in budgetary matters and on sound financial management, the financial envelope for the implementation of the Programme for the period 2021 — 2027 , representing the prime reference for the budgetary authority during the annual budgetary procedure, shall be EUR 316 000 000 in 2018 prices (EUR 356 000 000 in current prices).
2. The amount referred to in paragraph 1 may be used for technical and administrative assistance for the implementation of the Programme, such as preparatory, monitoring, control, audit and evaluation activities including corporate information technology systems.
2 a. The budget allocated for actions linked to the promotion of gender equality shall be indicated annually.
3. Without prejudice to the Financial Regulation, expenditure for actions resulting from projects included in the first work programme may be eligible as from 1 January 2021.
4. Resources allocated to Member States under shared management may, at their request, or at the request of the Commission, be transferred to the Programme. The Commission shall implement those resources directly in accordance with Article 62(1)(a) of the Financial Regulation ▌. Where possible those resources shall be used for the benefit of the Member State concerned.
Article 5
Third countries associated to the Programme
The Programme shall be open to the following third countries:
(a) |
European Free Trade Association (EFTA) members which are members of the European Economic Area (EEA), in accordance with the conditions laid down in the EEA agreement; |
(b) |
acceding countries, candidate and potential candidate, in accordance with the general principles and general terms and conditions for the participation of those countries in Union programmes established in the respective framework agreements and Association Council decisions, or similar agreements, and in accordance with the specific conditions laid down in agreements between the Union and those countries; |
(c) |
countries covered by the European Neighbourhood Policy, in accordance with the general principles and general terms and conditions for the participation of those countries in Union programmes established in the respective framework agreements and association council decisions, or similar agreements, and in accordance with the specific conditions laid down in agreements between the Union and those countries. |
(d) |
Other third countries, in accordance with the conditions laid down in a specific agreement covering the participation of the third country to any Union programme, provided that the agreement
|
Article 6
Implementation and forms of EU funding
1. The Programme shall be implemented in direct management in accordance with the Financial Regulation or in indirect management with bodies referred to in Article 62 (1)(c) of the Financial Regulation.
2. The Programme may provide funding in any of the forms laid down in the Financial Regulation.
3. [Contributions to a mutual insurance mechanism may cover the risk associated with the recovery of funds due by recipients and shall be considered a sufficient guarantee under the Financial Regulation. The provisions laid down in [Article X of] Regulation XXX [successor of the Regulation on the Guarantee Fund] shall apply].
Article 7
Type of actions
Actions contributing to the achievement of a specific objective specified in Article 3 may receive funding under this Regulation. In particular, activities listed in Annex I shall be eligible for funding.
CHAPTER II
GRANTS
Article 8
Grants
Grants under the Programme shall be awarded and managed in accordance with Title VIII of the Financial Regulation.
Article 9
Cumulative [, complementary] and combined funding
1. An action that has received a contribution under the Programme may also receive a contribution from any other Union programme, including Funds under shared management, provided that the contributions do not cover the same costs. [The cumulative financing shall not exceed the total eligible costs of the action and the support from different Union programmes may be calculated on a pro-rata basis].
2. Where the Programme and the Funds under shared management referred to in Article 1 of Regulation (EU)[XX] [CPR] provide jointly financial support to a single action, that action shall be implemented in accordance with the rules set out in this Regulation, including rules on recovery of amounts unduly paid.
3. Actions eligible under the Programme and complying with the conditions referred to in the second subparagraph may be identified with the aim to be funded by the Funds under shared management. In this case the co-financing rates and the eligibility rules provided for in this Regulation shall apply.
The actions referred to in the first subparagraph shall comply with the following cumulative conditions:
(a) |
they have been assessed in a call for proposals under the Programme; |
(b) |
they comply with the minimum quality requirements of that call for proposals; |
(c) |
they may not be financed under that call for proposals due to budgetary constraints. |
The actions shall be implemented by the managing authority referred to in Article [65] of Regulation (EU)[XX] [CPR] in accordance with the rules set out in that Regulation and fund specific regulations, including rules on financial corrections."
Article 10
Eligible entities
1. The eligibility criteria set out in paragraphs 2 and 3 shall apply in addition to the criteria set out in [Article 197] of the Financial Regulation.
2. The following entities are eligible:
(a) |
legal entities established in any of the following countries:
|
(b) |
any legal entity created under Union law or any international organisation; |
3. The programme shall support the European Judicial Training Network’s expenditure associated with its permanent work programme and any operating grant to that effect shall be awarded without a call for proposals in accordance with the Financial Regulation .
CHAPTER III
PROGRAMMING, MONITORING, EVALUATION AND CONTROL
Article 11
Work programme
1. The Programme shall be implemented by work programmes referred to in Article 110 of Financial Regulation.
2. The work programme shall be adopted by the Commission by means of a delegated act. That delegated act shall be adopted in accordance with the advisory procedure referred to in Article 14 .
Article 12
Monitoring and reporting
1. Indicators to report on progress of the Programme towards the achievement of the specific objectives set out in Article 3 are set out in Annex II.
2. To ensure effective assessment of progress of the Programme towards the achievement of its objectives, the Commission shall be empowered to adopt delegated acts, in accordance with Article 14, to develop the provisions for a monitoring and evaluation framework, including through amendments to Annex II to review and complement the indicators where necessary.
3. The performance reporting system shall ensure that data for monitoring programme implementation and results are collected efficiently, effectively, and in a timely manner. To that end, proportionate reporting requirements shall be imposed on recipients of Union funds and Member States.
Article 13
Evaluation
1. Evaluations shall be carried out in a timely manner to feed into the decision-making process.
2. The interim evaluation of the Programme shall be carried out once there is sufficient information available about the implementation of the Programme, but no later than four years after the start of the programme implementation.
3. At the end of the implementation of the Programme, but no later than four years after the end of the period specified in Article 1, a final evaluation of the Programme shall be carried out by the Commission.
4. The Commission shall communicate the conclusions of the evaluations accompanied by its observations, to the European Parliament, the Council, the European Economic and Social Committee and the Committee of the Regions.
Article 14
Exercise of the delegation
1. The power to adopt delegated acts is conferred on the Commission subject to the conditions laid down in this Article.
2. The power to adopt delegated acts referred to in Article 12 shall be conferred on the Commission until 31 December 2027.
3. The delegation of power referred to in Article 12 may be revoked at any time by the European Parliament or by the Council. A decision to revoke shall put an end to the delegation of power specified in that decision. It shall take effect the day following the publication of the decision in the Official Journal of the European Union or at a later date specified therein. It shall not affect the validity of any delegated acts already in force.
4. Before adopting a delegated act, the Commission shall consult experts designated by each Member State in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016.
5. As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the European Parliament and to the Council.
6. A delegated act adopted pursuant to Article 12 shall enter into force if no objection has been expressed either by the European Parliament or by the Council within a period of two months of notification of that act to the European Parliament and the Council or if, before the expiry of that period, the European Parliament and the Council have both informed the Commission that they will not object. That period shall be extended by two months at the initiative of the European Parliament or of the Council.
Article 15
Protection of the financial interests of the Union
Where a third country participates in the programme by a decision under an international agreement or by virtue of any other legal instrument, the third country shall grant the necessary rights and access required for the authorizing officer responsible, the European Anti-Fraud Office (OLAF), the European Court of Auditors to comprehensively exert their respective competences. In the case of OLAF, such rights shall include the right to carry out investigations, including on-the-spot checks and inspections, provided for in Regulation (EU, Euratom) No 883/2013 of the European Parliament and of the Council concerning investigations conducted by the European Anti-Fraud Office (OLAF).
CHAPTER IV
TRANSITIONAL AND FINAL PROVISIONS
Article 16
Information, communication and publicity
1. The recipients of Union funding shall acknowledge the origin and ensure the visibility of the Union funding (in particular when promoting the actions and their results) by providing coherent, effective and proportionate targeted information to multiple audiences, including the media and the public.
2. The Commission shall implement information and communication actions relating to the Programme, and its actions and results. Financial resources allocated to the Programme shall also contribute to the corporate communication of the political priorities of the Union, as far as they are related to the objectives referred to in Article 3.
Article 17
Committee procedure
1. The Commission shall be assisted by a committee. This committee shall be a committee within the meaning of Regulation (EU) No 182/2011 , and shall be assisted by the relevant civil society and human rights organisations . Gender balance and appropriate representation of minority and other excluded groups in the Committee shall be safeguarded .
2. Where reference is made to this paragraph, Article 4 of Regulation (EU) No 182/2011 shall apply.
Article 18
Repeal
Regulation (EU) No 1382/2013 is repealed with effect from 1 January 2021.
Article 19
Transitional provisions
1. This Regulation shall not affect the continuation or modification of the actions concerned, under Regulation (EU) No 1382/2013, which shall continue to apply to those actions until their closure.
2. The financial envelope for the Programme may also cover technical and administrative assistance expenses necessary to ensure the transition between the Programme and the measures adopted under its predecessor, Regulation (EU) No 1382/2013.
3. If necessary, appropriations may be entered in the budget beyond 2027 to cover the expenses provided for in Article 4(2), to enable the management of actions not completed by 31 December 2027.
Article 20
Entry into force
This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.
This Regulation shall be binding in its entirety and directly applicable in the Member States in accordance with the Treaties.
Done at …,
For the European Parliament
The President
For the Council
The President
(1) OJ C 62, 15.2.2019, p. 178.
(2) Position of the European Parliament of 17 April 2019. The underlined text has not been agreed in the framework of interinstitutional negotiations.
(3) Regulation (EU) No 1381/2013 of the European Parliament and of the Council of 17 December 2013 establishing a Rights, Equality and Citizenship Programme for the period 2014 to 2020 (OJ L 354, 28.12.2013, p. 62).
(4) Council Regulation (EU) No 390/2014 of 14 April 2014 establishing the ‘Europe for Citizens’ programme for the period 2014-2020 (OJ L 115, 17.4.2014, p. 3).
(5) Regulation (EU) No 1293/2013 of the European Parliament and of the Council of 11 December 2013 on the establishment of a Programme for the Environment and Climate Action (LIFE) and repealing Regulation (EC) No 614/2007 (OJ L 347, 20.12.2013, p. 185).
(6) OJ C 373, 20.12.2013, p. 1
(7) Regulation (EU, Euratom) No 883/2013 of the European Parliament and of the Council of 11 September 2013 concerning investigations conducted by the European Anti-Fraud Office (OLAF) and repealing Regulation (EC) No 1073/1999 of the European Parliament and of the Council and Council Regulation (Euratom) No 1074/1999 (OJ L 248, 18.9.2013, p. 1).
(8) Council Regulation (EC, Euratom) No 2988/95 of 18 December 1995 on the protection of the European Communities financial interests (OJ L 312, 23.12.1995, p. 1).
(9) Council Regulation (Euratom, EC) No 2185/96 of 11 November 1996 concerning on-the-spot checks and inspections carried out by the Commission in order to protect the European Communities' financial interests against fraud and other irregularities (OJ L 292, 15.11.1996, p. 2).
(10) Council Regulation (EU) 2017/1939 of 12 October 2017 implementing enhanced cooperation on the establishment of the European Public Prosecutor’s Office (‘the EPPO’) (OJ L 283, 31.10.2017, p. 1).
(11) Directive (EU) 2017/1371 of the European Parliament and of the Council of 5 July 2017 on the fight against fraud to the Union's financial interests by means of criminal law (OJ L 198, 28.7.2017, p. 29).
(12) Council Decision 2013/755/EU of 25 November 2013 on the association of the overseas countries and territories with the European Union (‘Overseas Association Decision’) (OJ L 344, 19.12.2013, p. 1).
(13) Regulation (EU) No 182/2011 of the European Parliament and of the Council of 16 February 2011 laying down the rules and general principles concerning mechanisms for control by the Member States of the Commission's exercise of implementing powers (OJ L 55, 28.2.2011, p. 13)
ANNEX I
Activities of the programme
The general and specific objectives of the Programme set out in Article 3 ▌ will be pursued in particular by supporting the following activities:
1. |
awareness raising, dissemination of information to improve the knowledge of Union policies and of Union law including substantive and procedural law, of judicial cooperation instruments, of the relevant case-law of the Court of Justice of the European Union, and of comparative law and of European and international standards , including the understanding of the interaction between different areas of law ; |
2. |
mutual learning through exchange of good practices among stakeholders, to improve knowledge and mutual understanding of the civil and criminal law and the legal and judicial systems of the Member States, including the rule of law and access to justice, and through enhancing mutual trust; |
3. |
analytical and monitoring activities (1) to improve the knowledge and understanding of potential obstacles to the smooth functioning of a European area of justice, to improve the implementation of Union law and policies in the Member States; |
4. |
training relevant stakeholders to improve the knowledge of Union law and policies, including inter alia substantive and procedural law, fundamental rights, the use of Union judicial cooperation instruments, the relevant case-law of the Court of Justice of the European Union, legal language and of comparative law; |
5. |
information and Communication Technology (ICT) as well as e-justice tools development and maintenance , taking into account privacy and data protection, to improve the efficiency of judicial systems and their cooperation by means of information and communication technology, including the cross-border interoperability of systems and applications; |
6. |
developing capacity of key European level networks and European judicial networks, including networks established by Union law to ensure the effective application and enforcement of Union law, to promote and further develop Union law, policy goals and strategies in the areas of the programme ▌; |
6a. |
Supporting civil society organisations and non-profit stakeholders active in the areas of the Programme to increase their capacity to react and advocate as well as to ensure adequate access for all citizens to their services, counselling and support activities, thereby also contributing to democracy, the rule of law and fundamental rights; |
7. |
enhancing knowledge of the programme and dissemination, transferability and transparency of its results and fostering citizen outreach, including by organising forums for discussion for stakeholders . |
(1) These activities include for instance the collection of data and statistics; the development of common methodologies and, where appropriate, indicators or benchmarks; studies, researches, analyses and surveys; evaluations; impact assessment; the elaboration and publication of guides, reports and educational material.
ANNEX II
Indicators
The Programme will be monitored on the basis of a set of indicators intended to measure the extent to which the general and specific objectives of the Programme have been achieved and with a view to minimising administrative burdens and costs. To that end, while respecting rights related to privacy and data protection, data will be collected as regards the following set of key indicators:
Number of members of the judiciary and judicial staff who participated in training activities (including staff exchanges, study visits, workshops and seminars) funded by the Programme, including by the operating grant of the EJTN |
||||
Number of civil society organisations supported by the programme |
||||
Number of exchanges of information in the European Criminal Records Information System (ECRIS) |
||||
Number of hits on the e-Justice portal / pages addressing the need for information on cross-border civil and criminal cases |
||||
Number of people per specific objective reached by:
|
All individual data shall be broken down by sex whenever possible; the interim and the final evaluations of the programme shall focus on each specific objectives and include a gender equality perspective and evaluate impacts on gender equality.
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/517 |
P8_TA(2019)0407
Rights and values programme ***I
European Parliament legislative resolution of 17 April 2019 on the proposal for a regulation of the European Parliament and of the Council establishing the Rights and Values programme (COM(2018)0383 — C8-0234/2018 — 2018/0207(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/54)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2018)0383), |
— |
having regard to Article 294(2) and Articles 16(2), 19(2), 21(2), 24, 167 and 168 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0234/2018), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
having regard to the opinion of the European Economic and Social Committee of 18 October 2018 (1), |
— |
having regard to the opinion of the Committee of the Regions of 10 October 2018 (2), |
— |
having regard to the letter from its President to the committee chairs of 25 January 2019 outlining the Parliament's approach to the Multiannual Financial Framework (MFF) post-2020 sectorial programmes, |
— |
having regard to the letter from the Council to the President of the European Parliament of 1 April 2019 confirming the common understanding reached between the co-legislators during negotiations, |
— |
having regard to Rules 59 of its Rules of Procedure, |
— |
having regard to the report of the Committee on Civil Liberties, Justice and Home Affairs and the opinions of the Committee on Culture and Education. the Committee on Women's Rights and Gender Equality, the Committee on Budgets, the Committee on Employment and Social Affairs, Committee on Legal Affairs and the Committee on Constitutional Affairs (A8-0468/2018), |
1. |
Adopts its position at first reading hereinafter set out (3); |
2. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
3. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
(1) OJ C 62, 15.2.2019, p. 178.
(2) OJ C 461, 21.12.2018, p. 196.
(3) This position replaces the amendments adopted on 17 January 2019 (Texts adopted, P8_TA(2019)0040).
P8_TC1-COD(2018)0207
Position of the European Parliament adopted at first reading on 17 April 2019 with a view to the adoption of Regulation (EU) 2019/… of the European Parliament and of the Council establishing the Citizens, Equality, Rights and Values programme
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on the Functioning of the European Union, and in particular Article 16(2), Article 19(2), Article 21(2), Article 24, Article 167, and Article 168 thereof,
Having regard to the proposal from the European Commission,
After transmission of the draft legislative act to the national parliaments,
Having regard to the opinion of the European Economic and Social Committee (1),
Having regard to the opinion of the Committee of the Regions (2),
Acting in accordance with the ordinary legislative procedure (3),
Whereas:
(1) |
In accordance with Article 2 of the Treaty on European Union, ‘the Union is founded on the values of respect for human dignity, freedom democracy, equality, the rule of law and the respect for human rights, including the rights of the persons belonging to minorities. These values are common to the Member States in a society where pluralism, non-discrimination, tolerance, justice, solidarity and equality between women and men prevail’. Article 3 further specifies that the ‘Union’s aim is to promote peace, its values and the well-being of its people’ and, among others, ‘it shall respect its rich cultural and linguistic diversity, and shall ensure that Europe’s cultural heritage is safeguarded and enhanced’. These values are further reaffirmed and articulated in the rights, freedoms and principles enshrined in the Charter of Fundamental Rights of the European Union (‘the Charter’). |
(2) |
Those rights and values must continue to be actively cultivated, protected, promoted, enforced and shared among the citizens and peoples and be at the heart of the EU project , given that deterioration in the protection of those rights and values in any Member State can have detrimental effects on the Union as a whole . Therefore, a new Justice, Rights and Values Fund, comprising the Citizens, Equality, Rights and Values and the Justice programmes shall be created in the EU budget. At a time where European societies are confronted with extremism, radicalism and divisions and a shrinking space for independent civil society , it is more important than ever to promote, strengthen and defend justice, rights and EU values: human rights, respect for human dignity, freedom, democracy, equality, the rule of law. This will have profound and direct implications for political, social, cultural and economic life in the EU. As part of the new Fund, the Justice Programme will continue to support the further development of Union area of justice based on the rule of law, independence and impartiality of the judiciary, on mutual recognition and mutual trust, access to justice and cross-border cooperation. The Citizens, Equality, Rights and Values Programme will bring together the 2014-2020 Programme Rights, Equality and Citizenship established by Regulation (EU) No 1381/2013 of the European Parliament and of the Council (4) and the Europe for Citizens programme established by Council Regulation (EU) No 390/2014 (5), (hereafter ‘the predecessor Programmes’). |
(3) |
The Justice, Rights and Values Fund and its two underlying funding programmes will focus ▌ on persons and entities, which contribute to make our common values, rights , and equality and rich diversity alive and vibrant. The ultimate objective is to nurture and sustain a rights-based, equal , open, pluralist , inclusive and democratic society. That includes a vibrant and empowered civil society, encouraging people's democratic, civic and social participation and cultivating the rich diversity of European society, based on our common values, history and memory. Article 11 of the Treaty of the European Union requires that the institutions of the Union maintain an open, transparent and regular dialogue with civil society and , by appropriate means, give citizens and representative associations the opportunity to make known and publicly exchange their views in all areas of Union action. |
(3a) |
A regular, open and transparent dialogue with the beneficiaries of the Programme and other relevant stakeholders should be established by setting up a Civil Dialogue Group. The Civil Dialogue Group should be an open and informal forum for discussion and should contribute to the exchange of experiences and good practices and to the discussion of policy developments within the fields and objectives covered by the Programme and related fields. The Civil Dialogue Group should not have any responsibility regarding programme management. |
(4) |
The ▌Programme ▌should allow developing synergies to tackle the challenges that are common to the promotion and protection of Union values and to reach a critical dimension to have concrete results in the field. That should be achieved by building on and further developing the positive experience of the predecessor Programmes. This will enable to fully exploit the potential of synergies, to more effectively support the policy areas covered and to increase their potential to reach persons and civil society, aiming at a balanced geographical distribution . To be effective, the Programme should take into account the specific nature of the different policies, their different target groups and their particular needs through tailor-made and targeted approaches. |
(4a) |
Full respect and promotion of the rule of law and democracy is fundamental to building citizens' trust in the Union and in ensuring mutual trust among Member States. By promoting rights and values, the Programme will contribute to the construction and of a more democratic Union, respect for the rule of law and democratic dialogue, transparency and good governance, including in cases of shrinking space for civil society. |
(5) |
In order to bring the European Union closer to its citizens and to foster democratic participation a variety of actions and coordinated efforts, are necessary. European Citizenship and European identity should be developed and advanced by encouraging citizens’ understanding of the policymaking process and by promoting civic engagement in the actions of the Union. Also, bringing together citizens in town-twinning projects or networks of towns and supporting civil society organisations at the local, regional, national and transnational level in the areas covered by the programme will contribute to increase citizens' engagement in society and ultimately their active involvement in the democratic life of the Union. At the same time supporting activities promoting mutual understanding, intercultural dialogue, cultural, and linguistic diversity, ▌ social inclusion and respect for others , foster a sense of belonging to the Union and a common citizenship under a European identity, based on a shared understanding of our common European values, culture, history and heritage. The promotion of a greater sense of belonging to the Union and of Union values is particularly important amongst citizens of the EU outermost regions due to their remoteness and distance from continental Europe. |
(6) |
Remembrance activities and critical reflection on Europe’s historical memory are necessary to make citizens , in particular young persons, aware of their common history and values , as the foundation for a common future▌ . Remembrance activities should reflect on the causes of totalitarian regimes in Europe's modern history — in particular Nazism, which led to the Holocaust; Fascism, Stalinism and totalitarian communist regimes — and commemorate the victims of their crimes. They should as well encompass activities concerning other defining moments and reference points in recent European history . The relevance of historical , social , cultural and intercultural aspects, should also be taken into account in order to create a European identity based on common values and a sense of belonging together. |
(7) |
Citizens should also be more aware of their rights deriving from citizenship of the Union and should feel at ease about living, travelling, studying, working and volunteering in another Member State, and should feel able to enjoy and exercise all their citizenship rights, place their trust in equal access, full enforceability and protection of their rights without any discrimination, no matter where in the Union they happen to be. Civil society needs to be supported for the promotion, safeguarding and raising awareness of ▌ Union values under Article 2 TEU and in contributing to the effective enjoyment of rights under Union law. |
(8) |
Gender equality ▌is a fundamental value and an objective of the European Union. Yet overall progress on gender equality has been stagnating. Discrimination against and unequal treatment of women and girls as well as various forms of violence against women and girls violates their fundamental rights and prevents their full political, social and economic participation in society. In addition, the existence of political, structural and cultural barriers hinders the achievement of real gender equality. The promotion of gender equality and gender mainstreaming, in all activities of the Union is therefore a core task for the Union and a driver for economic growth and social development, and should be supported by the programme. Actively tackling stereotypes and addressing silent and intersectional discrimination are of particular importance. Equal access to work, equal participation in labour market and the elimination of barriers to career progression in all sectors, for example the judiciary, STEM (Science, Technology, Engineering and Mathematics) related sectors, are pillars of gender equality. Focus should also be put on work-life balance and on equal sharing of unpaid household and care work for children, the elderly and other dependents, between men and women which remain pillars to the equal economic independence and participation and are intrinsically related to the achievement of equality between women and men . |
(9) |
Gender-based violence and violence against groups at risk ( children, young persons ▌ and other groups at risks such as LGBTQI and persons with disabilities) constitutes a serious violation of fundamental rights and persists throughout the Union, in all social and economic contexts, with serious repercussions on victims’ physical , mental and psychological health and on society as a whole. Women are the most significantly affected persons by gender-based violence and harassment in both the domestic and public sphere; therefore combating this violence is a key action in promoting gender equality. The Council of Europe Convention on preventing and combating violence against women and domestic violence (the Istanbul Convention) defines violence against women as ‘all acts of gender-based violence that result in, or are likely to result in, physical, sexual, psychological or economic harm or suffering to women, including threats of such acts, coercion or arbitrary deprivation of liberty, whether occurring in public or in private life’. Combating gender-based violence requires a multi-dimensional approach, including addressing its legal, economic, educational, and health aspects. There is also a need to actively tackle gender stereotypes from an early age, as well as all forms of hate speech and online violence. In this context it remains essential to support women’s rights organisations and other actors working in this field. Children, young ▌ persons and other groups at risks such as LGBTQI and persons with disabilities also present an increased risk of being subject to violence, ▌ particularly in family and intimate relationships. Action should be taken to promote the rights of the ▌ persons at risk — in particular, the rights of children (including children orphans, children orphaned of domestic crimes and other particularly vulnerable groups of children) – and to contribute to ▌ their protection and ensure their rights to development ▌and dignity. Combating all forms of violence, in particular gender-based violence, promoting its prevention and protecting and supporting victims are priorities of the Union which help fulfil individuals’ fundamental rights and contribute to gender equality ▌. Those priorities should be supported by the Programme. |
(10) |
Strong political will and coordinated action based on the methods and results of the previous Daphne Programmes, the Rights, Equality and Citizenship Programme and the Justice Programme are necessary in order to prevent and combat all forms of violence and to protect victims. In particular, since its launch in 1997, the Daphne funding to support victims of violence and combat the violence against women, children and young persons has been a genuine success, both in terms of its popularity with stakeholders (public authorities, academic institutions and non-governmental organisations) and in terms of the effectiveness of the funded projects. It has funded projects to raise awareness, to provide support services to victims, to support the activities of civil society organisations ▌working on the ground. It has addressed all forms of violence, such as for instance domestic violence, sexual violence, trafficking in human beings, stalking and traditional harmful practices such as female genital mutilation, as well as new emerging forms of violence such as cyber-bullying and online harassment. It is therefore important to continue all these actions with an independent budget allocation for Daphne and that those results and lessons learned are taken into due consideration in the implementation of the Programme. |
(11) |
Non-discrimination is a fundamental principle of the Union. Article 19 of the Treaty on the Functioning of the European Union provides for action to combat discrimination based on sex, racial or ethnic origin, religion or belief, disability, age or sexual orientation. Non-discrimination is also enshrined in Article 21 of the Charter. The specific features of the diverse forms of discrimination , including direct, indirect and structural discrimination, should be taken into account and appropriate action should be developed in parallel to prevent and combat discrimination on one or more grounds. The Programme should support actions to prevent and combat all forms of discrimination, racism, xenophobia, afrophobia, anti-semitism , anti-gypsism , anti-muslim hatred, and other forms of intolerance , including homophobia, biphobia, transphobia and interphobia and other forms of intolerance based on gender identity, both on-line and off-line, against persons belonging to minorities, taking into account the multiple discrimination . In that context, particular attention should also be devoted to preventing and combating all forms of violence, hatred, segregation and stigmatisation, as well as combating bullying, harassment and intolerant treatment. The Programme should be implemented in a mutually reinforcing manner with other Union activities that have the same objectives, in particular with those referred to in the Commission Communication of 5 April 2011 entitled ‘An EU Framework for National Roma Integration Strategies up to 202010 and in the Council Recommendation of 09 December 2013 on effective Roma integration measures in the Member States (6). |
(12) |
▌ Social and environmental barriers as well as lack of accessibility hinder the full and effective participation of persons ▌with disabilities in society, on an equal basis with others. ▌ Persons with disabilities ▌ face barriers to, among other things, access the labour market, benefit from an inclusive and quality education, avoid poverty and social exclusion, enjoy access to cultural initiatives and media, or use their political rights. As a party to the United Nations Convention on the Rights of Persons with Disabilities (the UNCRPD), the Union and all its Member States have committed to promote, protect and ensure the full and equal enjoyment of all human rights and fundamental freedoms by all persons with disabilities. The provisions of the UNCRPD have become an integral part of the Union legal order. |
(13) |
The right to respect for his or her private and family life, home and communications (right to privacy) is a fundamental right enshrined in Article 7 of the Charter of Fundamental Rights. The protection of personal data is a fundamental right enshrined in Article 8 of the Charter of Fundamental Rights and Article 16 of the Treaty on the Functioning of the European Union. Compliance with the rules for the protection of personal data is subject to the control by independent supervisory authorities. The Union’s legal framework, in particular Regulation (EU) 2016/679 of the European Parliament and of the Council (7) and Directive (EU) 2016/680 of the European Parliament and of the Council (8) lay down provisions to ensure that the right to protection of personal data is effectively protected. These legal instruments entrust the national data protection supervisory authorities with the task of promoting public awareness and understanding of the risks, rules, safeguards and rights in relation to the processing of personal data. The Union should be able to conduct awareness-raising activities, including through support for civil society organisations advocating for the protection of personal data in line with Union standards, and carry out studies and other relevant activities given the importance of the right to the protection of personal data in times of rapid technological developments. |
(14) |
Article 24 TFEU obliges the European Parliament and the Council to adopt provisions for the procedures and conditions required for a citizen's initiative within the meaning of Article 11 of the Treaty on European Union. This has been done by adopting Regulation [(EU) No 211/2011 of the European Parliament and of the Council (9)]. The Programme should support the financing of technical and organisational support to implement Regulation [(EU) No 211/2011], thereby underpinning the exercise by citizens of the right to launch and support European citizens’ initiatives. |
(15) |
Pursuant to Articles 8 and 10 TFEU, the Programme in all its activities should support gender mainstreaming and the mainstreaming of non-discrimination objectives. The interim and the final evaluation of the programme should evaluate gender impacts to assess the extent to which the Programme is contributing to gender equality and to assess that the Programme is not having unintended negative impacts on gender equality. In this context and while taking into account the different nature and size of the activities of the different strands of the programme, it will be important that individual data collected by the project promoters are broken down by sex whenever possible. It is also important to provide information to applicants on how to take gender equality into account, including on the use of gender mainstreaming tools such as gender budgeting and gender impact assessments where necessary. Gender balance should be considered when consulting experts and stakeholders. |
(16) |
Article 3(3) TEU requires the Union to promote the protection of the rights of the child, in line with Article 24 of the Charter and the United Nations Convention on the Rights of the Child. |
(17) |
In accordance with Union acts on equal treatment, Member States set up independent bodies for the promotion of equal treatment, commonly known as ‘equality bodies’, in order to combat discrimination based on race and ethnic origin as well as gender. However, many Member States have gone beyond these requirements and ensured that equality bodies can also deal with discrimination based on ▌other grounds such as language, age, sex characteristics, gender identity and gender diversity , sexual orientation, religion and belief, disability ▌. Equality bodies play a key role in promoting equality and ensuring effective application of equal treatment legislation by providing in particular an independent assistance to victims of discrimination, conducting independent surveys concerning discrimination, publishing independent reports and making recommendations on any issue relating to discrimination in their country. It is essential that the work of equality bodies is coordinated at Union level in this respect. EQUINET was created in 2007. Its members are the national bodies for the promotion of equal treatment as established by Council Directives 2000/43/EC (10) and 2004/113/EC (11), and by Directives 2006/54/EC (12) and 2010/41/EU (13) of the European Parliament and of the Council. On 22 June 2018 the Commission adopted its recommendation on standards for equality bodies, covering the mandate, independence, effectiveness and coordination and cooperation of equality bodies. EQUINET is in an exceptional situation, being the only entity which ensures coordination of activities between equality bodies. This coordination activity by EQUINET is key for the good implementation of Union anti-discrimination law in Member States and should be supported by the Programme. |
(17a) |
In order to increase user-friendly accessibility and provide impartial guidance and practical information in relation to all aspects of the Programme, contact points may be set up in Member States to provide assistance to both beneficiaries and applicants. Programme contact points should be able to carry out their functions independently, without interference in their decision making from public authorities. Member States should be able to choose the most appropriate management of programme contact points, including, among others, through public authorities, civil society organisations or consortia thereof. Programme contact points are not to have any responsibility regarding programme management. |
(18) |
Independent human rights bodies▌, civil society organisations play an essential role in promoting, safeguarding and raising awareness of the Union’s common values under Article 2 TEU, and in contributing to the effective enjoyment of rights under Union law, including the Charter of Fundamental Rights of the EU. As reflected in the European Parliament Resolution of 19 April 2018, an increase in funding and adequate financial support are key to the development of a conducive and sustainable environment for civil society organisations to strengthen their role and perform their functions independently and effectively. Complementing efforts at national level, EU funding should therefore contribute to support, empower and build the capacity of independent civil society organisations active in the promotion of values and ▌rights, whose activities help the strategic enforcement of rights under EU law and the Charter of Fundamental Rights of the EU, including through advocacy such as strategic litigation, campaigning, communication and other watchdog activities, as well as to promote, safeguard and raise awareness of the Union’s ▌values at local, regional, national and transnational level. The programme should be implemented in a user friendly way, for example user-friendly application and reporting procedure. Particular attention should be paid to its accessibility to civil society organisations at transnational, national, regional and local level, including local grass root civil society organisations as well as to the capacity of beneficiaries. This should include consideration of the use of financial support to third parties, where appropriate. |
(19) |
The Commission should ensure overall consistency, complementarity and synergies with the work of Union bodies, offices and agencies, in particular the European Institute for Gender Equality and the European Union Agency for Fundamental Rights, and should take stock of the work of other national and international actors in the areas covered by the Programme. |
(20) |
The Programme should be open, subject to certain conditions, to the participation of European Free Trade Association (EFTA) members which are members of the European Economic Area (EEA) and EFTA members which are not members of the EEA and other European countries. Acceding countries, candidate countries and potential candidate countries benefiting from a pre-accession strategy should also be able to participate in the Programme. |
(21) |
In order to ensure efficient allocation of funds from the general budget of the Union, it is necessary to ensure the European added value of all actions carried out, their complementarity to Member States’ actions, while consistency, complementarity and synergies ▌ should be sought with funding programmes supporting policy areas with close links to each other, in particular within the Justice, Rights and Values Fund — and thus with the Justice Programme — as well as with Creative Europe programme, and Erasmus+ to realise the potential of cultural crossovers in the fields of culture, media, arts, education and creativity. It is necessary to create synergies with other European funding programmes, in particular in the fields of employment and fight against social exclusion , especially the European Social Fund Plus internal market, enterprise, youth, health, citizenship, justice, migration, security, research, innovation, technology, industry, cohesion, tourism, external relations, trade and sustainable development. |
(22) |
This Regulation lays down a financial envelope for the Citizens, Equality, Rights and Values programme which is to constitute the prime reference amount, within the meaning of [reference to be updated as appropriate according to the new inter-institutional agreement: point 17 of the Interinstitutional Agreement of 2 December 2013 between the European Parliament, the Council and the Commission on budgetary discipline, on cooperation in budgetary matters and on sound financial managementt (14)], for the European Parliament and the Council during the annual budgetary procedure. |
(23) |
Regulation (EU, Euratom) No [the new FR] (the ‘Financial Regulation’) applies to this Programme. It lays down rules on the implementation of the Union budget, including the rules on grants, prizes, procurement, indirect implementation, financial assistance, financial instruments and budgetary guarantees. |
(24) |
The types of financing and the methods of implementation under this Regulation should be chosen on the basis of their ability to achieve the specific objectives of the actions and to deliver results, taking into account, in particular, the costs of controls, the administrative burden, the capacity of relevant stakeholders and targeted beneficiaries, and the expected risk of non-compliance. This should include consideration of the use of lump sums, flat rates and unit costs, as well as financing not linked to costs as referred to in Article 125(1) of the Financial Regulation. ▌ |
(24a) |
In accordance with the Financial Regulation, Regulation (EU, Euratom) No 883/2013 of the European Parliament and of the Council (15), Council Regulation (Euratom, EC) No 2988/95 (16), Council Regulation (Euratom, EC) No 2185/96 (17) and Council Regulation (EU) 2017/1939 (18) the financial interests of the Union are to be protected through proportionate measures, including the prevention, detection, correction and investigation of irregularities and fraud, the recovery of funds lost, wrongly paid or incorrectly used and, where appropriate, the imposition of administrative sanctions. In particular, in accordance with Regulation (EU, Euratom) No 883/2013 and Regulation (Euratom, EC) No 2185/96 the European Anti-Fraud Office (OLAF) may carry out administrative investigations, including on-the-spot checks and inspections, with a view to establishing whether there has been fraud, corruption or any other illegal activity affecting the financial interests of the Union. In accordance with Regulation (EU) 2017/1939, the European Public Prosecutor’s Office (EPPO) may investigate and prosecute fraud and other criminal offences affecting the financial interests of the Union as provided for in Directive (EU) 2017/1371 of the European Parliament and of the Council (19) . In accordance with the Financial Regulation, any person or entity receiving Union funds is to fully cooperate in the protection of the Union’s financial interests, to grant the necessary rights and access to the Commission, OLAF, the EPPO and the European Court of Auditors (ECA) and to ensure that any third parties involved in the implementation of Union funds grant equivalent rights. |
(25) |
In relation to the implementation of the specific objectives of promoting gender equality, rights, citizens’ engagement and participation in the democratic life of the Union at local, regional, national and transnational level and combating violence, third countries which are members of the European Economic Area (EEA) may participate in Union programmes in the framework of the cooperation established under the EEA agreement, which provides for the implementation of the programmes by a decision under that agreement. Third countries may also participate on the basis of other legal instruments. A specific provision should be introduced in this Regulation to grant the necessary rights for and access to the authorizing officer responsible, the European Anti-Fraud Office (OLAF) as well as the European Court of Auditors to comprehensively exert their respective competences. |
(26) |
Horizontal financial rules adopted by the European Parliament and the Council on the basis of Article 322 of the Treaty on the Functioning of the European Union apply to this Regulation. These rules are laid down in the Financial Regulation and determine in particular the procedure for establishing and implementing the budget through grants, procurement, prizes, indirect implementation, and provide for checks on the responsibility of financial actors. Rules adopted on the basis of Article 322 TFEU also concern the protection of the Union's budget in case of generalised deficiencies as regards the rule of law in the Member States, as the respect for the rule of law is an essential precondition for sound financial management and effective EU funding. |
(26a) |
The proposal for a regulation of the European Parliament and the Council on the protection of the Union's budget in case of generalised deficiencies as regards the rule of law in the Member States aims to equip the Union to better protect its budget when weaknesses in the rule of law impair or threaten to impair sound financial management or the financial interests of the Union. It should complement the Rights and Values programme whose role is different, namely to fund policies in line with fundamental rights and European values that have at its core people's lives and participation. |
(27) |
Pursuant to [reference to be updated as appropriate according to a new decision on OCTs: Article 94 of Council Decision 2013/755/EU (20)], persons and entities established in overseas countries and territories (OCTs) are eligible for funding subject to the rules and objectives of the Programme and possible arrangements applicable to the Member State to which the relevant overseas country or territory is linked. The constraints arising from the remoteness of OCTs must be taken into account when implementing the Programme, and their effective participation therein must be monitored and regularly evaluated. |
(28) |
Reflecting the importance of tackling climate change in line with the Union’s commitments to implement the Paris Agreement and the United Nations Sustainable Development Goals, this Programme will contribute to mainstream climate action and to the achievement of an overall target of 25 % of the EU budget expenditures supporting climate objectives over the MFF 2021-2027 period, and an annual target of 30 % as soon as possible and at the latest by 2027 . Relevant actions will be identified during the Programme’s preparation and implementation, and reassessed in the context of its mid-term evaluation. |
(29) |
Pursuant to paragraph 22 and 23 of the Inter-institutional agreement for Better Law-Making of 13 April 2016, there is a need to evaluate this Programme on the basis of information collected through specific monitoring requirements, while avoiding overregulation and administrative burdens, in particular on Member States. These requirements, where appropriate, can include measurable indicators, as a basis for evaluating the effects of the Programme on the ground. |
(30) |
In order to ▌ supplement this Regulation with a view to carrying out the Programme and ensuring effective assessment of its progress towards the achievement of its objectives , the power to adopt acts in accordance with Article 290 of the Treaty on the Functioning of the European Union should be delegated to the Commission in respect of work programmes pursuant to Article 13 and indicators as indicated in Articles 14 and 16 and Annex II. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States’ experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts, |
▌ |
|
HAVE ADOPTED THIS REGULATION:
CHAPTER I
GENERAL PROVISIONS
Article 1
Subject matter
This Regulation establishes the Citizens, Equality, Rights and Values programme (‘Programme’).
It lays down the objectives of the Programme, the budget for the period 2021 — 2027, the forms of Union funding and the rules for providing such funding.
Article 2
Programme objectives
1. The general objective of the Programme is to protect and promote rights and values as enshrined in the Treaties, the Charter and in the applicable international human rights conventions, in particular by supporting civil society organisations and other stakeholders active at local, regional, national and transnational level, and by encouraging civic and democratic participation , in order to sustain and further develop open, rights-based , democratic , equal and inclusive societies based on the rule of law ..
2. Within the general objective set out in paragraph 1, the programme has the following specific objectives which correspond to strands:
(-a) |
to protect and promote Union values (Union values strand) |
(a) |
to promote rights, non-discrimination, equality ▌, including gender equality, and advance gender and non-discrimination mainstreaming; (Equality, Rights and Gender Equality strand), |
(b) |
to promote citizens engagement and participation in the democratic life of the Union and exchanges between citizens of different Member States and to raise awareness of the common European history (Citizens' engagement and participation strand), |
(c) |
to fight violence, including gender-based violence (Daphne strand). |
Article 2a
Union values strand
Within the general objective set out in Article 2(1) and within the specific objective set out in point (-a) of Article 2(2), the Programme shall focus on protecting, promoting and raising awareness on rights by providing financial support to civil society organisations active at local, regional and transnational level in promoting and cultivating these rights, thereby also strengthening the protection and promotion of Union values and the respect for the rule of law and contributing to the construction of a more democratic Union, democratic dialogue, transparency and good governance.
Article 3
Equality, Rights and Gender Equality strand
Within the general objective set out in Article 2(1) and within the specific objective set out in point (a) of Article 2(2), the Programme shall focus on:
(a) |
promoting equality and preventing and combating inequalities and discrimination on grounds of sex, racial or ethnic origin, religion or belief, disability, age or sexual orientation ▌ and respecting the principle of non-discrimination on the grounds provided for in Article 21 of the Charter; |
(b) |
▌ supporting, advancing and implementing comprehensive policies:
|
(ba) |
protecting and promoting Union citizenship rights and the right to the protection of personal data. |
Article 4
Citizens engagement and participation strand
Within the general objective set out in Article 2(1) and within the specific objective set out in point (b) of Article 2(2), the Programme shall focus on:
(a) |
▌ supporting projects aimed at commemorating defining events in modern European history, including the causes and consequences of authoritarian and totalitarian regimes, and at raising awareness among European citizens , of their common history, culture, cultural heritage and values, thereby enhancing their understanding of the Union, its ▌ origins, purpose, diversity and achievements and of the importance of mutual understanding and tolerance ; |
(b) |
promoting ▌citizens and representative associations’ ▌ participation in and contribution to the democratic and civic life of the Union by making known and publicly ▌ exchanging their views in all areas on Union action; |
(ba) |
promoting exchanges between citizens of different countries, in particular through town-twinning and networks of towns, so as to afford them practical experience of the wealth and diversity of the common heritage of the Union and to make them aware that these constitute the foundation for a common future. |
Article 5
Daphne strand
Within the general objective set out in Article 2(1) and within the specific objective set out in point (c) of Article 2(2), the Programme shall focus on:
(-a) |
preventing and combating at all levels all forms of gender-based violence against women and girls and domestic violence, also by promoting the standards laid down in the Council of Europe Convention on preventing and combating violence against women and domestic violence (the Istanbul Convention); and |
(a) |
preventing and combating all forms of violence against children, young people▌, as well as violence against other groups at risk , such as LGBTQI persons and persons with disabilities ; |
(b) |
supporting and protecting all direct and indirect victims of such violence , such as domestic violence exerted within the family or violence in intimate relationships, including children orphaned by domestic crimes, and supporting and ensuring the same level of protection throughout the Union for victims of gender-based violence . |
Article 6
Budget
1. The financial envelope for the implementation of the Programme for the period 2021 — 2027 shall be EUR 1 627 000 000 in 2018 prices [EUR 1 834 000 000 in current prices].
2. Within the amount referred to in paragraph 1 the following indicative amount shall be allocated to the following objective:
(-a) |
EUR 754 062 000 in 2018 prices [EUR 850 000 000 in current prices] (i.e. 46,34 % of the total financial envelope) for the specific objectives referred to in point (-a) of Article 2(2); |
(a) |
EUR 429 372 000 in 2018 prices [EUR 484 000 000] (i.e. 26,39 % of the total financial envelope) for the specific objectives referred to in points (a) and (c) of Article 2(2); |
(b) |
EUR 443 566 000 in 2018 prices [EUR 500 000 000] (i.e. 27,26 % of the total financial envelope) for the specific objectives referred to in point (b) of Article 2(2). |
The Commission shall allocate at least 50 % of the amounts referred to in points (-a) and (a) of the first subparagraph of this paragraph to support activities carried out by civil society organisations, of which at least 65 % shall be allocated to local and regional civil society organisations.
The Commission shall not depart from the allocated percentages of the financial envelope, as set out in Annex -I by more than five percentage points. Should it prove necessary to exceed that limit, the Commission shall be empowered to adopt delegated acts in accordance with Article 16 to amend Annex -I by modifying by between five and ten percentage points the allocated percentages of Programme funds.
3. The amount referred to in paragraph 1 may be used for technical and administrative assistance for the implementation of the Programme, such as preparatory, monitoring, control, audit and evaluation activities including corporate information technology systems, studies, meetings of experts, communications on priorities and areas related to the general objectives of the programme.
4. Without prejudice to the Financial Regulation, expenditure for actions resulting from projects included in the first work programme may be eligible as from 1 January 2021.
5. Resources allocated to Member States under shared management may, at their request or at the Commission's request, be transferred to the Programme. The Commission shall implement those resources directly in accordance with Article 62(1)(a) of the Financial Regulation ▌. Where possible, those resources shall be used for the benefit of the Member State ▌.
Article 7
Third countries associated to the Programme
1. The Programme shall be open to the following countries provided that the conditions are met:
(a) |
European Free Trade Association (EFTA) members which are members of the European Economic Area (EEA), in accordance with the conditions laid down in the EEA agreement; |
(b) |
acceding countries, candidate and potential candidate, in accordance with the general principles and general terms and conditions for the participation of those countries in Union programmes established in the respective framework agreements and Association Council decisions, or similar agreements, and in accordance with the specific conditions laid down in agreements between the Union and those countries; |
(c) |
countries covered by the European Neighbourhood Policy, in accordance with the general principles and general terms and conditions for the participation of those countries in Union programmes established in the respective framework agreements and association council decisions, or similar agreements, and in accordance with the specific conditions laid down in agreements between the Union and those countries. |
(d) |
Other third countries, in accordance with the conditions laid down in a specific agreement covering the participation of the third country to any Union programme, provided that the agreement:
|
Article 8
Implementation and forms of EU funding
1. The Programme shall be implemented in direct management in accordance with the Financial Regulation or in indirect management with bodies referred to in point (c) of Article ▌ 62(1) of the Financial Regulation.
2. The Programme may provide funding in any of the forms laid down in the Financial Regulation.
3. [Contributions to a mutual insurance mechanism may cover the risk associated with the recovery of funds due by recipients and shall be considered a sufficient guarantee under the Financial Regulation. The provisions laid down in [Article X of] Regulation XXX [successor of the Regulation on the Guarantee Fund] shall apply].
Article 9
Type of actions
Actions contributing to the achievement of a specific objective specified in Article 2 may receive funding under this Regulation. In particular, activities listed in Annex I shall be eligible for funding.
Article 9a
Civil Dialogue Group
The Commission shall set up a ‘Civil Dialogue Group’ aimed at ensuring a regular, open and transparent dialogue with the beneficiaries of the Programme and other relevant stakeholders in order to exchange experiences and good practices and to discuss policy developments within the fields and objectives covered by the Programme and related fields.
CHAPTER II
GRANTS
Article 10
Grants
1. Grants under the Programme shall be awarded and managed in accordance with Title VIII of the Financial Regulation.
2. The evaluation committee may be composed of external experts.
Article 11
Cumulative [, complementary] and combined funding
1. An action that has received a contribution under the Programme may also receive a contribution from any other Union programme, including Funds under shared management, provided that the contributions do not cover the same costs. [The cumulative financing shall not exceed the total eligible costs of the action and the support from different Union programmes may be calculated on a pro-rata basis].
2. Where the Programme and the Funds under shared management referred to in Article 1 of Regulation (EU)[XX] [CPR] provide jointly financial support to a single action, that action shall be implemented in accordance with the rules set out in this Regulation, including rules on recovery of amounts unduly paid.
3. Actions eligible under the Programme and complying with the conditions referred to in the second subparagraph may be identified with the aim to be funded by the Funds under shared management. In this case the co-financing rates and the eligibility rules provided for in this Regulation shall apply.
The actions referred to in the first subparagraph shall comply with the following cumulative conditions:
a) |
they have been assessed in a call for proposals under the Programme; |
b) |
they comply with the minimum quality requirements of that call for proposals; |
c) |
they may not be financed under that call for proposals due to budgetary constraints. |
The actions shall be implemented by the managing authority referred to in Article [65] of Regulation (EU)[XX] [CPR] in accordance with the rules set out in that Regulation and fund specific regulations, including rules on financial corrections."
Article 12
Eligible entities
1. The eligibility criteria set out in paragraphs 2 and 3 shall apply in addition to the criteria set out in [Article 197] of the Financial Regulation.
2. The following entities are eligible:
(a) |
legal entities established in any of the following countries:
|
(b) |
any legal entity created under Union law or any international organisation; |
3. An operating grant may be awarded without a call for proposals to the European Network of Equality Bodies (EQUINET) , under point (a) of Article 6(2), to cover expenditure associated with its permanent work programme.
CHAPTER III
PROGRAMMING, MONITORING, EVALUATION AND CONTROL
Article 13
Work programme and multiannual priorities
1. The Programme shall be carried out by work programmes referred to in Article 110 of Financial Regulation.
2. The Commission is empowered to adopt delegated acts in accordance with Article 16 to supplement this Regulation by establishing the appropriate work programme.
Article 14
Monitoring and reporting
1. Indicators to report on progress of the Programme towards the achievement of the specific objectives set out in Article 2 are set out in Annex II.
2. To ensure effective assessment of progress of the Programme towards the achievement of its objectives, the Commission shall be empowered to adopt delegated acts, in accordance with Article 16, to develop the provisions for a monitoring and evaluation framework, including through amendments to Annex II to review and complement the indicators where necessary.
3. The performance reporting system shall ensure that data for monitoring programme implementation and results are collected efficiently, effectively, and in a timely manner. To that end, proportionate reporting requirements shall be imposed on recipients of Union funds and Member States.
Article 15
Evaluation
1. Evaluations shall be carried out in a timely manner to feed into the decision-making process.
2. The interim evaluation of the Programme shall be performed once there is sufficient information available about the implementation of the Programme, but no later than four years after the start of the programme implementation. The mid-term evaluation shall take into account the results of the evaluations of the long-term impact of the predecessor programmes (Rights Equality and Citizenship and Europe for Citizens).
3. At the end of the implementation of the Programme, but no later than four years after the end of the period specified in Article 1, a final evaluation of the Programme shall be carried out by the Commission.
4. The Commission shall communicate the conclusions of the evaluations accompanied by its observations, to the European Parliament, the Council, the European Economic and Social Committee and the Committee of the Regions.
Article 16
Exercise of the delegation
1. The power to adopt delegated acts is conferred on the Commission subject to the conditions laid down in this Article.
2. The power to adopt delegated acts referred to in Articles 13 and 14 shall be conferred on the Commission until 31 December 2027.
3. The delegation of power referred to in Articles 13 and 14 may be revoked at any time by the European Parliament or by the Council. A decision to revoke shall put an end to the delegation of power specified in that decision. It shall take effect the day following the publication of the decision in the Official Journal of the European Union or at a later date specified therein. It shall not affect the validity of any delegated acts already in force.
4. Before adopting a delegated act, the Commission shall consult experts designated by each Member State in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016.
5. As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the European Parliament and to the Council. Based on the Interinstitutional Agreement of 13 April 2016 on Better Law-Making, citizens and other stakeholders may express their opinion on the draft text of a delegated act during a four-week period. The European Economic and Social Committee and the Committee of Regions shall be consulted on the draft text, based on the experience of NGOs and local and regional authorities with respect to the implementation of the Programme.
6. A delegated act adopted pursuant to Articles 13 or 14 shall enter into force if no objection has been expressed either by the European Parliament or by the Council within a period of two months of notification of that act to the European Parliament and the Council or if, before the expiry of that period, the European Parliament and the Council have both informed the Commission that they will not object. That period shall be extended by two months at the initiative of the European Parliament or of the Council.
Article 17
Protection of the financial interests of the Union
Where a third country participates in the programme by a decision under an international agreement or by virtue of any other legal instrument, the third country shall grant the necessary rights and access required for the authorizing officer responsible, the European Anti-Fraud Office (OLAF), the European Court of Auditors to comprehensively exert their respective competences. In the case of OLAF, such rights shall include the right to carry out investigations, including on-the-spot checks and inspections, provided for in Regulation (EU, Euratom) No 883/2013 of the European Parliament and of the Council concerning investigations conducted by the European Anti-Fraud Office (OLAF).
CHAPTER IV
TRANSITIONAL AND FINAL PROVISIONS
Article 18
Information, communication and publicity
1. The recipients of Union funding shall acknowledge the origin and ensure the visibility of the Union funding (in particular when promoting the actions and their results) by providing coherent, effective and proportionate targeted information to multiple audiences, including the media and the public.
2. The Commission shall implement information and communication actions relating to the Programme, and its actions and results. Financial resources allocated to the Programme shall also contribute to the corporate communication of the political priorities of the Union, as far as they are related to the objectives referred to in Article 2.
Article 18a
Programme Contact Points
Every member state may establish Programme Contact Points. They shall be in charge of providing impartial guidance, practical information and assistance to applicants, stakeholders and beneficiaries of the programme with respect to all the aspects of the programme, including in relation to the application procedure, dissemination of user-friendly information and programme results, inquiries for partners, training and other formalities. Programme Contact Points shall carry out their functions independently.
▌
Article 20
Repeal
Regulation (EU) No 1381/2013 and Regulation (EU) No 390/2014 are repealed with effect from 1 January 2021.
Article 21
Transitional provisions
1. This Regulation shall not affect the continuation or modification of the actions concerned, until their closure, under Regulations (EU) No 1381/2013 and (EU) No 390/2014, which shall continue to apply to the actions concerned until their closure.
2. The financial envelope for the Programme may also cover technical and administrative assistance expenses necessary to ensure the transition between the Programme and the measures adopted under its predecessor programmes established by Regulations (EU) No 1381/2013 and (EU) No 390/2014.
3. If necessary, appropriations may be entered in the budget beyond 2027 to cover the expenses provided for in Article 6(3), to enable the management of actions not completed by 31 December 2027.
Article 22
Entry into force
This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at …,
For the European Parliament
The President
For the Council
The President
(1) OJ C 62, 15.2.2019, p. 178.
(2) OJ C 461, 21.12.2018, p. 196.
(3) Position of the European Parliament of 17 April 2019. The underlined text has not been agreed in the framework of interinstitutional negotiations.
(4) Regulation (EU) No 1381/2013 of the European Parliament and of the Council of 17 December 2013 establishing a Rights, Equality and Citizenship Programme for the period 2014 to 2020 (OJ L 354, 28.12.2013, p. 62).
(5) Council Regulation (EU) No 390/2014 of 14 April 2014 establishing the ‘Europe for Citizens’ programme for the period 2014-2020 (OJ L 115, 17.4.2014, p. 3)
(6) OJ C 378, 24.12.2013, p. 1.
(8) OJ L 119, 4.5.2016, p. 89.
(9) Regulation (EU) No 211/2011 of the European Parliament and of the Council of 16 February 2011 on the citizens’ initiative (OJ L 65, 11.3.2011, p. 1).
(10) Council Directive 2000/43/EC of 29 June 2000 implementing the principle of equal treatment between persons irrespective of racial or ethnic origin (OJ L 180, 19.7.2000, p. 22).
(11) Council Directive 2004/113/EC of 13 December 2004 implementing the principle of equal treatment between men and women in the access to and supply of goods and services (OJ L 373, 21.12.2004, p. 37).
(12) Directive 2006/54/EC of the European Parliament and of the Council of 5 July 2006 on the implementation of the principle of equal opportunities and equal treatment of men and women in matters of employment and occupation (OJ L 204, 26.7.2006, p. 23).
(13) Directive 2010/41/EU of the European Parliament and of the Council of 7 July 2010 on the application of the principle of equal treatment between men and women engaged in an activity in a self-employed capacity and repealing Council Directive 86/613/EEC (OJ L 180, 15.7.2010, p. 1).
(14) [Reference to be updated: OJ C 373, 20.12.2013, p. 1. The agreement is available at: http://eur-lex.europa.eu/legal-content/EN/TXT/?uri=uriserv:OJ.C_.2013.373.01.0001.01.ENG&toc=OJ:C:2013:373:TOC].
(15) Regulation (EU, Euratom) No 883/2013 of the European Parliament and of the Council of 11 September 2013 concerning investigations conducted by the European Anti-Fraud Office (OLAF) and repealing Regulation (EC) No 1073/1999 of the European Parliament and of the Council and Council Regulation (Euratom) No 1074/1999(OJ L 248, 18.9.2013, p. 1).
(16) Council Regulation (EC, Euratom) No 2988/95 of 18 December 1995 on the protection of the European Communities financial interests (OJ L 312, 23.12.1995, p. 1).
(17) Council Regulation (Euratom, EC) No 2185/96 of 11 November 1996 concerning on-the-spot checks and inspections carried out by the Commission in order to protect the European Communities’ financial interests against fraud and other irregularities (OJ L 292.15.11.1996, p. 2).
(18) Council Regulation (EU) 2017/1939 of 12 October 2017 implementing enhanced cooperation on the establishment of the European Public Prosecutor’s Office (‘the EPPO’) (OJ L 283, 31.10.2017, p. 1).
(19) Directive (EU) 2017/1371 of the European Parliament and of the Council of 5 July 2017 on the fight against fraud to the Union’s financial interests by means of criminal law (OJ L 198, 28.7.2017, p. 29).
(20) Council Decision 2013/755/EU of 25 November 2013 on the association of the overseas countries and territories with the European Union (Overseas Association Decision) (OJ L 344, 19.12.2013, p. 1).
ANNEX -I
The available Programme funds referred to in Article 6(1) shall be allocated as follows:
(a) |
Within the amount referred to in point (a) of Article 6(2):
|
(b) |
Within the amount referred to in point (b) of Article 6(2):
|
ANNEX I
Activities supported by ▌the Programme
The general and specific objectives of the Programme ▌ set out in Article 2 will be pursued in particular ▌ by supporting the following activities:
(a) |
awareness raising, promotion and dissemination of information to improve the knowledge of the rights and values and policies ▌ , within the areas and objectives covered by the Programme; |
(b) |
mutual learning through the exchange of good practices among stakeholders to improve knowledge and mutual understanding ▌; |
(c) |
analytical ▌monitoring activities to improve the understanding of the situation in ▌Member States and at ▌ Union level in the areas covered by the Programme as well as to improve ▌implementation of EU law, ▌policies and Union values within Member States, such as activities to include for instance the collection of data and statistics ; the development of common methodologies and, where appropriate, indicators or benchmarks; studies, research, analyses and surveys; evaluations; impact assessment; the elaboration and publication of guides, reports and educational material ; |
(d) |
training relevant stakeholders to improve their knowledge of the policies and rights in the fields covered by the Programme ; |
(e) |
information and Communication Technology (ICT) tools development and maintenance; |
(ea) |
supporting civil society organisations and non-profit stakeholders active in the areas of the Programme to increase their capacity to react and to ensure adequate access for all citizens to their services, counselling and support activities; |
(eb) |
supporting civil society organisations and non-profit stakeholders active in the areas of the Programme to carry out advocacy activities to promote rights, thereby also strengthening the protection and promotion of Union values and the respect of the rule of law and contributing to democratic dialogue, transparency and good governance, including in cases of shrinking space for civil society; |
(f) |
strengthening ▌awareness among citizens, especially young people, of European culture, cultural heritage, identity and history ▌ including with regard to totalitarian and authoritarian regimes and other defining moments of recent European history so as to strengthen remembrance ▌ and European citizens’ commitment to the Union and to encourage tolerance, mutual understanding, intercultural dialogue and respect for diversity ; |
(g) |
bringing together citizens ▌of different nationalities and cultures by giving them the opportunity to participate in town-twinning activities and civil society projects, thus creating the conditions for a stronger bottom-up approach and fostering civic and democratic engagement |
(h) |
encouraging and facilitating active and inclusive participation in the construction of a more democratic Union as well as raising awareness on ▌rights and values through support to civil society organisations |
(i) |
developing the capacity of European networks to promote and further develop Union law, values, policy goals and strategies ▌; |
(j) |
financing the technical and organisational support to implement Regulation [(EU) No 211/2011], thereby underpinning the exercise by citizens of the right to launch and support European citizens’ initiatives; |
(k) |
enhancing knowledge of the programme and dissemination and transferability of its results and fostering outreach, including by setting up and supporting programme ▌contact points ▌. |
ANNEX II
Indicators
The Programme will be monitored on the basis of a set of indicators intended to measure the extent to which the general and specific objectives of the Programme have been achieved and with a view to minimising administrative burdens and costs. To that end, data will be collected as regards the following set of key indicators:
Number of people reached by:
|
||||||
Number of civil society organisations reached by support and capacity building activities |
||||||
Number of transnational networks and initiatives focusing on European memory and heritage as a result of programme intervention |
All individual data shall be broken down by sex whenever possible; the interim and the final evaluations of the programme shall focus on each strand and on each activity and include a gender equality perspective and evaluate impacts on gender equality.
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/536 |
P8_TA(2019)0408
Number of inter-parliamentary delegations, delegations to joint inter-parliamentary committees and delegations to parliamentary cooperation committees and multilateral Parliamentary Assemblies
European Parliament decision of 17 April 2019 on the number of interparliamentary delegations, delegations to joint parliamentary committees and delegations to parliamentary cooperation committees and to multilateral parliamentary assemblies (2019/2698(RSO))
(2021/C 158/55)
The European Parliament,
— |
having regard to the proposal from the Conference of Presidents, |
— |
having regard to the association, cooperation and other agreements concluded by the European Union with third countries, |
— |
having regard to Rules 212 and 214 of its Rules of Procedure, |
A. |
anxious to strengthen parliamentary democracy by pursuing continuous interparliamentary dialogue; |
1. |
Decides on the number of the interparliamentary delegations and their regional groupings as follows: |
(a) |
Europe, Western Balkans and Turkey |
Delegations to the:
— |
EU-North Macedonia Joint Parliamentary Committee |
— |
EU-Turkey Joint Parliamentary Committee |
Delegation for Northern cooperation and for relations with Switzerland and Norway and to the EU-Iceland Joint Parliamentary Committee and the European Economic Area (EEA) Joint Parliamentary Committee
Delegation to the EU-Serbia Stabilisation and Association Parliamentary Committee
Delegation to the EU-Albania Stabilisation and Association Parliamentary Committee
Delegation to the EU-Montenegro Stabilisation and Association Parliamentary Committee
Delegation for relations with Bosnia and Herzegovina and Kosovo
(b) |
Russia and the Eastern Partnership states |
Delegation to the EU-Russia Parliamentary Cooperation Committee
Delegation to the EU-Ukraine Parliamentary Association Committee
Delegation to the EU-Moldova Parliamentary Association Committee
Delegation for relations with Belarus
Delegation to the EU-Armenia Parliamentary Partnership Committee, the EU-Azerbaijan Parliamentary Cooperation Committee and the EU-Georgia Parliamentary Association Committee
(c) |
Maghreb, Mashreq, Israel and Palestine |
Delegations for relations with:
— |
Israel |
— |
Palestine |
— |
the Maghreb countries and the Arab Maghreb Union, including the EU-Morocco, EU-Tunisia and EU-Algeria Joint Parliamentary Committees |
— |
the Mashreq countries |
(d) |
The Arab Peninsula, Iraq and Iran |
Delegations for relations with:
— |
the Arab Peninsula |
— |
Iraq |
— |
Iran |
(e) |
The Americas |
Delegations for relations with:
— |
the United States |
— |
Canada |
— |
the Federative Republic of Brazil |
— |
the countries of Central America |
— |
the countries of the Andean Community |
— |
Mercosur |
Delegation to the EU-Mexico Joint Parliamentary Committee
Delegation to the EU-Chile Joint Parliamentary Committee
Delegation to the Cariforum — EU Parliamentary Committee
(f) |
Asia/Pacific |
Delegations for relations with:
— |
Japan |
— |
the People’s Republic of China |
— |
India |
— |
Afghanistan |
— |
the countries of South Asia |
— |
the countries of Southeast Asia and the Association of Southeast Asian Nations (ASEAN) |
— |
the Korean Peninsula |
— |
Australia and New Zealand |
Delegation to the EU-Kazakhstan, EU-Kyrgyzstan, EU-Uzbekistan and EU-Tajikistan Parliamentary Cooperation Committees, and for relations with Turkmenistan and Mongolia
(g) |
Africa |
Delegations for relations with:
— |
South Africa |
— |
the Pan-African Parliament |
(h) |
Multilateral assemblies |
Delegation to the ACP-EU Joint Parliamentary Assembly
Delegation to the Parliamentary Assembly of the Union for the Mediterranean
Delegation to the Euro-Latin American Parliamentary Assembly
Delegation to the Euronest Parliamentary Assembly
Delegation for relations with the NATO Parliamentary Assembly;
2. |
Decides that the membership of parliamentary committees created on the basis of the Economic Partnership Agreement (EPA) shall be drawn exclusively from the Committee on International Trade and the Committee on Development — ensuring the maintenance of the leading role of the Committee on International Trade as the committee responsible — and that they should actively coordinate their work with the ACP-EU Joint Parliamentary Assembly; |
3. |
Decides that the membership of the Parliamentary Assembly of the Union for the Mediterranean, the Euro-Latin American Parliamentary Assembly and the Euronest Parliamentary Assembly shall be drawn exclusively from the bilateral or sub-regional delegations covered by each Assembly; |
4. |
Decides that the membership of the Delegation for relations with the NATO Parliamentary Assembly shall be drawn exclusively from the Subcommittee on Security and Defence; |
5. |
Decides that the Conference of Delegation Chairs should draw up a draft six-monthly calendar of activities following a consultation with the Committees on Foreign Affairs, on Development and on International Trade. It should be drafted in close cooperation with the Conference of Committee Chairs’ six-month calendar of committee delegations, also taking into account the yearly work programme of the Democracy Support and Election Coordination Group (DEG), in order to ensure a consistent approach. This joint draft six-monthly calendar of activities shall then be submitted for adoption to the Conference of Presidents. The Conference of Presidents may modify the proposed draft calendar with a view to responding to political events and to ensuring coherence of all Parliament’s external activities; |
6. |
Recalls that only official delegations, duly authorised by the Conference of Presidents, are permitted to carry out activities on behalf of the European Parliament and to represent its position; |
7. |
Decides that the political groups and non-attached Members shall appoint permanent substitutes to serve on each type of delegation and that the number of those substitutes may not exceed the number of full members representing the groups or non-attached Members; |
8. |
Decides that full members of standing interparliamentary delegations shall be entitled to participate in interparliamentary meetings outside Parliament’s places of work. If a full member is unable to travel, he or she may be replaced by one of the permanent substitute members or, if the substitute member is not available, by a member of the interparliamentary assembly covering this delegation, nominated by the political group to which the full member belongs. If a member of the interparliamentary assembly covering this delegation is not available, members of the Committee on Foreign Affairs, the Committee on Development and the Committee on International Trade could be entitled to participate; |
9. |
Considers that prior to an interparliamentary meeting with the counterpart (SAPC, JPC, PAC, PCC, IPM, etc.), or prior to any given outgoing delegation, close consultation should take place with the relevant committee(s) on possible political topics or legislative scrutiny issues that the delegation should address in meetings with the counterparts of the country concerned; |
10. |
Will endeavour to ensure in practice that one or more committee rapporteurs or chairs may likewise take part in the proceedings of delegations, joint interparliamentary committees, parliamentary cooperation committees and multilateral parliamentary assemblies, and decides that the President, on the joint request of the delegation and committee chairs concerned, shall authorise missions of this type; |
11. |
Decides that this decision will enter into force at the first part-session of the ninth parliamentary term; |
12. |
Instructs its President to forward this decision to the Council, the Commission and the European External Action Service. |
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/540 |
P8_TA(2019)0409
Adapting a number of legal acts providing for the use of the regulatory procedure with scrutiny to Articles 290 and 291 TFEU — part II ***I
European Parliament legislative resolution of 17 April 2019 on the proposal for a regulation of the European Parliament and of the Council adapting a number of legal acts providing for the use of the regulatory procedure with scrutiny to Articles 290 and 291 of the Treaty on the Functioning of the European Union (COM(2016)0799 — C8-0148/2019 — 2016/0400B(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/56)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2016)0799), |
— |
having regard to Article 294(2) and Article 33, Article 43(2), Article 53(1), Article 62, Article 64(2), Article 91, Article 100(2), Article 114, Article 153(2)(b), Article 168(4) (a), Article 168(4)(b), Article 172, Article 192(1), Article 207, Article 214(3), and Article 338(1) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0148/2019), |
— |
having regard to the opinion of the Committee on Legal Affairs on the proposed legal basis, |
— |
having regard to Article 294(3) and Article 43(2), Article 53(1), Article 62, Article 91, Article 100(2), Article 114, Article 153(2)(b), Article 168(4) (a), Article 168(4)(b), Article 192(1) and Article 338(1) of the Treaty on the Functioning of the European Union, |
— |
having regard to the opinion of the European Economic and Social Committee of 1 June 2017 (1), |
— |
having regard to the opinion of the Committee of the Regions of 1 December 2017 (2), |
— |
having regard to the letters of the Committee on Employment and Social Affairs, the Committee on the Environment, Public Health and Food Safety, the Committee on Industry, Research and Energy and the Committee on the Internal Market and Consumer Protection, |
— |
having regard to the decision by the Conference of Presidents of 7 March 2019 to authorise the Committee on Legal Affairs to split the above-mentioned Commission proposal and to draw up two separate legislative reports on the basis thereof, |
— |
having regard to the report of the Committee on Legal Affairs (A8-0020/2018), |
— |
having regard to Rules 59 and 39 of its Rules of Procedure, |
— |
having regard to the report of the Committee on Legal Affairs and also the opinions and position in the form of amendments of the Committee on Economic and Monetary Affairs, the Committee on the Environment, Public Health and Food Safety, the Committee on Transport and Tourism and the Committee on Agriculture and Rural Development (A8-0190/2019), |
1. |
Adopts its position at first reading hereinafter set out; |
2. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
3. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
P8_TC1-COD(2016)0400B
Position of the European Parliament adopted at first reading on 17 April 2019 with a view to the adoption of Regulation (EU) …/… of the European Parliament and of the Council adapting a number of legal acts providing for the use of the regulatory procedure with scrutiny to Articles 290 and 291 of the Treaty on the Functioning of the European Union
(Text with EEA relevance)
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on the Functioning of the European Union, and in particular Article 33, Article 43(2), Article 53(1), Article 62, Article 64(2), Article 91, Article 100(2), Article 114, Article 153(2)(b), Article 168(4) (a), Article 168(4)(b), Article 172, Article 192(1), Article 207, Article 214(3), and Article 338(1) particular Article 43(2), Article 53(1), Article 62, Article 91, Article 100(2), Article 114, Article 153(2)(b), Article 168(4)(a), Article 168(4)(b), Article 192(1) and Article 338(1) thereof, [Am. 1]
Having regard to the proposal from the European Commission,
After transmission of the draft legislative act to the national parliaments,
Having regard to the opinion of the European Economic and Social Committee (1),
Having regard to the opinion of the Committee of the Regions (2),
Acting in accordance with the ordinary legislative procedure (3),
Whereas:
(1) |
The Treaty of Lisbon introduced a has substantially modified the legal framework governing the powers conferred on the Commission by the legislator, introducing a clear distinction between powers delegated to the Commission to adopt non-legislative acts of general application to supplement or amend certain non-essential elements of a legislative act (delegated acts), and the powers conferred upon the Commission to adopt acts to ensure uniform conditions for implementing legally binding Union acts (implementing acts). [Am. 2] |
(2) |
The measures which may be covered by delegations of powers, as referred to in Article 290(1) of the Treaty on the Functioning of the European Union (TFEU), correspond in principle to those covered by the regulatory procedure with scrutiny established by Article 5a of Council Decision 1999/468/EC (4). |
(3) |
Earlier proposals relating to the alignment of legislation referring to the regulatory procedure with scrutiny with the legal framework introduced by the Lisbon Treaty (5) were withdrawn (6) due to the stagnation of the interinstitutional negotiations. |
(4) |
The European Parliament, the Council and the Commission subsequently agreed on a new framework for delegated acts in the Interinstitutional Agreement on Better Law-Making of 13 April 2016 (7) and acknowledged the need to align all existing legislation to the legal framework introduced by the Lisbon Treaty. In particular, they agreed on the need to give high priority to the prompt alignment of all basic acts which still refer to the regulatory procedure with scrutiny. The Commission gave a commitment to prepare a proposal for that alignment by the end of 2016. |
(5) |
The majority of empowerments in basic acts which provide for the use of the regulatory procedure with scrutiny fulfil the criteria in Article 290(1) TFEU and should be adapted to that provision. |
(6) |
Other empowerments in basic acts which provide for the use of the regulatory procedure with scrutiny fulfil the criteria in Article 291(2) of the TFEU and should be adapted to that provision. |
(7) |
Where implementing powers are conferred on the Commission, those powers should be exercised in accordance with Regulation (EU) No 182/2011 of the European Parliament and of the Council (8). |
(8) |
In a few basic acts which currently provide for the use of the regulatory procedure with scrutiny certain empowerments have become obsolete and should therefore be deleted. |
(8a) |
Bundling and presenting empowerments that are not closely linked with each other within a single delegated act of the Commission impedes the exercise of Parliament's right of scrutiny, as it is forced to simply accept or refuse the entire delegated act, which leaves no room to express an opinion on each empowerment individually. [Am. 3] |
(9) |
This Regulation should not affect pending procedures in which the committee has already delivered its opinion in accordance with Article 5a of Decision 1999/468/EC before the entry into force of this Regulation. |
(10) |
Since the adaptations and amendments to be made concern procedures at Union level only, they do not, in the case of directives, need to be transposed by the Member States. |
(11) |
The acts concerned should therefore be amended accordingly. |
HAVE ADOPTED THIS REGULATION:
Article 1
The acts listed in the Annex are amended as set out therein.
Article 2
This Regulation shall not affect pending procedures in which a committee has already delivered its opinion in accordance with Article 5a of Decision 1999/468/EC.
Article 3
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 be binding in its entirety and directly applicable in all Member States.
Done at …,
For the European Parliament
The President
For the Council
The President
(1) OJ C , , p. .
(2) OJ C , , p. .
(3) Position of the European Parliament of 17 April 2019.
(4) Council Decision 1999/468/EC of 28 June 1999 laying down the procedures for the exercise of implementing powers conferred on the Commission, (OJ L 184, 17.7.1999, p. 23).
(5) COM(2013)0451, COM(2013)0452 and COM(2013)0751.
(7) OJ L 123, 12.5.2016, p. 1.
(8) Regulation (EU) No 182/2011 of the European Parliament and of the Council of 16 February 2011 laying down the rules and general principles concerning mechanisms for control by Member States of the Commission’s exercise of implementing powers (OJ L 55, 28.2.2011, p. 13).
ANNEX
I. CLIMATE ACTION
1. |
Directive 2009/31/EC of the European Parliament and of the Council of 23 April 2009 on the geological storage of carbon dioxide and amending Council Directive 85/337/EEC, European Parliament and Council Directives 2000/60/EC, 2001/80/EC, 2004/35/EC, 2006/12/EC, 2008/1/EC and Regulation (EC) No 1013/2006 (1)
In order to ensure swift technical adaptation of Directive 2009/31/EC, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission in respect of the necessary amendments to adapt the Annexes to that Directive. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2009/31/EC is amended as follows:
|
2. |
Decision No 406/2009/EC of the European Parliament and of the Council of 23 April 2009 on the effort of Member States to reduce their greenhouse gas emissions to meet the Community’s greenhouse gas emission reduction commitments up to 2020 (2)
In order to ensure the accurate accounting of transactions under Decision No 406/2009/EC, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to supplement that Decision with requirements applicable to Member States' registries and the Central Administrator as regards the handling of transactions. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. In order to ensure uniform conditions for the implementation of Decision No 406/2009/EC, implementing powers should be conferred on the Commission in order to determine the annual emission allocations. Those powers should be exercised in accordance with Regulation (EU) No 182/2011. Experience has shown that an empowerment relating to the modalities of certain transfers is not needed. Accordingly, Decision No 406/2009/EC is amended as follows:
|
3. |
Regulation (EC) No 1005/2009 of the European Parliament and of the Council of 16 September 2009 on substances that deplete the ozone layer (3)
In order to ensure compliance with the Union’s obligations as party to the Montreal Protocol on Substances that Deplete the Ozone Layer and to ensure the proper functioning of intra-Union and external trade in substances that deplete the ozone layer and products and equipment containing or relying on those substances, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to:
It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Regulation (EC) No 1005/2009 is amended as follows:
|
II. COMMUNICATION NETWORKS, CONTENT AND TECHNOLOGY
4. |
Directive 2002/58/EC of 12 July 2002 concerning the processing of personal data and the protection of privacy in the electronic communications sector (Directive on privacy and electronic communications) (4)
In order to ensure an equivalent level of protection of fundamental rights and freedoms, with respect to the processing of personal data in the electronic communication sector and to ensure the free movement of such data and of electronic communication equipment and services in the Union, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to supplement Directive 2002/58/EC in respect of circumstances, format and procedures applicable to the information and notification requirements. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2002/58/EC is amended as follows:
|
5. |
Regulation (EC) No 733/2002 of the European Parliament and of the Council of 22 April 2002 on the implementation of the .eu Top Level Domain (5) (*8)
In order to set out the conditions for the implementation of the .eu country code Top Level Domain (ccTLD) established by Regulation (EC) No 733/2002, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to supplement that Regulation with the criteria and the procedure for the designation of the Registry, and with public policy rules concerning the implementation and function of the .eu Top Level Domain (TLD) and the public policy principles on registration. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Regulation (EC) No 733/2002 is amended as follows:
|
6. |
Decision No 626/2008/EC of the European Parliament and of the Council of 30 June 2008 on the selection and authorisation of systems providing mobile satellite services (MSS Decision) (6) (*10)
In order to ensure uniform conditions for the implementation of Decision No 626/2008/EC, implementing powers should be conferred on the Commission concerning appropriate modalities for coordinated application of the rules on enforcement. Those powers should be exercised in accordance with Regulation (EU) No 182/2011. Accordingly, Decision No 626/2008/EC is amended as follows:
|
III. HUMANITARIAN AID AND CIVIL PROTECTION (*11)
7. |
Council Regulation (EC) No 1257/96 of 20 June 1996 concerning humanitarian aid (7) |
Since its adoption in 1996, no measures have ever had to be adopted by the Commission in accordance with the regulatory procedure with scrutiny in order to amend non-essential elements of Regulation (EC) No 1257/96. There does not seem to be any foreseeable need to do so in the future. The possibility to adopt implementing measures in accordance with the regulatory procedure with scrutiny should therefore be removed from Regulation (EC) No 1257/96, without there being a need to empower the Commission to adopt delegated acts in accordance with Article 290 of the Treaty.
Accordingly, Regulation (EC) No 1257/96 is amended as follows:
(1) |
in Article 15, paragraph 1 is deleted; |
(2) |
in Article 17, paragraph 4 is deleted. |
IV. EMPLOYMENT, SOCIAL AFFAIRS AND INCLUSION
8. |
Council Directive 89/391/EEC of 12 June 1989 on the introduction of measures to encourage improvements in the safety and health of workers at work (8)
In order to take account of technical harmonisation and standardisation, technical progress, changes in international regulations or specifications and new findings, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend, in a technical way, the Annex to Directive 89/391/EEC. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Inter-institutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 89/391/EEC is amended as follows:
|
9. |
Council Directive 89/654/EEC of 30 November 1989 concerning the minimum safety and health requirements for the workplace (first individual directive within the meaning of Article 16 (1) of Directive 89/391/EEC) (9) (*13)
In order to take account of technical harmonisation and standardisation of the design, manufacture or construction of parts of workplaces, technical progress, changes in international regulations or specifications and knowledge with regard to the workplaces, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend, in a technical way, the Annexes to Directive 89/654/EEC. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Inter-Institutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 89/654/EEC is amended as follows:
|
10. |
Council Directive 89/656/EEC of 30 November 1989 on the minimum health and safety requirements for the use by workers of personal protective equipment at the workplace (third individual directive within the meaning of Article 16 (1) of Directive 89/391/EEC) (10) (*15)
In order to take account of technical harmonisation and standardisation, technical progress, changes in international regulations or specifications and knowledge with regard to personal protective equipment, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend, in a technical way, the Annexes to Directive 89/656/EEC. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Inter-institutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 89/656/EEC is amended as follows:
|
11. |
Council Directive 90/269/EEC of 29 May 1990 on the minimum health and safety requirements for the manual handling of loads where there is a risk particularly of back injury to workers (fourth individual Directive within the meaning of Article 16 (1) of Directive 89/391/EEC) (11) (*17)
In order to take account of technical progress, changes in international regulations or specifications and knowledge with regard to manual handling of loads where there is a risk particularly of back injury to workers, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend the Annexes to Directive 90/269/EEC, in a technical way. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Inter-institutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 90/269/EEC is amended as follows:
|
12. |
Council Directive 90/270/EEC of 29 May 1990 on the minimum safety and health requirements for work with display screen equipment (fifth individual Directive within the meaning of Article 16 (1) of Directive 89/391/EEC) (12) (*19)
In order to take account of technical progress, changes in international regulations or specifications and knowledge with regard to display screen equipment, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend the Annex to Directive 90/270/EEC, in a technical way. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Inter-institutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 90/270/EEC is amended as follows:
|
13. |
Council Directive 92/29/EEC of 31 March 1992 on the minimum safety and health requirements for improved medical treatment on board vessels (13) (*21)
In order to take account of technical progress, changes in international regulations or specifications and new findings with regard to medical treatment on board vessels, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend the Annexes to Directive 92/29/EEC in a technical way. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Inter-institutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 92/29/EEC is amended as follows:
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14. |
Council Directive 92/57/EEC of 24 June 1992 on the implementation of minimum safety and health requirements at temporary or mobile construction sites (eighth individual Directive within the meaning of Article 16 (1) of Directive 89/391/EEC) (14) (*23)
In order to take account of technical harmonisation and standardisation technical progress, changes in international regulations or specifications and knowledge with regard to temporary or mobile construction sites, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend Annex IV to Directive 92/57/EEC in a technical way. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Inter-institutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 92/57/EEC is amended as follows:
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15. |
Council Directive 92/58/EEC of 24 June 1992 on the minimum requirements for the provision of safety and/or health signs at work (ninth individual Directive within the meaning of Article 16 (1) of Directive 89/391/EEC) (15) (*25)
In order to take account of technical harmonisation and standardisation, technical progress, changes in international regulations or specifications and knowledge with regard to safety and health signs at work, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend the Annexes to Directive 92/58/EEC in a technical way. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Inter-institutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 92/58/EEC is amended as follows:
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16. |
Council Directive 92/91/EEC of 3 November 1992 concerning the minimum requirements for improving the safety and health protection of workers in the mineral- extracting industries through drilling (eleventh individual Directive within the meaning of Article 16 (1) of Directive 89/391/EEC) (16)
In order to take account of technical harmonisation and standardisation, of technical progress, changes in international regulations or specifications and knowledge with regard to the mineral-extracting industries through drilling, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend the Annex to Directive 92/91/EEC in a technical way. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Inter-institutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 92/91/EEC is amended as follows:
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17. |
Council Directive 92/104/EEC of 3 December 1992 on the minimum requirements for improving the safety and health protection of workers in surface and underground mineral-extracting industries (twelfth individual Directive within the meaning of Article 16 (1) of Directive 89/391/EEC) (17)
In order to take account of technical harmonisation and standardisation, technical progress, changes in international regulations or specifications and new findings concerning the surface and underground mineral-extracting industries, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend the Annex to Directive 92/104/EEC in a technical way. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Inter-institutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 92/104/EEC is amended as follows:
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18. |
Council Directive 93/103/EC of 23 November 1993 concerning the minimum safety and health requirements for work on board fishing vessels (thirteenth individual Directive within the meaning of Article 16 (1) of Directive 89/391/EEC) (18)
In order to take account of technical harmonisation and standardisation, technical progress, changes in international regulations or specifications and new findings in the field of safety and health on board fishing vessels, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend the Annexes to Directive 93/103/EC in a technical way. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Inter-institutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 93/103/EC is amended as follows:
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19. |
Council Directive 94/33/EC of 22 June 1994 on the protection of young people at work (19) (*30)
In order to achieve adequate protection of young people at work and to take account of technical progress, changes in international standards or specifications and new findings, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend the Annex to Directive 94/33/EC in a technical way. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Inter-institutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 94/33/EC is amended as follows:
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20. |
Council Directive 98/24/EC of 7 April 1998 on the protection of the health and safety of workers from the risks related to chemical agents at work (fourteenth individual Directive within the meaning of Article 16(1) of Directive 89/391/EEC) (20) (*32)
In order to achieve adequate protection of workers from risks to their health and safety and to take account of technical harmonisation and standardisation, technical progress, changes in international standards or specifications and new findings concerning chemical agents, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend the Annexes to Directive 98/24/EC, in a technical way, and to supplement that Directive by establishing or revising indicative occupational exposure limit values. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Inter-institutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 98/24/EC is amended as follows:
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21. |
Directive 1999/92/EC of the European Parliament and of the Council of 16 December 1999 on minimum requirements for improving the safety and health protection of workers potentially at risk from explosive atmospheres (15th individual Directive within the meaning of Article 16(1) of Directive 89/391/EEC) (21)
In order to take account of technical harmonisation and standardisation in the field of explosion protection, technical progress, changes in international regulations or specifications and new findings on the prevention of and protection against explosions, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend the Annexes to Directive 1999/92/EC in a technical way. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Inter-institutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 1999/92/EC is amended as follows:
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22. |
Directive 2000/54/EC of the European Parliament and of the Council of 18 September 2000 on the protection of workers from risks related to exposure to biological agents at work (seventh individual directive within the meaning of Article 16(1) of Directive 89/391/EEC) (22)
In order to take account of technical progress, changes in international regulations or specifications and new findings with regard to exposure to biological agents, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend the Annexes to Directive 2000/54/EC in a technical way. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Inter-institutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2000/54/EC is amended as follows:
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23. |
Directive 2002/44/EC of the European Parliament and of the Council of 25 June 2002 on the minimum health and safety requirements regarding the exposure of workers to the risks arising from physical agents (vibration) (sixteenth individual Directive within the meaning of Article 16(1) of Directive 89/391/EEC) (23) (*36)
In order to take account of technical harmonisation and standardisation with regard to the design, building, manufacture or construction of work equipment and workplaces, technical progress, changes in harmonised European standards or specifications and new findings concerning mechanical vibration, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend the Annex to Directive 2002/44/EC in a technical way. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Inter-institutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2002/44/EC is amended as follows:
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24. |
Directive 2003/10/EC of the European Parliament and of the Council of 6 February 2003 on the minimum health and safety requirements regarding the exposure of workers to the risks arising from physical agents (noise) (Seventeenth individual Directive within the meaning of Article 16(1) of Directive 89/391/EEC) (24) (*38)
In order to take account of technical harmonisation and standardisation with regard to the design, building, manufacture or construction of work equipment and workplaces, technical progress, changes in harmonised European standards or specifications and new findings concerning noise, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend, in a technical way, Directive 2003/10/EC. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Inter-institutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2003/10/EC is amended as follows:
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25. |
Directive 2004/37/EC of the European Parliament and of the Council of 29 April 2004 on the protection of workers from the risks related to exposure to carcinogens or mutagens at work (Sixth individual Directive within the meaning of Article 16(1) of Council Directive 89/391/EEC) (25) (*40)
In order to take account of technical progress, changes in international regulations or specifications and new findings with regard to carcinogens or mutagens, the power to adopt acts in accordance with Article 290 of the Treaty Union should be delegated to the Commission to amend Annex II to Directive 2004/37/EC in a technical way. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Inter-institutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2004/37/EC is amended as follows:
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26. |
Directive 2006/25/EC of the European Parliament and of the Council of 5 April 2006 on the minimum health and safety requirements regarding the exposure of workers to risks arising from physical agents (artificial optical radiation) (19th individual Directive within the meaning of Article 16(1) of Directive 89/391/EEC) (26) (*42)
In order to take account of technical harmonisation and standardisation with regard to the design, building, manufacture or construction of work equipment or workplaces, technical progress, changes in harmonised European standards or international specifications and new scientific findings concerning occupational exposure to optical radiation, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend the Annexes to Directive 2006/25/EC in a technical way. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Inter-institutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2006/25/EC is amended as follows:
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27. |
Directive 2009/104/EC of the European Parliament and of the Council of 16 September 2009 concerning the minimum safety and health requirements for the use of work equipment by workers at work (second individual Directive within the meaning of Article 16(1) of Directive 89/391/EEC) (27)
In order to take account of technical harmonisation and standardisation, technical progress and changes in international regulations or specifications or knowledge in the field of work equipment, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend Annexes I and II to Directive 2009/104/EC in a technical way. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Inter-institutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2009/104/EC is amended as follows:
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28. |
Directive 2009/148/EC of the European Parliament and of the Council of 30 November 2009 on the protection of workers from the risks related to exposure to asbestos at work (28) (*45)
In order to take account of technical progress, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend Annex I to Directive 2009/148/EC in a technical way. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Inter-institutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2009/148/EC is amended as follows:
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V. ENERGY
29. |
Directive 2009/73/EC of the European Parliament and the Council of 13 July 2009 concerning common rules for the internal market in natural gas and repealing Directive 2003/55/EC (29)
In order to ensure an internal market in natural gas, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to supplement Directive 2009/73/EC with the necessary guidelines setting out the details of a number of procedures concerning gas market rules. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2009/73 EC is amended as follows:
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30. |
Regulation (EC) No 715/2009 of the European Parliament and of the Council of 13 July 2009 on conditions for access to the natural gas transmission networks and repealing Regulation (EC) No 1775/2005 (30)
In order to ensure conditions for access to the natural gas transmission networks, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to supplement Regulation (EC) No 715/2009 with necessary guidelines setting out procedural details, measures covering highly complex technical arrangements and measures specifying details of certain provisions of that Regulation. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Regulation (EC) No 715/2009 is amended as follows:
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31. |
Regulation (EC) No 1222/2009 of the European Parliament and of the Council of 25 November 2009 on the labelling of tyres with respect to fuel efficiency and other essential parameters (31) (*49)
In order to make the necessary technical adaptations to Regulation (EC) No 1222/2009 the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend the Annexes to that Regulation to adapt them to technical progress. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Regulation (EC) No 1222/2009 is amended as follows:
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VI. ENVIRONMENT
32. |
Council Directive 91/271/EEC of 21 May 1991 concerning urban waste-water treatment (32)
In order to adapt Directive 91/271/EEC to technical and scientific progress, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend Annex I to that Directive. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 91/271/EEC is amended as follows:
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33. |
Council Directive 91/676/EEC of 12 December 1991 concerning the protection of waters against pollution caused by nitrates from agricultural sources (33)
In order to adapt Directive 91/676/EEC to scientific and technical progress, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend the Annexes to that Directive. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 91/676/EEC is amended as follows:
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34. |
European Parliament and Council Directive 94/63/EC of 20 December 1994 on the control of volatile organic compound (VOC) emissions resulting from the storage of petrol and its distribution from terminals to service stations (34) (*53)
In order to ensure that the specifications for bottom loading equipment laid down in Directive 94/63/EC are revised where appropriate and to adapt the Annexes to technical progress, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend the Annexes to that Directive. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 94/63/EC is amended as follows:
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35. |
Council Directive 96/59/EC of 16 September 1996 on the disposal of polychlorinated biphenyls and polychlorinated terphenyls (PCB/PCT) (35)
In order to establish additional technical rules necessary for the disposal of PCB and PCT pursuant to Directive 96/59/EC, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to supplement that Regulation by:
It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016, in particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 96/59/EC is amended as follows:
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36. |
Council Directive 98/83/EC of 3 November 1998 on the quality of water intended for human consumption (36)
In order to adapt Directive 98/83/EC to scientific and technical progress, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend Annexes II and III to that Directive. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. The empowerment laid down in Annex I, part C, Note 10 to set monitoring frequencies and monitoring methods for radioactive substance has become obsolete due to the adoption of Council Directive 2013/51/Euratom (37). As far as the empowerment laid down in Annex III, part A, second paragraph is concerned, the possibility to amend Annex III by delegated acts is already foreseen under Article 11(2) of Directive 98/83/EC. Accordingly, Directive 98/83/EC is amended as follows:
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37. |
Directive 2000/53/EC of the European Parliament and of the Council of 18 September 2000 on end-of life vehicles (38)
In order to ensure that Directive 2000/53/EC remains up to date and to establish additional technical measures with regard to end-of life vehicles, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission:
It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2000/53/EC is amended as follows:
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38. |
Directive 2000/60/EC of the European Parliament and of the Council of 23 October 2000 establishing a framework for Community action in the field of water policy (39)
In order to adapt Directive 2000/60/EC to scientific and technical progress and to establish additional technical rules necessary for Union action in the field of water policy, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission in respect of the following:
It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2000/60/EC is amended as follows:
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39. |
Directive 2002/49/EC of the European Parliament and of the Council of 25 June 2002 relating to the assessment and management of environmental noise (40) (*59)
In order to adapt Directive 2002/49/EC to technical and scientific progress, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend the Annexes to that Directive. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2002/49/EC is amended as follows:
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40. |
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 and amending Directive 1999/13/EC (41) (*61)
In order to ensure the use of up-to-date analytical methods for determining compliance with volatile organic compounds content limit values, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend Annex III to Directive 2004/42/EC to adapt it to technical progress. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2004/42/EC is amended as follows:
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41. |
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 (42)
In order to take account of scientific and technical developments, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend Directive 2004/107/EC. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2004/107/EC is amended as follows:
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42. |
Directive 2006/7/EC of the European Parliament and of the Council of 15 February 2006 concerning the management of bathing water quality and repealing Directive 76/160/EEC (43)
In order to adapt Directive 2006/7/EC to scientific and technical progress, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission:
It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2006/7/EC is amended as follows:
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43. |
Directive 2006/21/EC of the European Parliament and of the Council of 15 March 2006 on the management of waste from extractive industries and amending Directive 2004/35/EC (44)
In order to further develop the technical provisions of Directive 2006/21/EC and to adapt it to scientific and technical progress, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission:
It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2006/21/EC is amended as follows:
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44. |
Directive 2006/118/EC of the European Parliament and of the Council of 12 December 2006 on the protection of groundwater against pollution and deterioration (45)
In order to adapt Directive 2006/118/EC to scientific and technical progress, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend Annexes II, III and IV to that Directive and to add new pollutants or indicators. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2006/118/EC is amended as follows:
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45. |
Regulation (EC) No 166/2006 of the European Parliament and of the Council of 18 January 2006 concerning the establishment of a European Pollutant Release and Transfer Register and amending Council Directives 91/689/EEC and 96/61/EC (46) (*67)
In order to adapt Regulation (EC) No 166/2006 to technical progress and to the evolution of international law, and to ensure better reporting, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend Annexes II and III to that Regulation to adapt them to scientific or technical progress or as a result of the adoption by the Meeting of the Parties to the Protocol of any amendment of the Annexes to the UNECE Protocol on Pollutant Release and Transfer Registers, as well as to supplement that Regulation by initiating reporting on releases of relevant pollutants from one or more diffuse sources. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Regulation (EC) No 166/2006 is amended as follows:
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46. |
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) (47)
In order to update and further develop the technical rules applicable to the Infrastructure for Spatial Information in the Union, as set out in Directive 2007/2/EC, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission:
It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2007/2/EC is amended as follows:
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47. |
Directive 2007/60/EC of the European Parliament and of the Council of 23 October 2007 on the assessment and management of flood risks (48)
In order to take account of scientific and technical progress, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend the Annex to Directive 2007/60/EC. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2007/60/EC is amended as follows:
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48. |
Directive 2008/50/EC of the European Parliament and of the Council of 21 May 2008 on ambient air quality and cleaner air for Europe (49)
In order to take account of technical developments, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend Annexes I to VI, VIII, IX, X and XV to Directive 2008/50/EC in order to adapt them to technical progress. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2008/50/EC is amended as follows:
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49. |
Directive 2008/56/EC of the European Parliament and of the Council of 17 June 2008 establishing a framework for community action in the field of marine environmental policy (Marine Strategy Framework Directive) (50)
In order to adapt Directive 2008/56/EC to scientific and technical progress, to ensure consistency and to allow for comparison between marine regions or sub-regions, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend Annexes III, IV and V to that Directive and to supplement that Directive with criteria and methodological standards and specifications and standardised methods for monitoring and assessment to be used by the Member States. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2008/56/EC is amended as follows:
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50. |
Regulation (EC) No 1272/2008 of the European Parliament and of the Council of 16 December 2008 on classification, labelling and packaging of substances and mixtures, amending and repealing Directives 67/548/EEC and 1999/45/EC, and amending Regulation (EC) No 1907/2006 (51) (*73)
In order to ensure that Regulation (EC) No 1272/2008 is regularly updated, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission:
It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Regulation (EC) No 1272/2008 is amended as follows:
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51. |
Directive 2009/126/EC of the European Parliament and of the Council of 21 October 2009 on Stage II petrol vapour recovery during refuelling of motor vehicles at service stations (52) (*75)
In order to ensure consistency with relevant standards drawn up by the European Committee for Standardisation (CEN), the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend certain provisions of Directive 2009/126/EC in order to adapt them to technical progress. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2009/126/EC is amended as follows:
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52. |
Directive 2009/147/EC of the European Parliament and of the Council of 30 November 2009 on the conservation of wild birds (53)
In order to adapt Directive 2009/147/EC to technical and scientific progress, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend Annexes I and V to that Directive. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2009/147/EC is amended as follows:
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53. |
Regulation (EC) No 1221/2009 of the European Parliament and of the Council of 25 November 2009 on the voluntary participation by organisations in a Community eco-management and audit scheme (EMAS), repealing Regulation (EC) No 761/2001 and Commission Decisions 2001/681/EC and 2006/193/EC (54)
In order to update Regulation (EC) No 1221/2009 and to establish evaluation procedures, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend the Annexes to that Regulation and to supplement it with procedures for carrying out the peer evaluation of the EMAS Competent Bodies and to provide sectoral reference documents as well as guidance documents referring to registration of organisations and to harmonisation procedures . It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement of 13 April 2016 on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. [Am. 77] In order to ensure uniform conditions for the implementation of Regulation (EC) No 1221/2009 implementing powers should be conferred on the Commission concerning the harmonisation of certain procedures and in relation to sectoral reference documents. Those powers should be exercised in accordance with Regulation (EU) No 182/2011. [Am. 78] Accordingly, Regulation (EC) No 1221/2009 is amended as follows:
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54. |
Regulation (EC) No 66/2010 of the European Parliament and of the Council of 25 November 2009 on the EU Ecolabel (55)
In order to update Regulation (EC) No 66/2010 and to establish additional technical rules necessary for the EU Ecolabel, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission:
It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. As regards the development of EU Ecolabel criteria for food and feed, in 2011 the Commission published a study on the feasibility of developing Ecolabel criteria for food and feed products. Based on the final report of that feasibility study and the opinion of the European Union Ecolabelling Board, the Commission does not intend to develop Ecolabel criteria for food and feed products at this time. Therefore, it is not necessary to delegate power to the Commission to decide for which food and feed groups the development of Ecolabel criteria is feasible. Accordingly, Regulation (EC) No 66/2010 is amended as follows:
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VII. EUROSTAT
55. |
Council Regulation (EEC) No 3924/91 of 19 December 1991 on the establishment of a Community survey of industrial production (56)
In order to adapt Regulation (EEC) No 3924/91 to technical progress the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to supplement that Regulation by:
It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Regulation (EEC) No 3924/91 is amended as follows:
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56. |
Council Regulation (EEC) No 696/93 of 15 March 1993 on the statistical units for the observation and analysis of the production system in the Community (57)
In order to adapt Regulation (EEC) No 696/93 to economic and technical developments the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend the statistical units of the production system, the criteria used and the definitions specified in the Annex to that Regulation. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Regulation (EEC) No 696/93 is amended as follows:
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57. |
Council Regulation (EC) No 1165/98 of 19 May 1998 concerning short-term statistics (58)
In order to adapt Regulation (EC) No 1165/98 to economic and technical developments, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to:
It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Several empowerments only needed for transitional measures have now become obsolete. Accordingly, Regulation (EC) No 1165/98 is amended as follows:
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58. |
Council Regulation (EC) No 530/1999 of 9 March 1999 concerning structural statistics on earnings and on labour costs (59)
In order to adapt Regulation (EC) No 530/1999 with a view to taking account of economic and technical changes, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to supplement that Regulation with the definition and breakdown of the information to be provided and the criteria for quality evaluation criteria of the statistics . It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement of 13 April 2016 on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. [Am. 116] In order to ensure uniform conditions for the implementation of Regulation (EC) No 530/1999 concerning the technical format for the transmission of results implementing powers should be conferred on the Commission. Those powers should be exercised in accordance with Regulation (EU) No 182/2011. Accordingly, Regulation (EC) No 530/1999 is amended as follows:
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59. |
Regulation (EC) No 2150/2002 of the European Parliament and of the Council of 25 November 2002 on waste statistics (60)
In order to update Regulation (EC) No 2150/2002 with a view to taking account of economic and technical developments in the collection and statistical processing of waste statistics, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission:
It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Provisions relating to transitional measures have become obsolete. In order to ensure uniform conditions for the implementation of Regulation (EC) No 2150/2002 concerning the production of results, the appropriate format for the transmission of results and the contents structure and detailed arrangements of the quality reports implementing powers should be conferred on the Commission. Those powers should be exercised in accordance with Regulation (EU) No 182/2011. [Am. 121] Accordingly, Regulation (EC) No 2150/2002 is amended as follows:
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60. |
Regulation (EC) No 437/2003 of the European Parliament and of the Council of 27 February 2003 on statistical returns in respect of the carriage of passengers, freight and mail by air (62)
In order to update Regulation (EC) No 437/2003 with a view to taking account of economic and social developments, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend the data collection characteristics and the specifications in the Annexes to that Regulation and to supplement that Regulation by establishing other standards of accuracy. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. In order to ensure uniform conditions for the implementation of Regulation (EC) No 437/2003 concerning the data files for the transmission, the description of the data codes and the medium to be used for data transmission, implementing powers should be conferred on the Commission. Those powers should be exercised in accordance with Regulation (EU) No 182/2011. Accordingly, Regulation (EC) No 437/2003 is amended as follows:
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61. |
Regulation (EC) No 450/2003 of the European Parliament and of the Council of 27 February 2003 concerning the labour cost index (63)
In order to update Regulation (EC) No 450/2003 with a view to taking account of economic and social developments, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to:
It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. In order to ensure uniform conditions for the implementation of Regulation (EC) No 450/2003 concerning the content of structure and detailed arrangements for the quality report, implementing powers should be conferred on the Commission. Those powers should be exercised in accordance with Regulation (EU) No 182/2011. [Am. 130] Accordingly, Regulation (EC) No 450/2003 is amended as follows:
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62. |
Regulation (EC) No 808/2004 of the European Parliament and of the Council of 21 April 2004 concerning Community statistics on the information society (64)
In order to adapt Regulation (EC) No 808/2004 to economic and technical developments, in particular concerning the content of the modules, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission with respect to supplementing the modules of that Regulation concerning the selection and the specification, the adjustment and the modification of subjects and their characteristics, the coverage, the reference periods and breakdowns of characteristics, the periodicity and timing of data provision and the deadlines for transmission of results. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016*. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Regulation (EC) No 808/2004 is amended as follows:
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63. |
Regulation (EC) No 1161/2005 of the European Parliament and of the Council of 6 July 2005 on the compilation of quarterly non-financial accounts by institutional sector (65)
In order to ensure the quality of the quarterly non-financial accounts for the Union and the euro area compiled under Regulation (EC) No 1161/2005, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to:
It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Regulation (EC) No 1161/2005 is amended as follows:
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64. |
Regulation (EC) No 1552/2005 of the European Parliament and of the Council of 7 September 2005 on statistics relating to vocational training in enterprises (66)
In order to update Regulation (EC) No 1552/2005 with a view to taking account of economic and technical developments, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to supplement that Regulation:
It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. In order to ensure uniform conditions for the implementation of Regulation (EC) No 1552/2005 concerning the structure of the quality reports, implementing powers should be conferred on the Commission. Those powers should be exercised in accordance with Regulation (EU) No 182/2011. Accordingly, Regulation (EC) No 1552/2005 is amended as follows:
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65. |
Regulation (EC) No 1893/2006 of the European Parliament and of the Council of 20 December 2006 establishing the statistical classification of economic activities NACE Revision 2 and amending Council Regulation (EEC) No 3037/90 as well as certain EC Regulations on specific statistical domains (67) (*91)
In order to adapt Regulation (EC) No 1893/2006 to technological and economic developments and to align NACE Rev. 2 with other economic and social classifications, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend the Annex to that Regulation. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Regulation (EC) No 1893/2006 is amended as follows:
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66. |
Regulation (EC) No 458/2007 of the European Parliament and of the Council of 25 April 2007 on the European system of integrated social protection statistics (ESSPROS) (68)
In order to adapt Regulation (EC) No 458/2007 to technological and economic developments, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend that Regulation by updating the rules on dissemination and to supplement it by establishing the first year for which full data should be collected and by adopting measures relating to the detailed classification of data covered and the definitions to be used. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Regulation (EC) No 458/2007 is amended as follows:
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67. |
Regulation (EC) No 716/2007 of the European Parliament and of the Council of 20 June 2007 on Community statistics on the structure and activity of foreign affiliates (69)
In order to adapt Regulation (EC) No 716/2007 to economic and technical developments the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend the definitions in Annexes I and II and the level of detail in Annex III and to supplement that Regulation with measures concerning inward and outward statistics on foreign affiliates and common quality standards . [Am. 160] It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. In order to ensure uniform conditions for the implementation of Regulation (EC) No 716/2007, implementing powers should be conferred on the Commission in order to define the contents and periodicity of the quality reports. Those powers should be exercised in accordance with Regulation (EU) No 182/2011. Accordingly, Regulation (EC) No 716/2007 is amended as follows:
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68. |
Regulation (EC) No 862/2007 of the European Parliament and of the Council of 11 July 2007 on Community statistics on migration and international protection and repealing Council Regulation (EEC) No 311/76 on the compilation of statistics on foreign workers (70)
In order to adapt Regulation (EC) No 862/2007 to technological and economic developments, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend that Regulation to update certain definitions and to supplement it by determining the groupings of data and additional disaggregations and laying down rules on accuracy and quality standards. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Regulation (EC) No 862/2007 is amended as follows:
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69. |
Regulation (EC) No 1445/2007 of the European Parliament and of the Council of 11 December 2007 establishing common rules for the provision of basic information on Purchasing Power Parities and for their calculation and dissemination (71)
In order to update Regulation (EC) No 1445/2007 with a view to taking account of economic and technical changes for the calculation and dissemination of Purchasing Power Parities, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend that Regulation to adapt the definitions and to amend the basic headings in Annex II and to supplement that Regulation with quality criteria. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. In order to ensure uniform conditions for the implementation of Regulation (EC) No 1445/2007 implementing powers should be conferred on the Commission to adopt the structure of the quality reports. Those powers should be exercised in accordance with Regulation (EU) No 182/2011. Accordingly, Regulation (EC) No 1445/2007 is amended as follows:
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70. |
Regulation (EC) No 177/2008 of the European Parliament and of the Council of 20 February 2008 establishing a common framework for business registers for statistical purposes and repealing Council Regulation (EEC) No 2186/93 (72)
In order to adapt Regulation (EC) No 177/2008 to economic and technical developments, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend the list of register characteristics, their definition and their continuity rules in the Annex to that Regulation and to supplement that Regulation with common standards for the quality standards of business registers and rules for updating registers and by determining the extent to which certain enterprises and enterprise groups are to be included in the registers, specifying units consistent with those for agricultural statistics. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement of 13 April 2016 on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. [Am. 175] In order to ensure uniform conditions for the implementation of Regulation (EC) No 177/2008, implementing powers should be conferred on the Commission concerning the content and periodicity of the quality reports. Those powers should be exercised in accordance with Regulation (EU) No 182/2011. Accordingly, Regulation (EC) No 177/2008 is amended as follows:
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71. |
Regulation (EC) No 295/2008 of the European Parliament and of the Council of 11 March 2008 concerning structural business statistics (73)
In order to adapt Regulation (EC) No 295/2008 to economic and technical developments, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to supplement that Regulation:
It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Regulation (EC) No 295/2008 is amended as follows:
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72. |
Regulation (EC) No 451/2008 of the European Parliament and of the Council of 23 April 2008 establishing a new statistical classification of products by activity (CPA) and repealing Council Regulation (EEC) No 3696/93 (74) (*99)
In order to adapt Regulation (EC) No 451/2008 to technological or economic developments and align it with other economic and social classifications, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend the Annex to that Regulation. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Regulation (EC) No 451/2008 is amended as follows: |
(1) |
in Article 6, paragraph 2 is replaced by the following: ‘2. The Commission is empowered to adopt delegated acts in accordance with Article 6a amending the Annex:
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(2) |
the following Article 6a is inserted: ‘Article 6a Exercise of the delegation 1. The power to adopt delegated acts is conferred on the Commission subject to the conditions laid down in this Article. 2. The power to adopt delegated acts referred to in Article 6(2) shall be conferred on the Commission for an indeterminate period of time from [date of entry into force of this Omnibus]. 3. The delegation of power referred to in Article 6(2) may be revoked at any time by the European Parliament or by the Council. A decision to revoke shall put an end to the delegation of the power specified in that decision. It shall take effect the day following the publication of the decision in the Official Journal of the European Union or at a later date specified therein. It shall not affect the validity of any delegated acts already in force. 4. Before adopting a delegated act, the Commission shall consult experts designated by each Member State in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016 (*100) . 5. As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the European Parliament and to the Council. 6. A delegated act adopted pursuant to Article 6(2) shall enter into force only if no objection has been expressed either by the European Parliament or by the Council within a period of two months of notification of that act to the European Parliament and the Council or if, before the expiry of that period, the European Parliament and the Council have both informed the Commission that they will not object. That period shall be extended by two months at the initiative of the European Parliament or of the Council. |
(3) |
in Article 7, paragraph 3 is deleted. |
73. |
Regulation (EC) No 452/2008 of the European Parliament and of the Council of 23 April 2008 concerning the production and development of statistics on education and lifelong learning (75)
In order to adapt Regulation (EC) No 452/2008 to policy or technical developments, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to supplement that Regulation by selecting and specifying the subjects of the statistics, their characteristics, the breakdown of characteristics, the observation period and deadlines for transmission of results, the quality requirements including the required precision. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. In order to ensure uniform conditions for the implementation of Regulation (EC) No 452/2008, implementing powers should be conferred on the Commission concerning the quality reporting framework. Those powers should be exercised in accordance with Regulation (EU) No 182/2011. Accordingly, Regulation (EC) No 452/2008 is amended as follows:
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74. |
Regulation (EC) No 453/2008 of the European Parliament and of the Council of 23 April 2008 on quarterly statistics on Community job vacancies (76)
In order to update Regulation (EC) No 453/2008 with a view to providing regular quarterly statistics on job vacancies, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to supplement that Regulation by defining the concepts of ‘active steps to find a suitable candidate’ and ‘specific period of time’, by determining certain reference dates, by setting out the framework for feasibility studies and by adopting any appropriate acts based on the results of those studies. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. In order to ensure uniform conditions for the implementation of Regulation (EC) No 453/2008 concerning the format for transmission of data and metadata, implementing powers should be conferred on the Commission. Those powers should be exercised in accordance with Regulation (EU) No 182/2011. Accordingly, Regulation (EC) No 453/2008 is amended as follows:
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75. |
Regulation (EC) No 763/2008 of the European Parliament and of the Council of 9 July 2008 on population and housing censuses (77)
In order to update Regulation (EC) No 763/2008, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to supplement that Regulation by establishing subsequent reference years and adopting the programme of the statistical data and the metadata. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Regulation (EC) No 763/2008 is amended as follows:
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76. |
Regulation (EC) No 1099/2008 of the European Parliament and of the Council of 22 October 2008 on energy statistics (78)
In order to adapt Regulation (EC) No 1099/2008 to technical progress and new needs, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission
It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Regulation (EC) No 1099/2008 is amended as follows:
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77. |
Regulation (EC) No 1338/2008 of the European Parliament and of the Council of 16 December 2008 on Community statistics on public health and health and safety at work (79)
In order to enhance the application of Regulation (EC) No 1338/2008, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to supplement that Regulation by laying down the variables, definitions and classifications of the subjects, referred to in Annexes I to V and their breakdown as well as the reference periods, intervals and time limits for the provision of data and the provision of metadata. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Regulation (EC) No 1338/2008 is amended as follows:
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78. |
Regulation (EC) No 1185/2009 of the European Parliament and of the Council of 25 November 2009 concerning statistics on pesticides (80)
In order to update Regulation (EC) No 1185/2009, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend the requirements relating to the provision of the quality reports referred to in Section 6 of Annexes I and II respectively and the list of substances to be covered and their classification in categories of products and chemical classes as set out in Annex III and to supplement that Regulation with a definition of the ‘area treated’ as referred to in Section 2 of Annex II. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Regulation (EC) No 1185/2009 is amended as follows:
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VIII. FINANCIAL STABILITY, FINANCIAL SERVICES AND CAPITAL MARKETS UNION
79. |
Regulation (EC) No 1606/2002 of the European Parliament and of the Council of 19 July 2002 on the application of international accounting standards (81)
In order to decide on the applicability within the Union of international accounting standards developed by the International Accounting Standards Board, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to supplement Regulation (EC) No 1606/2002. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Regulation (EC) No 1606/2002 is amended as follows:
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80. |
Council Directive 2009/110/EC of 16 September 2009 on the taking up, pursuit and prudential supervision of the business of electronic money institutions amending Directives 2005/60/EC and 2006/48/EC and repealing Directive 2000/46/EC (82)
In order to adapt Directive 2009/110/EC to take account of inflation or technological and market developments, and to ensure a convergent application of certain exemptions set out in that includes in Article 14 an empowerment for the Commission to adopt measures which are necessary to update the provisions of the Directive, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend that Directive. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. ‘in order to take account of inflation or technological and market developments’ in accordance with the regulatory procedure with scrutiny. Such empowerment, if adapted to an empowerment for the adoption of delegated acts without further changes, would not satisfy the requirements of Article 290 TFEU regarding the necessary specification of objectives, content and scope of the delegation of power. Taking into account that the Commission has not used the empowerment to date, it should be deleted. [Am. 245] Accordingly, Directive 2009/110/EC is amended as follows:
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IX. INTERNAL MARKET, INDUSTRY, ENTREPRENEURSHIP AND SMES
81. |
Council Directive 75/324/EEC of 20 May 1975 on the approximation of the laws of the Member States relating to aerosol dispensers (83)
In order to take into account new developments in aerosol dispenser technology and ensure a high level of safety, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend Directive 75/324/EEC to adapt it to technical progress. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 75/324/EEC is amended as follows:
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82. |
Council Directive 76/211/EEC of 20 January 1976 on the approximation of the laws of the Member States relating to the making-up by weight or by volume of certain prepackaged products (84) (*110)
In order to adapt Directive 76/211/EEC to technical progress, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend Annexes I and II to that Directive. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 76/211/EEC is amended as follows:
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83. |
Directive 80/181/EEC of the Council of 20 December 1979 on the approximation of the laws of the Member States relating to units of measurement and on the repeal of Directive 71/354/EEC (85)
In order to adapt Directive 80/181/EEC to technical progress, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend the Annex to that Directive and to supplement that Directive with supplementary indications. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 80/181/EEC is amended as follows:
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84. |
Directive 97/67/EC of the European Parliament and of the Council of 15 December 1997 on common rules for the development of the internal market of Community postal services and the improvement of quality of service (86)
In order to ensure swift technical adaptation of the quality-of-service standards, in particular on routing times and on the regularity and reliability of cross-border services, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend the Annexes to Directive 97/67/EC to adapt them to technical progress and to supplement that Directive with standardised conditions for performance monitoring. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 97/67/EC is amended as follows:
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85. |
Directive 2000/14/EC of the European Parliament and of the Council of 8 May 2000 on the approximation of the laws of the Member States relating to the noise emission in the environment by equipment for use outdoors (87) (*114)
In order to adapt Directive 2000/14/EC to technical progress, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend Annex III to that Directive. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2000/14/EC is amended as follows:
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86. |
Regulation (EC) No 2003/2003 of the European Parliament and of the Council of 13 October 2003 relating to fertilisers (88)
In order to adopt the necessary technical adaptations to Regulation (EC) No 2003/2003, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend Annexes I to IV to that Regulation for the purpose of adapting and modernising the measuring, sampling and analysis methods and specifying the control measures and to amend Annex I to that Regulation to include new types of fertilisers. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Regulation (EC) No 2003/2003 is amended as follows:
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87. |
Directive 2004/9/EC of the European Parliament and of the Council of 11 February 2004 on the inspection and verification of good laboratory practice (GLP) (89) (*117)
In order to adopt the necessary technical adaptation to Directive 2004/9/EC, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission:
It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2004/9/EC is amended as follows:
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88. |
Directive 2004/10/EC of the European Parliament and of the Council of 11 February 2004 on the harmonisation of laws, regulations and administrative provisions relating to the application of the principles of good laboratory practice and the verification of their applications for tests on chemical substances (90)
In order to ensure the necessary technical adaptations to Directive 2004/10/EC, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend Annex I to that Directive in order to adapt it to technical progress with regard to the principles of good laboratory practice, and to amend that Directive in order to introduce necessary technical adaptations. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2004/10/EC is amended as follows:
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89. |
Directive 2006/42/EC of the European Parliament and of the Council on machinery, and amending Directive 95/16/EC (91) (*120)
In order to take into account new developments, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend the indicative list of safety components in Annex V to Directive 2006/42/EC. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. In order to ensure uniform conditions for the implementation of Directive 2006/42/EC, implementing powers should be conferred on the Commission concerning necessary measures to deal with potentially hazardous machinery. Those powers should be exercised in accordance with Regulation (EU) No 182/2011. Accordingly, Directive 2006/42/EC is amended as follows:
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90. |
Directive 2006/123/EC of the European Parliament and of the Council of 12 December 2006 on services in the internal market (92)
In order to ensure swift technical adaptation of Directive 2006/123/EC, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to supplement that Directive with common criteria and certain time-limits. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2006/123/EC is amended as follows:
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91. |
Regulation (EC) No 1907/2006 of the European Parliament and of the Council of 18 December 2006 concerning the Registration, Evaluation, Authorisation and Restriction of Chemicals (REACH), establishing a European Chemicals Agency, amending Directive 1999/45/EC and repealing Council Regulation (EEC) No 793/93 and Commission Regulation (EC) No 1488/94 as well as Council Directive 76/769/EEC and Commission Directives 91/155/EEC, 93/67/EEC, 93/105/EC and 2000/21/EC (93)
The power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission:
It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Regulation (EC) No 1907/2006 is amended as follows:
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92. |
Directive 2009/34/EC of the European Parliament and of the Council of 23 April 2009 relating to common provisions for both measuring instruments and methods of metrological control (94) (*126)
In order to ensure that the necessary technical adaptations are made to Directive 2009/34/EC, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend the Annexes to that Directive to adapt them to technical progress. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. As far as the empowerment in Article 5(3) is concerned, which provides that Member States which have granted limited EC pattern approval are to apply for adjustment to technical progress of Annexes I and II, such limited EC pattern approvals no longer exist. The empowerment in Article 5(3) should therefore be deleted. Accordingly, Directive 2009/34/EC is amended as follows:
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93. |
Directive 2009/43/EC of the European Parliament and of the Council of 6 May 2009 simplifying terms and conditions of transfers of defence-related products within the Community (95) (*128)
In order to ensure that the list of defence-related products set out in the Annex to Directive 2009/43/EC strictly corresponds to the Common Military List of the European Union, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend that Annex and to amend that Directive as regards the circumstances in which Member States may exempt transfers of defence-related products from the obligation of prior authorisation. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016*. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2009/43/EC is amended as follows: |
(1) |
in Article 4, paragraph 3 is replaced by the following: ‘3. The Commission is empowered to adopt delegated acts in accordance with Article 13a, at the request of a Member State or on its own initiative, amending paragraph 2, in order to include cases where:
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(2) |
Article 13 is replaced by the following: ‘Article 13 Amendment of the Annex The Commission is empowered to adopt delegated acts in accordance with Article 13a amending the list of defence-related products set out in the Annex, so that it strictly corresponds to the Common Military List of the European Union. Where imperative grounds of urgency so require, the procedure provided for in Article 13b shall apply to delegated acts adopted pursuant to this Article.’; |
(3) |
the following Articles 13a and 13b are inserted: ‘Article 13a Exercise of the delegation 1. The power to adopt delegated acts is conferred on the Commission subject to the conditions laid down in this Article. 2. The power to adopt delegated acts referred to in Article 4(3) and Article 13 shall be conferred on the Commission for an indeterminate period of time from the [date of entry into force of this Omnibus]. 3. The delegation of power referred to in Article 4(3) and Article13 may be revoked at any time by the European Parliament or by the Council. A decision to revoke shall put an end to the delegation of the power specified in that decision. It shall take effect the day following the publication of the decision in the Official Journal of the European Union or at a later date specified therein. It shall not affect the validity of any delegated acts already in force. 4. Before adopting a delegated act, the Commission shall consult experts designated by each Member State in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016 (*129) . 5. As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the European Parliament and to the Council. 6. A delegated act adopted pursuant to Article 4(3) and Article 13 shall enter into force only if no objection has been expressed either by the European Parliament or the Council within a period of two months of notification of that act to the European Parliament and the Council or if, before the expiry of that period, the European Parliament and the Council have both informed the Commission that they will not object. That period shall be extended by two months at the initiative of the European Parliament or of the Council. Article 13b Urgency procedure 1. Delegated acts adopted under this Article shall enter into force without delay and shall apply as long as no objection is expressed in accordance with paragraph 2. The notification of a delegated act to the European Parliament and to the Council shall state the reasons for the use of the urgency procedure. 2. Either the European Parliament or the Council may object to a delegated act in accordance with the procedure referred to in Article 13a(6). In such a case, the Commission shall repeal the act immediately following the notification of the decision to object by the European Parliament or by the Council. |
(4) |
Article 14 is deleted. |
94. |
Directive 2009/48/EC of the European Parliament and of the Council of 18 June 2009 on the safety of toys (96)
In order to harmonise the safety levels of toys throughout the Union and to remove obstacles to trade in toys between Member States, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend:
It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2009/48/EC is amended as follows:
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95. |
Regulation (EC) No 79/2009 of the European Parliament and of the Council of 14 January 2009 on type-approval of hydrogen-powered motor vehicles, and amending Directive 2007/46/EC (97) (*131)
In order to adapt Regulation (EC) No 79/2009 to technical progress as regards the safety of hydrogen powered vehicle, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to supplement that Regulation with technical requirements for such vehicles as well as with administrative provisions, templates for administrative documents and models for markings. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Inter-institutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States’ experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Regulation (EC) No 79/2009 is amended as follows:
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96. |
Directive 2009/81/EC of the European Parliament and of the Council of 13 July 2009 on the coordination of procedures for the award of certain works contracts, supply contracts and service contracts by contracting authorities or entities in the fields of defence and security, and amending Directives 2004/17/EC and 2004/18/EC (98) (*133)
In order to adapt Directive 2009/81/EC to rapid technical, economic and regulatory developments, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend the threshold amounts for contracts in order to align them to those laid down in Directive 2014/25/EU of the European Parliament and of the Council (99) , to amend the references to the Common Procurement Vocabulary (CPV nomenclature) and to amend certain reference numbers in the CPV nomenclature and the procedures for reference in notices to certain headings in the CPV nomenclature. As the technical details and characteristics of the devices for electronic receipt should be kept up to date with technological developments, it is also necessary to empower the Commission to amend the technical details and characteristics of devices for electronic receipt. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2009/81/EC is amended as follows:
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97. |
Directive 2009/125/EC of the European Parliament and of the Council of 21 October 2009 establishing a framework for the setting of eco-design requirements for energy- related products (100)
In order to improve the environmental impact of energy-related products and achieve energy savings, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to supplement Directive 2009/125/EC with specific ecodesign requirements for selected environmental aspects which have a significant environmental impact. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2009/125/EC is amended as follows:
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98. |
Regulation (EC) No 661/2009 of the European Parliament and of the Council of 13 July 2009 concerning type-approval requirements for the general safety of motor vehicles, their trailers and systems, components and separate technical units intended therefore (101)
In order to adapt Regulation (EC) No 661/2009 to technical progress the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend certain limit values and Annex IV and to supplement that Regulation with technical requirements for motor vehicles, systems, components and separate technical units, as well as with administrative provisions, templates for administrative documents and models for markings. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Inter-institutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States’ experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Regulation (EC) 661/2009 is amended as follows:
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99. |
Regulation (EC) No 1223/2009 of the European Parliament and of the Council of 30 November 2009 on cosmetic products (102)
In order to ensure that Regulation (EU) No 1223/2009 is adapted to technical and scientific progress, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission:
It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. In order to ensure uniform conditions for the implementation of the relevant provisions of Regulation (EC) No 1223/2009 concerning derogations in relation to animal testing, implementing powers should be conferred on the Commission to adopt decisions authorising derogations from the prohibition on animal testing. Those powers should be exercised in accordance with Regulation (EU) No 182/2011. [Am. 276] Accordingly, Regulation (EU) No 1223/2009 is amended as follows: |
(1) |
in Article 2, paragraph 3 is replaced by the following: ‘3. In view of the various definitions of nanomaterials published by different bodies and the constant technical and scientific developments in the field of nanotechnologies, the Commission is empowered to adopt delegated acts in accordance with Article 31a amending paragraph 1(k) to adjust and adapt that point to technical and scientific progress and to definitions subsequently agreed at international level.’; |
(2) |
in Article 13, paragraph 8 is replaced by the following: ‘8. The Commission is empowered to adopt delegated acts in accordance with Article 31a amending paragraphs 1 to 7 of this Article by adding requirements, taking into account technical and scientific progress and specific needs related to market surveillance.’; |
(3) |
in Article 14, paragraph 2 is replaced by the following: ‘2. Subject to a decision of the Commission to extend the scope of Annex IV to hair colouring products, such products shall not contain colorants intended to colour the hair, other than those listed in Annex IV and colorants intended to colour the hair which are listed there but not used in accordance with the conditions laid down in that Annex. To adopt the decision referred to in the first subparagraph, the Commission is empowered to adopt delegated acts in accordance with Article 31a amending Annex IV.’; |
(4) |
Article 15 is amended as follows:
|
(5) |
Article 16 is amended as follows:
|
(6) |
in Article 18(2), the ninth subparagraph is replaced by the following: ‘The measures The Commission is empowered to adopt delegated acts in accordance with Article 31a to supplement this Regulation by providing authorisation for the derogation referred to in the sixth subparagraph shall be adopted by means of implementing acts. Those implementing acts shall be adopted in accordance with the procedure referred to in Article 32(2).’; [Am. 277] |
(7) |
in Article 20(2), the second subparagraph is replaced by the following: ‘The Commission is empowered to adopt delegated acts in accordance with Article 31a to supplement this Regulation by establishing a list of common criteria for claims which may be used in respect of cosmetic products, after consulting the SCCS or other relevant authorities and taking into account the provisions of Directive 2005/29/EC.’; [Am. 278] |
(8) |
Article 31 is replaced by the following: ‘Article 31 Amendment of the Annexes 1. The Commission is empowered to adopt delegated acts in accordance with Article 31a, after consulting the SCCS, amending Annexes II to VI where there is a potential risk to human health, arising from the use of substances in cosmetic products, which needs to be addressed on a Union-wide basis. Where, in case of a potential risk to human health arising from the use of substances in cosmetic products, imperative grounds of urgency so require, the procedure provided for in Article 31b shall apply to delegated acts adopted pursuant this paragraph. 2. The Commission is empowered to adopt delegated acts in accordance with Article 31a, after consulting the SCCS, amending Annexes III to VI and VIII for the purposes of adapting them to technical and scientific progress. 3. The Commission is empowered to adopt delegated acts in accordance with Article 31a, after consulting the SCCS, amending Annex I where it appears necessary, in order to ensure the safety of cosmetic products placed on the market.’; |
(9) |
the following Articles 31a and 31b are inserted: ‘Article 31a Exercise of the delegation 1. The power to adopt delegated acts is conferred on the Commission subject to the conditions laid down in this Article. 2. The power to adopt delegated acts referred to in Article 2(3), Article 13(8), Article 14(2), Article 15(1) and (2), Article 16 (8) and (9), Article 18(2), Article 20(2) and Article 31(1), (2) and (3) shall be conferred on the Commission for an indeterminate a period of time five years from … [date of entry into force of this Omnibus amending Regulation ]. The Commission shall draw up a report in respect of the delegation of power not later than nine months before the end of the five-year period. The delegation of power shall be tacitly extended for periods of an identical duration, unless the European Parliament or the Council opposes such extension not later than three months before the end of each period. 3. The delegation of power referred to in Article 2(3), Article 13(8), Article 14(2), Article 15(1) and (2), Article 16(8) and (9), Article 18(2), Article 20(2) and Article 31(1), (2) and (3), may be revoked at any time by the European Parliament or by the Council. A decision to revoke shall put an end to the delegation of the power specified in that decision. It shall take effect the day following the publication of the decision in the Official Journal of the European Union or at a later date specified therein. It shall not affect the validity of any delegated acts already in force. 4. Before adopting a delegated act, the Commission shall consult experts designated by each Member State in accordance with the principles laid down in the Interinstitutional Agreement of 13 April 2016 on Better Law-Making of 13 April 2016 (*137). 5. As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the European Parliament and to the Council. 6. A delegated act adopted pursuant to Article 2(3), Article 13(8), Article 14(2), Article 15(1) and (2), Article 16 (8) and (9), Article 18(2), Article 20(2) and Article 31(1), (2) and (3) shall enter into force only if no objection has been expressed either by the European Parliament or the Council within a period of two months of notification of that act to the European Parliament and the Council or if, before the expiry of that period, the European Parliament and the Council have both informed the Commission that they will not object. That period shall be extended by two months at the initiative of the European Parliament or of the Council. [Am. 279] Article 31b Urgency procedure 1. Delegated acts adopted under this Article shall enter into force without delay and shall apply as long as no objection is expressed in accordance with paragraph 2. The notification of a delegated act to the European Parliament and to the Council shall state the reasons for the use of the urgency procedure. 2. Either the European Parliament or the Council may object to a delegated act in accordance with the procedure referred to in Article 31a(6). In such a case, the Commission shall repeal the act immediately following the notification of the decision to object by the European Parliament or by the Council. |
(10) |
in Article 32, paragraphs 3 and 4 are deleted. |
X. JUSTICE AND CONSUMERS
100. |
Council Directive 92/85/EEC of 19 October 1992 on the introduction of measures to encourage improvements in the safety and health at work of pregnant workers and workers who have recently given birth or are breastfeeding (tenth individual Directive within the meaning of Article 16 (1) of Directive 89/391/EEC) (103) (*138)
In order to take account of technical progress, changes in international regulations or specifications and new findings, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend Annex I to Directive 92/85/EEC in a technical way. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Inter-institutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 92/85/EEC is amended as follows:
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101. |
Directive 2008/48/EC of the European Parliament and of the Council of 23 April 2008 on credit agreements for consumers and repealing Council Directive 87/102/EEC (104) (*140)
In order to update Directive 2008/48/EC, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend that Directive to add additional assumptions for the calculation of the annual percentage rate or to modify the existing assumptions. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2008/48/EC is amended as follows:
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XI. MOBILITY AND TRANSPORT
102. |
Council Regulation (EEC) No 3922/91 of 16 December 1991 on the harmonization of technical requirements and administrative procedures in the field of civil aviation (105)
In order to adapt Regulation (EEC) No 3922/91 to scientific and technical progress, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend Annex III to that Regulation. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Regulation (EEC) No 3922/91 is amended as follows:
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103. |
Council Directive 95/50/EC of 6 October 1995 on uniform procedures for checks on the transport of dangerous goods by road (106) (*143)
In order to adapt Directive 95/50/EC to scientific and technical progress, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend the Annexes to that Directive, in particular to take account of amendments to Directive 2008/68/EC of the European Parliament and of the Council (107) . It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 95/50/EC is amended as follows:
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104. |
Council Directive 97/70/EC of 11 December 1997 setting up a harmonised safety regime for fishing vessels of 24 meters in length and over (108)
In order to adapt Directive 97/70/EC to the evolution of international law, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend that Directive in order to apply subsequent amendments to the Torremolinos Protocol and to supplement it by adopting provisions for a harmonised interpretation of those provisions of the Annex to the Torremolinos Protocol which have been left to the discretion of the administrations of individual contracting parties . In order to ensure that Union standards are protected, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission amending this Directive in order to exclude from its scope any amendment to the Torremolinos Protocol if, on the basis of an evaluation by the Commission, there is a manifest risk that such international amendment would lower the standard of maritime safety, prevention of pollution from ships or of protection of shipboard living and working conditions, established by Union maritime legislation, or that such amendment would be incompatible with the latter. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement of 13 April 2016 on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. [Am. 281] In order to ensure uniform conditions for the implementation of Directive 97/70/EC, implementing powers should be conferred on the Commission to adopt provisions for a harmonised interpretation of those provisions of the Annex to the Torremolinos Protocol which have been left to the discretion of the administrations of individual contracting parties, as far as necessary to ensure their consistent implementation in the Union. Those powers should be exercised in accordance with Regulation (EU) No 182/2011. [Am. 282] Accordingly, Directive 97/70/EC is amended as follows:
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105. |
Directive 2000/59/EC of the European Parliament and of the Council of 27 November 2000 on port reception facilities for ship-generated waste and cargo residue (109)
In order to improve the regime established by Directive 2000/59/EC and to adapt that Directive to the evolution of other Union and international instruments, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission:
In order to ensure that Union standards are protected, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission amending this Directive in order to exclude from its scope any amendment to Marpol 73/78 if, on the basis of an evaluation by the Commission, there is a manifest risk that such international amendment would lower the standard of maritime safety, prevention of pollution from ships or of protection of shipboard living and working conditions, established by Union maritime legislation, or would be incompatible with the latter. [Am. 288] It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2000/59/EC is amended as follows:
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106. |
Directive 2001/96/EC of the European Parliament and of the Council of 4 December 2001 establishing harmonised requirements and procedures for the safe loading and unloading of bulk carriers (110)
In order to adapt Directive 2001/96/EC to the evolution of Union and international rules and to improve the applicable procedures, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend that Directive in respect of:
In order to ensure that Union standards are protected, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission amending this Directive in order to exclude from its scope any amendment to the international instruments referred to in Article 3 of that Directive, if, on the basis of an evaluation by the Commission, there is a manifest risk that such international amendments would lower the standard of maritime safety, prevention of pollution from ships or of protection of shipboard living and working conditions, established by Union maritime legislation, or would be incompatible with the latter. [Am. 291] It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2001/96/EC is amended as follows:
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107. |
Directive 2002/59/EC of the European Parliament and of the Council of 27 June 2002 establishing a Community vessel traffic monitoring and information system and repealing Council Directive 93/75/EEC (111) (*151)
In order to adapt Directive 2002/59/EC to the evolution of Union and international law and to the experience gained in its implementation, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend:
It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2002/59/EC is amended as follows:
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108. |
Regulation (EC) No 2099/2002 of the European Parliament and of the Council of 5 November 2002 establishing a Committee on Safe Seas and the Prevention of Pollution from Ships (COSS) and amending the Regulations on maritime safety and the prevention of pollution from ships (112) (*153)
In order to update the list of Union acts referring to the Committee on Safe Seas and the Prevention of Pollution from Ships (COSS) in Regulation (EC) No 2099/2002, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend that Regulation to include a reference to the Union acts conferring powers on the COSS that have entered into force. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Regulation (EC) No 2099/2002 is amended as follows:
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109. |
Directive 2003/25/EC of the European Parliament and of the Council of 14 April 2003 on specific stability requirements for ro-ro passenger ships (113) (*155)
In order to adapt Directive 2003/25/EC to technical progress, to developments at international level and to experience gained in its implementation, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend the Annexes to that Directive. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2003/25/EC is amended as follows:
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110. |
Directive 2003/59/EC of the European Parliament and of the Council of 15 July 2003 on initial qualification and periodic training of drivers of certain road vehicles for the carriage of goods or passengers, amending Council Regulation (EEC) No 3820/85 and Council Directive 91/439/EEC and repealing Council Directive 76/914/EEC (114) (*157)
In order to adapt Directive 2003/59/EC to scientific and technical progress, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend Annexes I and II to that Directive. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2003/59/EC is amended as follows:
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111. |
Regulation (EC) No 782/2003 of the European Parliament and of the Council of 14 April 2003 on the prohibition of organotin compounds on ships (115)
In order to further develop the control of harmful anti-fouling systems on ships, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission:
It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Regulation (EC) No 782/2003 is amended as follows:
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112. |
Directive 2004/52/EC of the European Parliament and of the Council of 29 April 2004 on the interoperability of electronic road toll systems in the Community (116)
In order to adapt and further develop certain technical specifications of electronic road toll systems, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission:
It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2004/52/EC is amended as follows:
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113. |
Directive 2004/54/EC of the European Parliament and of the Council of 29 April 2004 on minimum safety requirements for tunnels in the trans-European road network (117)
In order to adapt Directive 2004/54/EC to technical progress, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend the Annexes to that Directive. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2004/54/EC is amended as follows:
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114. |
Regulation (EC) No 725/2004 of the European Parliament and of the Council of 31 March 2004 on enhancing ship and port facility security (118)
In order to adapt Regulation (EC) No 725/2004 to the evolution of international law, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend that Regulation in order to integrate the amendments to certain international instruments and to supplement it in order to establish harmonised procedures for the application of the mandatory provisions of the ISPS Code, without broadening the scope of that Regulation . It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement of 13 April 2016 on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. [Am. 301] In order to ensure uniform conditions for the implementation of Regulation (EC) No 725/2004 implementing powers should be conferred on the Commission in order to define harmonised procedures for the application of the mandatory provisions of the ISPS Code, without broadening the scope of that Regulation. Those powers should be exercised in accordance with Regulation (EU) No 182/2011. [Am. 302] Accordingly, Regulation (EC) No 725/2004 is amended as follows:
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115. |
Regulation (EC) No 785/2004 of the European Parliament and of the Council of 21 April 2004 on insurance requirements for air carriers and aircraft operators (119) (*163)
In order to adapt Regulation (EC) No 785/2004 to the evolution of international law, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend certain values in that Regulation in the light of amendments to international agreements. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Regulation (EC) No 785/2004 is amended as follows:
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116. |
Regulation (EC) No 789/2004 of the European Parliament and of the Council of 21 April 2004 on the transfer of cargo and passenger ships between registers within the Community and repealing Council Regulation (EEC) No 613/91 (120) (*165)
In order to adapt Regulation (EC) No 789/2004 to developments at international level, in particular in the International Maritime Organisation, and to improve the effectiveness of that Regulation in the light of experience and technical progress, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend certain definitions in that Regulation. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Regulation (EC) No 789/2004 is amended as follows:
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117. |
Regulation (EC) No 868/2004 of the European Parliament and of the Council of 21 April 2004 concerning protection against subsidisation and unfair pricing practices causing injury to Community air carriers in the supply of air services from countries not members of the European Community (121)
In order to improve the detection of unfair pricing practices, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to supplement Regulation (EC) No 868/2004 with a detailed methodology for determining the existence of unfair pricing practices. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Regulation (EC) No 868/2004 is amended as follows:
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118. |
Directive 2005/44/EC of the European Parliament and of the Council of 7 September 2005 on harmonised river information services (RIS) on inland waterways in the Community (122) (*168)
In order to adapt Directive 2005/44/EC to technical progress and to take into account experience gained from its application, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend Annexes I and II to that Directive. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2005/44/EC is amended as follows:
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119. |
Directive 2005/65/EC of the European Parliament and of the Council of 26 October 2005 on enhancing port security (123) (*170)
In order to update the technical measures necessary to ensure port security on a regular basis, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend Annexes I to IV to Directive 2005/65/EC. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2005/65/EC is amended as follows:
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120. |
Regulation (EC) No 2111/2005 of the European Parliament and of the Council of 14 December 2005 on the establishment of a Community list of air carriers subject to an operating ban within the Community and on informing air transport passengers of the identity of the operating air carrier, and repealing Article 9 of Directive 2004/36/EC (124) (*172)
In order to adapt Regulation (EC) No 2111/2005 to scientific and technical progress and to specify further the applicable procedures, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend the Annex to that Regulation and to supplement that Regulation with detailed rules in respect of certain procedures. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Regulation (EC) No 2111/2005 is amended as follows:
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121. |
Directive 2006/126/EC of the European Parliament and of the Council of 20 December 2006 on driving licences (125)
In order to reinforce the necessary measures guaranteeing the security of driving licences, to guarantee future interoperability and to adapt Directive 2006/126/EC to scientific and technical progress, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend Annexes I to VI to that Directive and to supplement that Directive with specifications to secure against forgery. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2006/126/EC is amended as follows:
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122. |
Regulation (EC) No 336/2006 of the European Parliament and of the Council of 15 February 2006 on the implementation of the International Safety Management Code within the Community and repealing Council Regulation (EC) No 3051/95 (126) (*175)
In order to update the provisions concerning the implementation of the International Safety Management Code, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend Annex II to Regulation (EC) No 336/2006. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Regulation (EC) No 336/2006 is amended as follows:
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123. |
Directive 2007/59/EC of the European Parliament and of the Council of 23 October 2007 on the certification of train drivers operating locomotives and trains on the railway system in the Community (127)
In order to adopt the necessary technical measures for the proper functioning of Directive 2007/59/EC and to adapt it to scientific and technical progress, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend the Annexes to that Directive so as to adapt them to scientific and technical progress, as well as to supplement that Directive:
It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2007/59/EC is amended as follows:
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124. |
Regulation (EC) No 1371/2007 of the European Parliament and of the Council of 23 October 2007 on rail passengers’ rights and obligations (128)
In order to adopt the necessary measures to adapt Regulation (EC) No 1371/2007 to technical progress and the experience gained in its implementation the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission:
It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Regulation (EC) No 1371/2007 is amended as follows:
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125. |
Directive 2008/68/EC of the European Parliament and of the Council of 24 September 2008 on the inland transport of dangerous goods (129) (*179)
In order to adapt Directive 2008/68/EC to technical and scientific progress, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend the Annexes to that Directive. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2008/68/EC is amended as follows:
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126. |
Directive 2008/96/EC of the European Parliament and of the Council of 19 November 2008 on road infrastructure safety management (130)
In order to adapt Directive 2008/96/EC to technical progress, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend the Annexes to that Directive and to supplement that Directive by determining common criteria on reporting accident severity. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2008/96/EC is amended as follows:
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127. |
Regulation (EC) No 300/2008 of the European Parliament and of the Council of 11 March 2008 on common rules in the field of civil aviation security and repealing Regulation (EC) No 2320/2002 (131)
In order to improve the content and functioning of the common basic standards for safeguarding civil aviation against acts of unlawful interference that jeopardise the security of civil aviation, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission:
It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Regulation (EC) No 300/2008 is amended as follows:
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128. |
Directive 2009/15/EC of the European Parliament and of the Council of 23 April 2009 on common rules and standards for ship inspection and survey organisations and for the relevant activities of maritime administrations (132) (*183)
In order to adapt Directive 2009/15/EC to the evolution of relevant international instruments and to modify the maximum amounts payable to compensate the injured parties, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend that Directive so as to:
It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2009/15/EC is amended as follows:
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129. |
Directive 2009/18/EC of the European Parliament and of the Council of 23 April 2009 establishing the fundamental principles governing the investigation of accidents in the maritime transport sector and amending Council Directive 1999/35/EC and Directive 2002/59/EC of the European Parliament and of the Council (133)
In order to adapt Directive 2009/18/EC to the evolution of Union and international rules, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission:
In order to ensure that Union standards are protected, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission amending that Directive in order to exclude from its scope any amendment to the IMO Code for the Investigation of Marine Casualties and Incidents, if, on the basis of an evaluation by the Commission, there is a manifest risk that such international amendment would lower the standard of maritime safety, prevention of pollution from ships or of protection of shipboard living and working conditions, established by Union maritime legislation, or would be incompatible with the latter. [Am. 324] It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2009/18/EC is amended as follows:
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130. |
Directive 2009/33/EC of the European Parliament and of the Council of 23 April 2009 on the promotion of clean and energy-efficient road transport vehicles (134)
In order to adapt Directive 2009/33/EC to inflation and technical progress, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend the Annex to that Directive so as to adapt the data for the calculation of the operational lifetime costs of road transport vehicles. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2009/33/EC is amended as follows:
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131. |
Regulation (EC) No 391/2009 of the European Parliament and of the Council of 23 April 2009 on common rules and standards for ship inspection and survey organisations (135) (*187)
In order to complete Regulation (EC) No 391/2009 and to adapt it to the evolution of international rules, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission:
It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Regulation (EC) No 391/2009 is amended as follows:
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132. |
Regulation (EC) No 392/2009 of the European Parliament and of the Council of 23 April 2009 on the liability of carriers of passengers by sea in the event of accidents (136) (*189)
In order to adapt Regulation (EC) No 392/2009 to other Union and international rules, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission:
It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Regulation (EC) No 392/2009 is amended as follows:
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133. |
Regulation (EC) No 1071/2009 of the European Parliament and of the Council of 21 October 2009 establishing common rules concerning the conditions to be complied with to pursue the occupation of road transport operator and repealing Council Directive 96/26/EC (138)
In order to determine the degree of gravity of certain breaches of the applicable rules and to adapt Regulation (EC) No 1071/2009 to technical progress, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend Annexes I, II and III to that Regulation and to supplement that Regulation by drawing up a list of categories, types and degrees of seriousness of serious infringements of Union rules which, in addition to those set out in Annex IV, may lead to the loss of good repute. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Several empowerments of the Commission under Regulation (EC) No 1071/2009 allowing for the adoption of postponement measures are no longer needed. Accordingly, Regulation (EC) No 1071/2009 is amended as follows:
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134. |
Regulation (EC) No 1072/2009 of the European Parliament and of the Council of 21 October 2009 on common rules for access to the international road haulage market (139)
In order to adapt Regulation (EC) No 1072/2009 to technical progress, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend Annexes I, II and III to that Regulation and to amend that Regulation in relation to the period of validity of the Community licence. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Regulation (EC) No 1072/2009 is amended as follows:
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135. |
Regulation (EC) No 1073/2009 of the European Parliament and of the Council of 21 October 2009 on common rules for access to the international market for coach and bus services, and amending Regulation (EC) No 561/2006 (140)
In order to adapt Regulation (EC) No 1073/2009 to technical progress and to establish the technical measures necessary for its proper functioning, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend Annexes I and II to that Regulation, as well as to supplement it by establishing:
It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Regulation (EC) No 1073/2009 is amended as follows:
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XII. HEALTH AND FOOD SAFETY
136. |
Council Directive 89/108/EEC of 21 December 1988 on the approximation of the laws of the Member States relating to quick-frozen foodstuffs for human consumption (141)
In order to achieve the objectives of Directive 89/108/EEC, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to supplement that Directive with the purity criteria to be satisfied by cryogenic media, the sampling procedures for quick-frozen foodstuffs and the procedures for monitoring their temperature and for monitoring temperatures in the means of transport, warehousing and storage. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 89/108/EEC is amended as follows:
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137. |
Directive 1999/2/EC of the European Parliament and of the Council of 22 February 1999 on the approximation of the laws of the Member States concerning foods and food ingredients treated with ionising radiation (142)
In order to achieve the objectives of Directive 1999/2/EC, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend that Directive to the extent necessary to ensure the protection of public health and to supplement that Directive in respect of exceptions relating to the maximum radiation dose for foodstuffs, and the supplementary requirements for facilities. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement of 13 April 2016 on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. [Am. 342] Accordingly, Directive 1999/2/EC is amended as follows:
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138. |
Regulation (EC) No 141/2000 of the European Parliament and of the Council of 16 December 1999 on orphan medicinal products (143) (*197)
In order to achieve the objectives of Regulation (EC) No 141/2000, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to supplement that Regulation with definitions of ‘similar medicinal product’ and ‘clinical superiority’. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States’ experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Regulation (EC) No 141/2000 is amended as follows:
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139. |
Directive 2001/18/EC of the European Parliament and of the Council of 12 March 2001 on the deliberate release into the environment of genetically modified organisms and repealing Council Directive 90/220/EEC (144) (*199)
In order to achieve the objectives of Directive 2001/18/EC, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend the Annexes to that Directive and to supplement that Directive with:
It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2001/18/EC is amended as follows:
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140. |
Directive 2001/83/EC of the European Parliament and of the Council of 6 November 2001 on the Community code relating to medicinal products for human use (145) (*201)
In order to achieve the objectives of Directive 2001/83/EC, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission:
It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States’ experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2001/83/EC is amended as follows:
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141. |
Regulation (EC) No 999/2001 of the European Parliament and of the Council of 22 May 2001 laying down rules for the prevention, control and eradication of certain transmissible spongiform encephalopathies (146)
In order to achieve the objectives of Regulation (EC) No 999/2001, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend the Annexes to that Regulation and to supplement that Regulation by:
The power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to supplement that Regulation by :
It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Regulation (EC) No 999/2001 is amended as follows:
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142. |
Directive 2002/32/EC of the European Parliament and of the Council of 7 May 2002 on undesirable substances in animal feed (147) (*204)
In order to achieve the objectives of Directive 2002/32/EC, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend Annexes I and II to that Directive to adapt them to technical progress and to supplement that Directive with acceptability criteria for detoxification processes. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States’ experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2002/32/EC is amended as follows:
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143. |
Directive 2002/46/EC of 10 June 2002 on the approximation of the laws of the Member States relating to food supplements (148)
In order to achieve the objectives of Directive 2002/46/EC, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend Annexes I and II to that Directive in order to adapt those Annexes to technical progress and to supplement that Directive as regards the purity criteria for substances listed in Annex II thereto, and the minimum and maximum amounts of vitamins and minerals that are to be present in food supplements. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement of 13 April 2016 on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. [Am. 360] In order to ensure uniform conditions for the implementation of Directive 2002/46/EC, implementing powers should be conferred on the Commission concerning setting maximum amounts of vitamins and minerals. Those powers should be exercised in accordance with Regulation (EU) No 182/2011. [Am. 361] Accordingly, Directive 2002/46/EC is amended as follows:
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144. |
Directive 2002/98/EC of the European Parliament and of the Council of 27 January 2003 setting standards of quality and safety for the collection, testing, processing, storage and distribution of human blood and blood components and amending Directive 2001/83/EC (149)
In order to achieve the objectives of Directive 2002/98/EC, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend Annexes I to IV to that Directive to adapt them to technical and scientific progress and to supplement that Directive with certain technical requirements. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States’ experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. In order to ensure uniform conditions for the implementation of point (i) of the second paragraph of Article 29 of Directive 2002/98/EC, implementing powers should be conferred on the Commission in order to establish the procedure for notifying serious adverse reactions and events as well as the notification format. Those powers should be exercised in accordance with Regulation (EU) No 182/2011. [Am. 366] Accordingly, Directive 2002/98/EC is amended as follows:
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145. |
Regulation (EC) No 178/2002 of the European Parliament and of the Council of 28 January 2002 laying down the general principles and requirements of food law, establishing the European Food Safety Authority and laying down procedures in matters of food safety (150) (*208)
In order to achieve the objectives of Regulation (EC) No 178/2002, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend that Regulation as regards the number and names of the Scientific Panels, and to supplement that Regulation with the procedure to be applied by the Authority to the requests for a scientific opinion, with the criteria for inclusion of an institute on the list of competent organisations designated by the Member States, and with the arrangements for setting out harmonised quality requirements and the financial rules governing any financial support. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Regulation (EC) No 178/2002 is amended as follows:
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146. |
Directive 2003/99/EC of the European Parliament and of the Council of 17 November 2003 on the monitoring of zoonoses and zoonotic agents, amending Council Decision 90/424/EEC and repealing Council Directive 92/117/EEC (151)
In order to achieve the objectives of Directive 2003/99/EC, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend Annex I to that Directive in order to update the lists of zoonoses or zoonotic agents set out in that Annex, to amend Annexes II, III and IV to that Directive and to supplement that Directive with coordinated monitoring programmes concerning one or more zoonoses or zoonotic agents. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2003/99/EC is amended as follows:
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147. |
Regulation (EC) No 1829/2003 of the European Parliament and of the Council of 22 September 2003 on genetically modified food and feed (152)
In order to achieve the objectives of Regulation (EC) No 1829/2003, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend the Annex to that Regulation in order to adapt to technical progress and to supplement that Regulation by determining which food and feed falls within the scope of different sections of that Regulation, by establishing appropriate lower thresholds for GMO presence in food and feed, below which the labelling requirements do not apply, subject to certain conditions by establishing measures for operators to satisfy the competent authorities and measures necessary for operators to comply with the labelling requirements and by establishing specific rules concerning the information to be given by mass caterers providing food to the final consumer. [Am. 375] It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016*. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. In order to ensure uniform conditions for the implementation of Regulation (EC) No 1829/2003, implementing powers should be conferred on the Commission concerning measures for operators to satisfy the competent authorities, measures necessary for operators to comply with the labelling requirements and rules to facilitate the uniform application of certain provisions. Those powers should be exercised in accordance with Regulation (EU) No 182/2011. [Am. 376] Accordingly, Regulation (EC) No 1829/2003 is amended as follows:
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148. |
Regulation (EC) No 1830/2003 of the European Parliament and of the Council of 22 September 2003 concerning the traceability and labelling of genetically modified organisms and the traceability of food and feed products produced from genetically modified organisms and amending Directive 2001/18/EC (153) (*212)
In order to achieve the objectives of Regulation (EC) No 1830/2003, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to supplement that Regulation by establishing a system for the development and assignment of unique identifiers to genetically modified organisms. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Regulation (EC) No 1830/2003 is amended as follows:
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149. |
Regulation (EC) No 1831/2003 of the European Parliament and of the Council of 22 September 2003 on additives for use in animal nutrition (154) (*214)
In order to achieve the objectives of Regulation (EC) No 1831/2003, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend Annexes I, II, III and IV to that Regulation in order to adapt them to technical progress and to supplement that Regulation with rules to allow for simplified provisions for the authorisation of additives which have been authorised for use in food. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States’ experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Regulation (EC) No 1831/2003 is amended as follows:
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150. |
Regulation (EC) No 2065/2003 of the European Parliament and of the Council of 10 November 2003 on smoke flavourings used or intended for use in or on foods (155) (*216)
In order to achieve the objectives of Regulation (EC) No 2065/2003, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend the Annexes to that Regulation following a request to the Authority for scientific and/or technical assistance and to supplement that Regulation with quality criteria for validated analytical methods. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Regulation (EC) No 2065/2003 is amended as follows:
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151. |
Regulation (EC) No 2160/2003 of the European Parliament and of the Council of 17 November 2003 on the control of salmonella and other specified food-borne zoonotic agents (156)
In order to achieve the objectives of Regulation (EC) No 2160/2003, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend Annexes I, II and III to that Regulation and to supplement that Regulation as regards the Union targets for the reduction of the prevalence of zoonoses and zoonotic agents, specific control methods, specific rules on criteria relating to imports from third countries, the responsibilities and tasks of the Union reference laboratories , approval of methods for testing, and as regards certain responsibilities and tasks of the national reference laboratories. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement of 13 April 2016 on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. [Am. 384] In order to ensure uniform conditions for the implementation of Regulation (EC) 2160/2003, implementing powers should be conferred on the Commission concerning approving methods for testing. Those powers should be exercised in accordance with Regulation (EU) No 182/2011. [Am. 385] Accordingly, Regulation (EC) No 2160/2003 is amended as follows:
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152. |
Directive 2004/23/EC of the European Parliament and of the Council of 31 March 2004 on setting standards of quality and safety for the donation, procurement, testing, processing, preservation, storage and distribution of human tissues and cells (157)
In order to achieve the objectives of Directive 2004/23/EC, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to supplement that Directive with by establishing traceability requirements for tissues and cells, as well as for products and materials coming into contact with those tissues and cells and having an effect on their quality, and by establishing procedures for ensuring traceability and for verifying the equivalent standards of quality and safety of imported tissues and cells, and to supplement that Directive with respect to certain technical requirements. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement of 13 April 2016 on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States’ experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. [Am. 397] In order to ensure uniform conditions for the implementation of Directive 2004/23/EC implementing powers should be conferred on the Commission to establish procedures for ensuring traceability and for verifying the equivalent standards of quality and safety of imported tissues and cells. Those powers should be exercised in accordance with Regulation (EU) No 182/2011. [Am. 398] Accordingly, Directive 2004/23/EC is amended as follows:
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153. |
Regulation (EC) No 852/2004 of the European Parliament and of the Council of 29 April 2004 on the hygiene of foodstuffs (158)
In order to achieve the objectives of Regulation (EC) No 852/2004, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend Annexes I and II to that Regulation and to supplement that Regulation in respect of specific hygiene measures, approval requirements of food business establishments, specific provisions for the application of the requirements of the Regulation to specific foodstuffs in order to address specific risks or emerging hazards in relation to public health and in respect of derogations from the Annexes to that Regulation. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Regulation (EC) No 852/2004 is amended as follows:
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154. |
Regulation (EC) No 853/2004 of the European Parliament and of the Council of 29 April 2004 laying down specific hygiene rules for food of animal origin (159) (*221)
In order to achieve the objectives of Regulation (EC) No 853/2004, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend Annexes II and III to that Regulation and to supplement that Regulation in respect of the use of substances other than potable water to remove surface contamination from products of animal origin, in respect of amendments of the special guarantees relating to placing certain food of animal origin on the market in Sweden or Finland and in respect of derogations from the Annexes II and III to that Regulation (EC) No 853/2004 . It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Regulation (EC) No 853/2004 is amended as follows:
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155. |
Regulation (EC) No 854/2004 of the European Parliament and of the Council of 29 April 2004 laying down specific rules for the organisation of official controls on products of animal origin intended for human consumption (160)
In order to achieve the objectives of Regulation (EC) No 854/2004, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend Annexes I, II, III, IV, V and VI to that Regulation and to supplement that Regulation by granting derogation to those Annexes. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Regulation (EC) No 854/2004 is amended as follows:
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156. |
Regulation (EC) No 183/2005 of the European Parliament and of the Council of 12 January 2005 laying down requirements for feed hygiene (161) (*224)
In order to achieve the objectives of Regulation (EC) No 183/2005, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend Annexes I, II and III to that Regulation in order to adapt them to technical progress and to supplement that Regulation by defining the specific microbiological criteria and targets, by approving feed business establishments and by granting derogations from Annexes I, II and III to that Regulation. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Regulation (EC) No 183/2005 is amended as follows:
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157. |
Regulation (EC) No 1901/2006 of the European Parliament and of the Council of 12 December 2006 on medicinal products for paediatric use and amending Regulation (EEC) No 1768/92, Directive 2001/20/EC, Directive 2001/83/EC and Regulation (EC) No 726/2004 (162)
In order to achieve the objectives of Regulation (EC) No 1901/2006, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to supplement that Regulation:
It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States’ experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Regulation (EC) No 1901/2006 is amended as follows:
|
158. |
Regulation (EC) No 1924/2006 of the European Parliament and of the Council of 20 December 2006 on nutrition and health claims made on foods (163)
In order to achieve the objectives of Regulation (EC) No 1924/2006, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend the Annex to that Regulation in order to adapt it to technical progress and to supplement that Regulation as regards:
It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. In order to ensure uniform conditions for the implementation of Regulation (EC) No 1924/2006, implementing powers should be conferred on the Commission as regards the adoption of the Union list of permitted health claims other than those referring to the reduction of disease risk and to children's development and health and their conditions of use, any changes or any additions to that list, and as regards final decisions on applications for authorisations of claims. Those powers should be exercised in accordance with Regulation (EU) No 182/2011. [Am. 416] Accordingly, Regulation (EC) No 1924/2006 is amended as follows:
|
159. |
Regulation (EC) No 1925/2006 of 20 December 2006 on the addition of vitamins and minerals and of certain other substances to foods (164)
In order to achieve the objectives of Regulation (EC) No 1925/2006, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend Annexes I and II to that Regulation to adapt it to technical and scientific progress and to amend Annex III to that Regulation to allow the use of vitamins, minerals and of certain other substances prohibited, restricted or under Union scrutiny, and to supplement that Regulation by determining the additional foods or categories of foods to which vitamins and minerals may not be added, by determining the purity criteria for vitamin formulations and mineral substances and by determining the minimum amount by derogation from the significant amount for the presence of a vitamin or mineral in the food , as well as by setting the maximum amounts for the vitamins or minerals added to food and by defining the conditions restricting or prohibiting the addition of a specific vitamin or mineral . It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement of 13 April 2016 on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. [Am. 431] In order to ensure uniform conditions for the implementation of Regulation (EC) No 1925/2006, implementing powers should be conferred on the Commission as regards the amounts of the vitamins or minerals added to food and as regards the conditions restricting or prohibiting the addition of a specific vitamin or mineral. Those powers should be exercised in accordance with Regulation (EU) No 182/2011. [Am. 432] Accordingly, Regulation (EC) No 1925/2006 is amended as follows:
|
160. |
Regulation (EC) No 1394/2007 of the European Parliament and of the Council of 13 November 2007 on advanced therapy medicinal products and amending Directive 2001/83/EC and Regulation (EC) No 726/2004 (165) (*229)
In order to achieve the objectives of Regulation (EC) No 1394/2007, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend the Annexes to that Regulation to adapt them to technical and scientific progress. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States’ experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Regulation (EC) No 1394/2007 is amended as follows:
|
161. |
Directive 2009/32/EC of the European Parliament and of the Council of 23 April 2009 on the approximation of the laws of the Member States on extraction solvents used in the production of foodstuffs and food ingredients (166)
In order to achieve the objectives of Directive 2009/32/EC, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend Annex I to that Directive in order to adapt it to the technical progress and to supplement that Directive in respect of the methods of analysis necessary to verify compliance with the purity criteria and procedure for taking samples and the methods of analysis of the extraction solvents listed in Annex I to that Directive and maximum permitted limits of mercury and cadmium in those solvents It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2009/32/EC is amended as follows:
|
162. |
Directive 2009/41/EC of the European Parliament and of the Council of 6 May 2009 on the contained use of genetically modified micro-organisms (167)
In order to achieve the objectives of Directive 2009/41/EC, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend the annexes to that Directive to adapt them to technical progress and to list types of GMMs to which the Directive does not apply if their safety is established in accordance with the criteria set out in that Directive. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2009/41/EC is amended as follows:
|
163. |
Directive 2009/54/EC of the European Parliament and of the Council of 18 June 2009 on the exploitation and marketing of natural mineral waters (168)
In order to achieve the objectives of Directive 2009/54/EC, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend that Directive in order to ensure the protection of public health and to supplement that Directive as regards the following:
It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016-. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2009/54/EC is amended as follows:
|
164. |
Directive 2009/128/EC of the European Parliament and of the Council of 21 October 2009 establishing a framework for Community action to achieve the sustainable use of pesticides (169) (*234)
In order to set a framework for Union action to achieve the sustainable use of pesticides, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend Annexes I to IV to Directive 2009/128/EC in order to take account of scientific and technical progress. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. Accordingly, Directive 2009/128/EC is amended as follows:
|
165. |
Regulation (EC) No 470/2009 of the European Parliament and of the Council of 6 May 2009 laying down Community procedures for the establishment of residue limits of pharmacologically active substances in foodstuffs of animal origin repealing Council Regulation (EEC) No 2377/90 and amending Directive 2001/82/EC of the European Parliament and of the Council and Regulation (EC) No 726/2004 of the European Parliament and of the Council (170)
In order to achieve the objectives of Regulation (EC) No 470/2009, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to supplementing supplement that Regulation with scientific methods for establishing reference points for action, reference points for action for residues from pharmacologically active substances, rules on actions in case of confirmed presence of a prohibited non-authorised substance, as well as the methodological principles for the risk assessment and risk management recommendations and rules on the use of a maximum residue limit established for a pharmacologically active substance in a particular foodstuff for another foodstuff derived from the same species, or a maximum residue limit established for a pharmacologically active substance in one or more species for other species. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement of 13 April 2016 on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. [Am. 447] In order to ensure uniform conditions for the implementation of the relevant provisions of Regulation (EC) No 470/2009, implementing powers should be conferred on the Commission concerning reference points for action for residues from pharmacologically active substances. Those powers should be exercised in accordance with Regulation (EU) No 182/2011. [Am. 448] Accordingly, Regulation (EC) No 470/2009 is amended as follows:
|
166. |
Regulation (EC) No 767/2009 of the European Parliament and of the Council of 13 July 2009 on the placing on the market and use of feed, amending European Parliament and Council Regulation (EC) No 1831/2003 and repealing Council Directive 79/373/EEC, Commission Directive 80/511/EEC, Council Directives 82/471/EEC, 83/228/EEC, 93/74/EEC, 93/113/EC and 96/25/EC and Commission Decision 2004/217/EC (171)
In order to achieve the objectives of Regulation (EC) No 767/2009, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend the Annexes to that Regulation in order to adapt them to technical progress , update the list of intended uses, and set the maximum content of chemical impurities as referred to in point 1 of Annex I, and also to supplement that Regulation with a list of categories of feed materials and by providing clarification as to whether a certain product constitutes feed . It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement of 13 April 2016 on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States’ experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. [Am. 455] In order to ensure uniform conditions for the implementation of Regulation (EC) No 767/2009, implementing powers should be conferred on the Commission in order to clarify whether a certain product constitutes feed, updating the list of intended uses and setting the maximum content of chemical impurities. Those powers should be exercised in accordance with Regulation (EU) No 182/2011. [Am. 456] Accordingly, Regulation (EC) No 767/2009 is amended as follows:
|
167. |
Regulation (EC) No 1069/2009 of the European Parliament and of the Council of 21 October 2009 laying down health rules as regards animal by-products and derived products not intended for human consumption and repealing Regulation (EC) No 1774/2002 (Animal by-products Regulation) (172)
In order to achieve the objectives of Regulation (EC) No 1069/2009, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to supplement amend that Regulation as regards an end point in the manufacturing chain and to supplement it as regards : [Am. 462]
It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. In order to ensure uniform conditions for the implementation of Regulation (EC) No 1069/2009, implementing powers should be conferred on the Commission concerning certain documentation, parameters for the manufacturing process and testing requirements applicable to the end product. models for health certificates, commercial documents and declarations which are to accompany consignments, specifying the conditions under which it can be stated that the animal by- products or derived products concerned have been collected or manufactured in accordance with the requirements of this Regulation Those powers should be exercised in accordance with Regulation (EU) No 182/2011. Accordingly, Regulation (EC) No 1069/2009 is amended as follows:
|
XIII. TAXATION AND CUSTOMS UNION
168. |
Decision No 70/2008/EC of the European Parliament and of the Council of 15 January 2008 on a paperless environment for customs and trade (173) (*240)
Under Article 15 of Decision No 70/2008/EC the Commission is empowered to extent certain time limits in accordance with Council Decision 1999/468/EC (174) . That empowerment has never been exercised and is no longer needed. Therefore, it is not necessary to adapt it to Article 290 of the Treaty Instead, the empowerment should be revoked and Articles 15 and 16 of the Decision should be deleted. Accordingly, in Decision No 70/2008/EC, Articles 15 and 16 are deleted. |
(*1) OJ L 123, 12.5.2016, p. 1.’;
(*2) Regulation (EU) No 525/2013 of the European Parliament and of the Council of 21 May 2013 on a mechanism for monitoring and reporting greenhouse gas emissions and for reporting other information at national and Union level relevant to climate change and repealing Decision No 280/2004/EC (OJ L 165, 18.6.2013, p. 13).
(*3) Regulation (EU) No 182/2011 of the European Parliament and of the Council of 16 February 2011 laying down the rules and general principles concerning mechanisms for control by Member States of the Commission’s exercise of implementing powers (OJ L 55, 28.2.2011, p. 13).’
(*4) OJ L 123, 12.5.2016, p. 1.’;
(*5) Regulation (EU) No 182/2011 of the European Parliament and the Council of 16 February 2011 laying down the rules and general principles concerning mechanisms for control by Member States of the Commission's exercise of implementing powers (OJ L 55, 28.2.2011, p. 13).’. [Am. 7]
(*6) OJ L 123, 12.5.2016, p. 1.’;
(*7) OJ L 123, 12.5.2016, p. 1.’.
(*9) OJ L 123, 12.5.2016, p. 1.’;
(*12) OJ L 123, 12.5.2016, p. 1.’.
(*14) OJ L 123, 12.5.2016, p. 1.’.
(*16) OJ L 123, 12.5.2016, p. 1.’.
(*18) OJ L 123, 12.5.2016, p. 1.’.
(*20) OJ L 123, 12.5.2016, p. 1.’.
(*22) OJ L 123, 12.5.2016, p. 1.’.
(*24) OJ L 123, 12.5.2016, p. 1.’.
(*26) OJ L 123, 12.5.2016, p. 1.’.
(*27) OJ L 123, 12.5.2016, p. 1.’.
(*28) OJ L 123, 12.5.2016, p. 1.’.
(*29) OJ L 123, 12.5.2016, p. 1.’.
(*31) OJ L 123, 12.5.2016, p. 1.’.
(*33) OJ L 123, 12.5.2016, p. 1.’.
(*34) OJ L 123, 12.5.2016, p. 1.’.
(*35) OJ L 123, 12.5.2016, p. 1.’.
(*37) OJ L 123, 12.5.2016, p. 1.’;
(*39) OJ L 123, 12.5.2016, p. 1.’;
(*41) OJ L 123, 12.5.2016, p. 1.’.
(*43) OJ L 123, 12.5.2016, p. 1.’;
(*44) OJ L 123, 12.5.2016, p. 1.’.
(*46) OJ L 123, 12.5.2016, p. 1.’
(*47) OJ L 123, 12.5.2016, p. 1.’;
(*48) OJ L 123, 12.5.2016, p. 1.’;
(*50) OJ L 123, 12.5.2016, p. 1.’;
(*51) OJ L 123, 12.5.2016, p. 1.’;
(*52) OJ L 123, 12.5.2016, p. 1.’;
(*54) OJ L 123, 12.5.2016, p. 1.’;
(*55) OJ L 123, 12.5.2016.p.1.’.
(*56) OJ L 123, 12.5.2016.p.1.’;
(*57) OJ L 123, 12.5.2016, p. 1.’;
(*58) OJ L 123, 12.5.2016.p.1.’;
(*60) OJ L 123, 12.5.2016, p. 1’;
(*62) OJ L 123, 12.5.2016. p. 1.’;
(*63) OJ L 123, 12.5.2016, p. 1.’;
(*64) OJ L 123, 12.5.2016, p. 1.’;
(*65) OJ L 123, 12.5.2016, p. 1.’;
(*66) OJ L 123, 12.5.2016, p. 1.’;
(*68) OJ L 123, 12.5.2016, p. 1.’;
(*69) OJ L 123, 12.5.2016, p. 1.’;
(*70) OJ L 123, 12.5.2016, p. 1.’;
(*71) OJ L 123, 12.5.2016, p. 1.’;
(*72) OJ L 123, 12.5.2016, p. 1.’;
(*74) OJ L 123, 12.5.2016, p. 1.’;
(*76) OJ L 123, 12.5.2016, p. 1.’;
(*77) OJ L 123, 12.5.2016, p. 1.’;
(*78) OJ L 123, 12.5.2016, p. 1.’;
(*79) OJ L 123, 12.5.2016, p. 1.’;
(*80) OJ L 123, 12.5.2016, p. 1.’;
(*81) OJ L 123, 12.5.2016, p. 1.’;
(*82) OJ L 123, 12.5.2016, p. 1.’.
(*83) OJ L 123, 12.5.2016, p. 1.’;
(*84) Commission Decision of 3 May 2000 replacing Decision 94/3/EC establishing a list of wastes pursuant to Article 1(a) of Council Directive 75/442/EEC on waste and Council Decision 94/904/EC establishing a list of hazardous waste pursuant to Article 1(4) of Council Directive 91/689/EEC on hazardous waste (OJ L 226, 6.9.2000, p. 3).’;
(*85) OJ L 123, 12.5.2016, p. 1.’;
(*86) OJ L 123, 12.5.2016, p. 1.’;
(*87) OJ L 123, 12.5.2016, p. 1.’;
(*88) OJ L 123, 12.5.2016, p. 1.’;
(*89) OJ L 123, 12.5.2016, p. 1.’;
(*90) OJ L 123, 12.5.2016, p. 1.’;
(*92) OJ L 123, 12.5.2016, p. 1.’;
(*93) OJ L 123, 12.5.2016, p. 1.’;
(*94) OJ L 123, 12.5.2016, p. 1.’;
(*95) OJ L 123, 12.5.2016, p. 1.’;
(*96) OJ L 123, 12.5.2016, p. 1.’;
(*97) OJ L 123, 12.5.2016, p. 1.’;
(*98) OJ L 123, 12.5.2016, p. 1.;
(*100) OJ L 123, 12.5.2016, p. 1.’;
(*101) OJ L 123, 12.5.2016, p. 1.’;
(*102) OJ L 123, 12.5.2016, p. 1.’;
(*103) OJ L 123, 12.5.2016, p. 1.’;
(*104) OJ L 123, 12.5.2016, p. 1.’;
(*105) OJ L 123, 12.5.2016, p. 1.’;
(*106) OJ L 123, 12.5.2016, p. 1.’;
(*107) OJ L 123, 12.5.2016, p. 1.’;
(*108) OJ L 123, 12.5.2016, p. 1.’; [Am. 247]
(*109) OJ L 123, 12.5.2016, p. 1.’.
(*111) OJ L 123, 12.5.2016, p. 1.’.
(*112) OJ L 123, 12.5.2016, p. 1.’.
(*113) OJ L 123, 12.5.2016, p. 1.’;
(*115) OJ L 123, 12. 5. 2016, p. 1.’;
(*116) OJ L 123, 12.5.2016, p. 1.’.
(*118) OJ L 123, 12.5.2016, p. 1.’;
(*119) OJ L 123, 12.5.2016, p. 1.’;
(*121) OJ L 123, 12.5.2016, p. 1.’;
(*122) Regulation (EU) No 182/2011 of the European Parliament and of the Council of 16 February 2011 laying down the rules and general principles concerning mechanisms for control by Member States of the Commission's exercise of implementing powers (OJ L 55, 28.2.2011, p. 13).’.
(*123) OJ L 123, 12.5.2016, p. 1.’;
(*124) Commission Regulation (EC) No 440/2008 of 30 May 2008 laying down test methods pursuant to Regulation (EC) No 1907/2006 of the European Parliament and of the Council on the Registration, Evaluation, Authorisation and Restriction of Chemicals (REACH) (OJ L 142, 31.5.2008, p. 1)’;
(*125) OJ L 123, 12.5.2016, p. 1.’;
(*127) OJ L 123, 12.5.2016, p. 1.’;
(*129) OJ L 123, 12.5.2016, p. 1.’;
(*130) OJ L 123, 12.5.2016, p. 1.’;
(*132) OJ L 123, 12.5.2016, p. 1.’;
(*134) OJ L 123, 12.5.2016, p. 1.’;
(*135) OJ L 123, 12.5.2016, p. 1.’;
(*136) OJ L 123, 12.5.2016, p. 1.’;
(*137) OJ L 123, 12.5.2016, p. 1.’;
(*139) OJ L 123, 12.5.2016, p. 1.’.
(*141) OJ L 123, 12.5.2016, p. 1.’;
(*142) OJ L 123, 12.5.2016, p. 1.’;
(*144) Directive 2008/68/EC of the European Parliament and of the Council of 24 September 2008 on the inland transport of dangerous goods (OJ L 260, 30.9.2008, p. 13).’;
(*145) OJ L 123, 12.5.2016, p. 1.’;
(*146) Regulation (EC) No 2099/2002 of the European Parliament and of the Council of 5 November 2002 establishing a Committee on Safe Seas and the Prevention of Pollution from Ships (COSS) and amending the Regulations on maritime safety and the prevention of pollution from ships (OJ L 324, 29.11.2002, p. 1).’;
(*147) OJ L 123, 12.5.2016, p. 1.’;
(*148) OJ L 123, 12.5.2016, p. 1.’;
(*149) Regulation (EC) No 2099/2002 of the European Parliament and of the Council of 5 November 2002 establishing a Committee on Safe Seas and the Prevention of Pollution from Ships (COSS) and amending the Regulations on maritime safety and the prevention of pollution from ships (OJ L 324, 29.11.2002, p. 1).’.
(*150) OJ L 123, 12.5.2016, p. 1.’;
(*152) OJ L 123, 12.5.2016, p. 1.’;
(*154) OJ L 123, 12.5.2016, p. 1.’.
(*156) OJ L 123, 12.5.2016, p. 1.’;
(*158) OJ L 123, 12.5.2016, p. 1.’;
(*159) OJ L 123, 12.5.2016, p. 1.’;
(*160) OJ L 123, 12.5.2016, p. 1.’;
(*161) OJ L 123, 12.5.2016, p. 1.’;
(*162) OJ L 123, 12.5.2016, p. 1.’;
(*164) OJ L 123, 12.5.2016, p. 1.’;
(*166) OJ L 123, 12.5.2016, p. 1.’.
(*167) OJ L 123, 12.5.2016, p. 1.’;
(*169) OJ L 123, 12.5.2016, p. 1.’;
(*171) OJ L 123, 12.5.2016, p. 1.’;
(*173) OJ L 123, 12.5.2016, p. 1.’;
(*174) OJ L 123, 12.5.2016, p. 1.’;
(*176) OJ L 123, 12.5.2016, p. 1.’;
(*177) OJ L 123, 12.5.2016, p. 1.’;
(*178) OJ L 123, 12.5.2016, p. 1.’;
(*180) OJ L 123, 12.5.2016, p. 1.’;
(*181) OJ L 123, 12.5.2016, p. 1.’;
(*182) OJ L 123, 12.5.2016, p. 1.’;
(*184) OJ L 123, 12.5.2016, p. 1.’;
(*185) OJ L 123, 12.5.2016, p. 1.’;
(*186) OJ L 123, 12.5.2016, p. 1.’;
(*188) OJ L 123, 12.5.2016, p. 1.’.
(*190) Directive 2009/45/EC of the European Parliament and of the Council of 6 May 2009 on safety rules and standards for passenger ships (OJ L 163, 25.6.2009, p. 1)’;
(*191) OJ L 123, 12.5.2016, p. 1.’;
(*192) OJ L 123, 12.5.2016, p. 1.’;
(*193) OJ L 123, 12.5.2016, p. 1.’;
(*194) OJ L 123, 12.5.2016, p. 1.’;
(*195) OJ L 123, 12.5.2016, p. 1.’;
(*196) OJ L 123, 12.5.2016, p. 1.’;
(*198) OJ L 123, 12.5.2016, p. 1.’.
(*200) OJ L 123, 12.5.2016, p. 1.’;
(*202) OJ L 123, 12.5.2016, p. 1.’;
(*203) OJ L 123, 12.5.2016, p. 1.’;
(*205) OJ L 123, 12; 5; 2016, p. 1.’;
(*206) OJ L 123, 12.5.2016, p. 1.’
(*207) OJ L 123, 12.5.2016, p. 1.’;
(*209) OJ L 123, 12.5. 2016, p. 1.’;
(*210) OJ L 123, 12.5.2016, p. 1.’;
(*211) OJ L 123, 12.5.2016, p. 1.’;
(*213) OJ L 123, 12; 5; 2016, p. 1.’;
(*215) OJ L 123, 12.5.2016, p. 1.’;
(*217) OJ L 123, 12.5.2016, p. 1.’;
(*218) OJ L 123, 12.5.2016, p. 1.’;
(*219) OJ L 123, 12.5.2016, p. 1.’;
(*220) OJ L 123, 12.5.2016, p. 1.’;
(*222) OJ L 123, 12.5.2016, p. 1.’;
(*223) OJ L 123, 12.5.2016, p. 1’.;
(*225) OJ L 123, 12.5.2016, p. 1.’;
(*226) OJ L 123, 12.5.2016, p. 1.’;
(*227) OJ L 123, 12.5.2016, p. 1.’;
(*228) OJ L 123, 12.5.2016, p. 1.’;
(*230) OJ L 123, 12.5.2016, p. 1’;
(*231) OJ L 123, 12.5.2016, p. 1.’;
(*232) OJ L 123, 12.5.2016, p. 1.’;
(*233) OJ L 123, 12.5.2016, p. 1.’.
(*235) OJ L 123, 12.5.2016, p. 1.’.
(*236) OJ L 123, 12.5.2016, p. 1.’;
(*237) Regulation (EU) No 182/2011 of the European Parliament and of the Council of 16 February 2011 laying down the rules and general principles concerning mechanisms for control by Member States of the Commission’s exercise of implementing powers (OJ L 55, 28.2.2011, p. 13)’;
(*238) OJ L 123, 12.5.2016, p. 1.’;
(*239) OJ L 123, 12.5.2016, p. 1.’;’
(1) OJ L 140, 5.6.2009, p. 114.
(2) OJ L 140, 5.6.2009, p. 136.
(3) OJ L 286, 31.10.2009, p. 1.
(4) OJ L 201, 31.7.2002, p. 37.
(5) OJ L 113, 30.4.2002, p. 1.
(*8) This point is covered by procedure 2016/0400A.
(6) OJ L 172, 2.7.2008, p. 15.
(*10) This point is covered by procedure 2016/0400A.
(*11) This point is covered by procedure 2016/0400A.
(8) OJ L 183, 29.6.1989, p. 1.
(9) OJ L 393, 30.12.1989, p. 1.
(*13) This point is covered by procedure 2016/0400A.
(10) OJ L 393, 30.12.1989, p. 18.
(*15) This point is covered by procedure 2016/0400A.
(11) OJ L 156, 21.6.1990, p. 9.
(*17) This point is covered by procedure 2016/0400A.
(12) OJ L 156, 21.6.1990, p. 14.
(*19) This point is covered by procedure 2016/0400A.
(13) OJ L 113, 30.4.1992, p. 19.
(*21) This point is covered by procedure 2016/0400A.
(14) OJ L 245, 26.8.1992, p. 6.
(*23) This point is covered by procedure 2016/0400A.
(15) OJ L 245, 26.8.1992, p. 23.
(*25) This point is covered by procedure 2016/0400A.
(16) OJ L 348, 28.11.1992, p. 9.
(17) OJ L 404, 31.12.1992, p. 10.
(18) OJ L 307, 13.12.1993, p. 1.
(19) OJ L 216, 20.8.1994, p. 12.
(*30) This point is covered by procedure 2016/0400A.
(20) OJ L 131, 5.5.1998, p. 11.
(*32) This point is covered by procedure 2016/0400A.
(21) OJ L 23, 28.1.2000, p. 57.
(22) OJ L 262, 17.10.2000, p. 21.
(23) OJ L 177, 6.7.2002, p. 13.
(*36) This point is covered by procedure 2016/0400A.
(24) OJ L 042, 15.2.2003, p. 38.
(*38) This point is covered by procedure 2016/0400A.
(25) OJ L 158, 30.4.2004, p. 50.
(*40) This point is covered by procedure 2016/0400A.
(26) OJ L 114, 27.4.2006, p. 38.
(*42) This point is covered by procedure 2016/0400A.
(27) OJ L 260, 3.10.2009, p. 5.
(28) OJ L 330, 16.12.2009, p. 28.
(*45) This point is covered by procedure 2016/0400A.
(29) OJ L 211, 14.8.2009, p. 94.
(30) OJ L 211, 14.8.2009, p. 36.
(31) OJ L 342, 22.12.2009, p. 46.
(*49) This point is covered by procedure 2016/0400A.
(32) OJ L 135, 30.5.1991, p. 40.
(33) OJ L 375, 31.12.1991, p. 1.
(34) OJ L 365, 31.12.1994, p. 24.
(*53) This point is covered by procedure 2016/0400A.
(35) OJ L 243, 24.9.1996, p. 31.
(36) OJ L 330, 5.12.1998, p. 32.
(37) Council Directive 2013/51/Euratom of 22 October 2013 laying down requirements for the protection of the health of the general public with regard to radioactive substances in water intended for human consumption (OJ L 296, 7.11.2013, p. 12.)
(38) OJ L 269, 21.10.2000, p. 34.
(39) OJ L 327, 22.12.2000, p. 1.
(40) OJ L 189, 18.7.2002, p. 12.
(*59) This point is covered by procedure 2016/0400A.
(41) OJ L 143, 30.4.2004, p. 87.
(*61) This point is covered by procedure 2016/0400A.
(42) OJ L 23, 26.1.2005, p. 3.
(43) OJ L 64, 4.3.2006, p. 37.
(44) OJ L 102, 11.4.2006, p. 15.
(45) OJ L 372, 27.12.2006, p. 19.
(*67) This point is covered by procedure 2016/0400A.
(47) OJ L 108, 25.4.2007, p. 1.
(48) OJ L 288, 6.11.2007, p. 27.
(49) OJ L 152, 11.6.2008, p. 1.
(50) OJ L 164, 25.6.2008, p. 19.
(51) OJ L 353, 31.12.2008, p. 1.
(*73) This point is covered by procedure 2016/0400A.
(52) OJ L 285, 31.10.2009, p. 36.
(*75) This point is covered by procedure 2016/0400A.
(53) OJ L 20, 26.1.2010, p. 7.
(54) OJ L 342, 22.12.2009, p. 1.
(55) OJ L 27, 30.1.2010, p. 1.
(56) OJ L 374, 31.12.1991, p. 1.
(57) OJ L 76, 30.3.1993, p. 1.
(58) OJ L 162, 5.6.1998, p. 1.
(59) OJ L 63, 12.3.1999, p. 6.
(60) OJ L 332, 9.12.2002, p. 1.
(61) Commission Decision of 3 May 2000 replacing Decision 94/3/EC establishing a list of wastes pursuant to Article 1(a) of Council Directive 75/442/EEC on waste and Council Decision 94/904/EC establishing a list of hazardous waste pursuant to Article 1(4) of Council Directive 91/689/EEC on hazardous waste (OJ L 226, 6.9.2000, p. 3).
(62) OJ L 66, 11.3.2003, p. 1.
(63) OJ L 69, 13.3.2003, p. 1.
(64) OJ L 143, 30.4.2004, p. 49.
(65) OJ L 191, 22.7.2005, p. 22.
(66) OJ L 255, 30.9.2005, p. 1.
(67) OJ L 393, 30.12.2006, p. 1.
(*91) This point is covered by procedure 2016/0400A.
(68) OJ L 113, 30.4.2007, p. 3.
(69) OJ L 171, 29.6.2007, p. 17
(70) OJ L 199, 31.7.2007, p. 23.
(71) OJ L 336, 20.12.2007, p. 1.
(73) OJ L 97, 9.4.2008, p. 13.
(74) OJ L 145, 4.6.2008, p. 65.
(*99) This point is covered by procedure 2016/0400A.
(75) OJ L 145, 4.6.2008, p. 227.
(76) OJ L 145, 4.6.2008, p. 234.
(77) OJ L 218, 13.8.2008, p. 14.
(78) OJ L 304, 14.11.2008, p. 1.
(79) OJ L 354, 31.12.2008, p. 70.
(80) OJ L 324, 10.10.2009, p. 1.
(81) OJ L 243, 11.9.2002, p. 1.
(82) OJ L 267, 10.10.2009, p. 7.
(83) OJ L 147, 9.6.1975, p. 40.
(84) OJ L 46, 21.2.1976, p. 1.
(*110) This point is covered by procedure 2016/0400A.
(85) OJ L 39, 15.2.1980, p. 40.
(86) OJ L 15, 21.1.1998, p. 14.
(87) OJ L 162, 3.7.2000, p. 1.
(*114) This point is covered by procedure 2016/0400A.
(88) OJ L 304, 21.11.2003, p. 1.
(89) OJ L 50, 20.2.2004, p. 28.
(*117) This point is covered by procedure 2016/0400A.
(90) OJ L 50, 20.2.2004, p. 44.
(91) OJ L 157, 9.6.2006, p. 24.
(*120) This point is covered by procedure 2016/0400A.
(92) OJ L 376, 27.12.2006, p. 36.
(93) OJ L 396, 30.12.2006, p. 1.
(94) OJ L 106, 28.4.2009, p. 7.
(*126) This point is covered by procedure 2016/0400A.
(95) OJ L 146, 10.6.2009, p. 1.
(*128) This point is covered by procedure 2016/0400A.
(96) OJ L 170, 30.6.2009, p. 1.
(97) OJ L 35, 4.2.2009, p. 32.
(*131) This point is covered by procedure 2016/0400A.
(98) OJ L 216, 20.8.2009, p. 76.
(*133) This point is covered by procedure 2016/0400A.
(99) Directive 2014/25/EU of the European Parliament and of the Council of 26 February 2014 on procurement by entities operating in the water, energy, transport and postal services sectors and repealing Directive 2004/17/EC (OJ L 94, 28.3.2014, p. 243).
(100) OJ L 285, 31.10.2009, p. 10.
(101) OJ L 200, 31.7.2009, p. 1.
(102) OJ L 342, 22.12.2009, p. 59.
(103) OJ L 348, 28.11.1992, p. 1.
(*138) This point is covered by procedure 2016/0400A.
(104) OJ L 133, 22.5.2008, p. 66.
(*140) This point is covered by procedure 2016/0400A.
(105) OJ L 373, 31.12.1991, p. 4.
(106) OJ L 249, 17.10.1995, p. 35.
(*143) This point is covered by procedure 2016/0400A.
(107) Directive 2008/68/EC of the European Parliament and of the Council of 24 September 2008 on the inland transport of dangerous goods (OJ L 260, 30.9.2008, p. 13).
(108) OJ L 34, 9.2.1998, p. 1.
(109) OJ L 332, 28.12.2000, p. 81.
(110) OJ L 13, 16.1.2002, p. 9.
(111) OJ L 208, 5.8.2002, p. 10.
(*151) This point is covered by procedure 2016/0400A.
(112) OJ L 324, 29.11.2002, p. 1.
(*153) This point is covered by procedure 2016/0400A.
(113) OJ L 123, 17.5.2003, p. 22.
(*155) This point is covered by procedure 2016/0400A.
(114) OJ L 226, 10.9.2003, p. 4.
(*157) This point is covered by procedure 2016/0400A.
(115) OJ L 115, 9.5.2003, p. 1.
(116) OJ L 166, 30.4.2004, p. 124.
(117) OJ L 167, 30.4.2004, p. 39.
(118) OJ L 129, 29.4.2004, p. 6.
(119) OJ L 138, 30.4.2004, p. 1.
(*163) This point is covered by procedure 2016/0400A.
(120) OJ L 138, 30.4.2004, p. 19.
(*165) This point is covered by procedure 2016/0400A.
(121) OJ L 162, 30.4.2004, p. 1.
(122) OJ L 255, 30.9.2005, p. 152.
(*168) This point is covered by procedure 2016/0400A.
(123) OJ L 310, 25.11.2005, p. 28.
(*170) This point is covered by procedure 2016/0400A.
(124) OJ L 344, 27.12.2005, p. 15.
(*172) This point is covered by procedure 2016/0400A.
(125) OJ L 403, 30.12.2006, p. 18.
(126) OJ L 64, 4.3.2006, p. 1.
(*175) This point is covered by procedure 2016/0400A.
(127) OJ L 315, 3.12.2007, p. 51.
(128) OJ L 315, 3.12.2007, p. 14.
(129) OJ L 260, 30.9.2008, p. 13.
(*179) This point is covered by procedure 2016/0400A.
(130) OJ L 319, 29.11.2008, p. 59.
(131) OJ L 97, 9.4.2008, p. 72.
(132) OJ L 131, 28.5.2009, p. 47.
(*183) This point is covered by procedure 2016/0400A.
(133) OJ L 131, 28.5.2009, p. 114.
(134) OJ L 120, 15.5.2009, p. 5.
(135) OJ L 131, 28.5.2009, p. 11.
(*187) This point is covered by procedure 2016/0400A.
(136) OJ L 131, 28.5.2009, p. 24.
(*189) This point is covered by procedure 2016/0400A.
(137) Directive 2009/45/EC of the European Parliament and of the Council of 6 May 2009 on safety rules and standards for passenger ships (OJ L 163, 25.6.2009, p. 1).
(138) OJ L 300, 14.11.2009, p. 51.
(139) OJ L 300, 14.11.2009, p. 72.
(140) OJ L 300, 14.11.2009, p. 88.
(141) OJ L 40, 11.2.1989, p. 34.
(142) OJ L 66, 13.3.1999, p. 16.
(143) OJ L 18, 22.1.2000, p. 1.
(*197) This point is covered by procedure 2016/0400A.
(144) OJ L 106, 17.4.2001, p. 1.
(*199) This point is covered by procedure 2016/0400A.
(145) OJ L 311, 28.11.2001, p. 67.
(*201) This point is covered by procedure 2016/0400A.
(146) OJ L 147, 31.5.2001, p. 1.
(147) OJ L 140, 30.5.2002, p. 10
(*204) This point is covered by procedure 2016/0400A.
(148) OJ L 183, 12.7.2002, p. 51.
(149) OJ L 33, 8.2.2003, p. 30.
(150) OJ L 31, 1.2.2002, p. 1.
(*208) This point is covered by procedure 2016/0400A.
(151) OJ L 325, 12.12.2003, p. 31.
(152) OJ L 268, 18.10.2003, p. 1.
(153) OJ L 268, 18.10.2003, p. 24
(*212) This point is covered by procedure 2016/0400A.
(154) OJ L 268, 18.10.2003, p. 29
(*214) This point is covered by procedure 2016/0400A.
(155) OJ L 309, 26.11.2003, p. 1
(*216) This point is covered by procedure 2016/0400A.
(156) OJ L 325, 12.12.2003, p. 1.
(157) OJ L 102, 7.4.2004, p. 48.
(158) OJ L 139, 30.4.2004, p. 1.
(159) OJ L 139, 30.4.2004, p. 55
(*221) This point is covered by procedure 2016/0400A.
(160) OJ L 139, 30.4.2004, p. 206.
(161) OJ L 35, 8.2.2005, p. 1.
(*224) This point is covered by procedure 2016/0400A.
(162) OJ L 378, 27.12.2006, p. 1.
(163) OJ L 404, 30.12.2006, p. 9.
(164) OJ L 404, 30.12.2006, p. 26.
(165) OJ L 324, 10.12.2007, p. 121.
(*229) This point is covered by procedure 2016/0400A.
(166) OJ L 141, 6.6.2009, p. 3
(167) OJ L 125, 21.5.2009, p. 75.
(168) OJ L 164, 26.6.2009, p. 45.
(169) OJ L 309, 24.11.2009, p. 71.
(*234) This point is covered by procedure 2016/0400A.
(170) OJ L 152, 16.6.2009, p. 11.
(171) OJ L 229, 1.9.2009, p. 1.
(172) OJ L 300, 14.11.2009, p. 1.
(173) OJ L 23, 26.1.2008, p. 21.
(*240) This point is covered by procedure 2016/0400A.
(174) Council Decision 1999/468/EC of 28 June 1999 laying down the procedures for the exercise of implementing powers conferred on the Commission (OJ L 184, 17.7.1999, p. 23).
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/829 |
P8_TA(2019)0410
Adapting a number of legal acts providing for the use of the regulatory procedure with scrutiny to Articles 290 and 291 TFEU — part I ***I
European Parliament legislative resolution of 17 April 2019 on the proposal for a regulation of the European Parliament and of the Council adapting a number of legal acts providing for the use of the regulatory procedure with scrutiny to Articles 290 and 291 of the Treaty on the Functioning of the European Union (COM(2016)0799 — C8-0524/2016 — 2016/0400A(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/57)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2016)0799), |
— |
having regard to Article 294(2) and Article 33, Article 43(2), Article 53(1), Article 62, Article 64(2), Article 91, Article 100(2), Article 114, Article 153(2)(b), Article 168(4) (a), Article 168(4)(b), Article 172, Article 192(1), Article 207, Article 214(3), and Article 338(1) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0524/2016), |
— |
having regard to the opinion of the Committee on Legal Affairs on the proposed legal basis, |
— |
having regard to Article 294(3) and Article 33, Article 43(2), Article 53(1), Article 62, Article 91, Article 100(2), Article 114, Article 153(2)(b), Article 168(4)(b), Article 172, Article 192(1), Article 207(2), Article 214(3), and Article 338(1) of the Treaty on the Functioning of the European Union, |
— |
having regard to the opinion of the European Economic and Social Committee of 1 June 2017 (1), |
— |
having regard to the opinion of the Committee of the Regions of 1 December 2017 (2), |
— |
having regard to the letters of the Committee on Employment and Social Affairs, the Committee on the Environment, Public Health and Food Safety, the Committee on Industry, Research and Energy and the Committee on the Internal Market and Consumer Protection, |
— |
having regard to the decision by the Conference of Presidents of 7 March 2019 to authorise the Committee on Legal Affairs to split the above-mentioned Commission proposal and to draw up two separate legislative reports on the basis thereof, |
— |
having regard to the provisional agreement approved by the committee responsible under Rule 69f(4) of its Rules of Procedure and the undertaking given by the Council representative by letter of 27 February 2019 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
— |
having regard to the report of the Committee on Legal Affairs (A8-0190/2019), |
— |
having regard to Rules 59 and 39 of its Rules of Procedure, |
— |
having regard to the report of the Committee on Legal Affairs and also the opinions and position in the form of amendments of the Committee on Economic and Monetary Affairs, the Committee on the Environment, Public Health and Food Safety, the Committee on Transport and Tourism and the Committee on Agriculture and Rural Development (A8-0020/2018), |
1. |
Adopts its position at first reading hereinafter set out; |
2. |
Approves the joint statement by Parliament, the Council and the Commission annexed to this resolution; |
3. |
Takes note of the Commission statement annexed to this resolution; |
4. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
5. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
P8_TC1-COD(2016)0400A
Position of the European Parliament adopted at first reading on 17 April 2019 with a view to the adoption of Regulation (EU) 2019/… of the European Parliament and of the Council adapting a number of legal acts providing for the use of the regulatory procedure with scrutiny to Articles 290 and 291 of the Treaty on the Functioning of the European Union
(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) 2019/1243.)
ANNEX TO THE LEGISLATIVE RESOLUTION
Joint Statement by the Parliament, the Council and the Commission
In point 27 of the Interinstitutional Agreement on Better Law-Making the three institutions acknowledged the need for the alignment of all existing legislation to the legal framework introduced by the Lisbon Treaty, and in particular the need to give high priority to the prompt alignment of all basic acts which still refer to the regulatory procedure with scrutiny. Following the proposal of the Commission to that end, this Regulation responds to that need by providing for the alignment of the regulatory procedure with scrutiny in a significant number of acts included in that proposal. The three institutions will continue to work on the alignment of the remaining acts of that proposal.
Commission Statement
The Commission notes the choice of the legislators to provide for a limited duration for all the empowerments in which the regulatory procedure with scrutiny is aligned through this Regulation, coupled with a reporting obligation and tacit renewal of the empowerment. In particular in view of the high number of reports which would become due at regular intervals of time and the fact that easily available information about the use of the empowerments is available through the Register of Delegated Acts, the Commission underlines that it has discretion about the way in which it will comply with the reporting obligation. Where appropriate, the Commission may therefore group reports due under several basic acts in one single document.
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/832 |
P8_TA(2019)0411
Adapting a number of legal acts in the area of Justice providing for the use of the regulatory procedure with scrutiny to Article 290 TFEU ***I
European Parliament legislative resolution of 17 April 2019 on the proposal for a regulation of the European Parliament and of the Council adapting a number of legal acts in the area of Justice providing for the use of the regulatory procedure with scrutiny to Article 290 of the Treaty on the Functioning of the European Union (COM(2016)0798 — C8-0525/2016 — 2016/0399(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/58)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2016)0798), |
— |
having regard to Article 294(2) and Article 81(2) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0525/2016), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
having regard to Rule 59 of its Rules of Procedure, |
— |
having regard to the report of the Committee on Legal Affairs (A8-0012/2018), |
1. |
Adopts its position at first reading hereinafter set out; |
2. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
3. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
P8_TC1-COD(2016)0399
Position of the European Parliament adopted at first reading on 17 April 2019 with a view to the adoption of Regulation (EU) …/… of the European Parliament and of the Council adapting a number of legal acts in the area of Justice providing for the use of the regulatory procedure with scrutiny to Article 290 of the Treaty on the Functioning of the European Union
(Text with EEA relevance)
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on the Functioning of the European Union, and in particular Article 81(2) thereof,
Having regard to the proposal from the European Commission,
After transmission of the draft legislative act to the national parliaments,
Acting in accordance with the ordinary legislative procedure (1),
Whereas:
(1) |
The Treaty of Lisbon introduced substantially modified the legal framework governing the powers conferred on the Commission by the legislator, introducing a distinction between the powers delegated to the Commission to adopt non-legislative acts of general application to supplement or amend certain non-essential elements of a legislative act (delegated acts), and the powers conferred upon the Commission to adopt acts to ensure uniform conditions for implementing legally binding Union acts (implementing acts). [Am. 1] |
(2) |
The measures which may be covered by delegations of powers, as referred to in Article 290(1) of the Treaty on the Functioning of the European Union (TFEU), correspond in principle to those covered by the regulatory procedure with scrutiny established by Article 5a of Council Decision 1999/468/EC (2). |
(3) |
Earlier proposals relating to the alignment of legislation referring to the regulatory procedure with scrutiny with the legal framework introduced by the Lisbon Treaty (3) were withdrawn (4) due to the stagnation of the interinstitutional negotiations. |
(4) |
The European Parliament, the Council and the Commission subsequently agreed on a new framework for delegated acts in the Interinstitutional Agreement on Better Law-Making of 13 April 2016 (5) and acknowledged the need to align all existing legislation to the legal framework introduced by the Lisbon Treaty. In particular, they agreed on the need to give high priority to the prompt alignment of all basic acts which still refer to the regulatory procedure with scrutiny. The Commission gave a commitment to prepare a proposal for that alignment by the end of 2016. |
(5) |
The empowerments in the basic acts which provide for the use of the regulatory procedure with scrutiny fulfil the criteria in Article 290 of the TFEU and should be adapted to that provision. |
(5a) |
Bundling and presenting empowerments that are not closely linked with each other within a single delegated act of the Commission impedes the exercise of Parliament's right of scrutiny, as it is forced to simply accept or refuse the entire delegated act, which leaves no room to express an opinion on each empowerment individually. [Am. 2] |
(6) |
This Regulation should not affect pending procedures in which the committee has already delivered its opinion in accordance with Article 5a of Decision 1999/468/EC before the entry into force of this Regulation. |
(7) |
The acts concerned should therefore be amended accordingly. |
HAVE ADOPTED THIS REGULATION:
Article 1
The acts listed in the Annex are amended as set out therein.
Article 2
This Regulation shall not affect pending procedures in which a committee has already delivered its opinion in accordance with Article 5a of Decision 1999/468/EC.
Article 3
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 be binding in its entirety and directly applicable in all Member States.
Done at,
For the European Parliament
The President
For the Council
The President
(1) Position of the European Parliament of 17 April 2019.
(2) Council Decision 1999/468/EC of 28 June 1999 laying down the procedures for the exercise of implementing powers conferred on the Commission (OJ L 184, 17.7.1999, p. 23).
(3) COM(2013)0451, COM(2013)0452 and COM(2013)0751.
ANNEX
1. Council Regulation (EC) No 1206/2001 of 28 May 2001 on cooperation between the courts of the Member States in the taking of evidence in civil or commercial matters (1)
In order to update Regulation (EC) No 1206/2001, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend the Annex to that Regulation in order to update the standard forms or to make technical changes. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts.
Accordingly, Regulation (EC) No 1206/2001 is amended as follows:
(1) |
Article 19 is amended as follows:
|
(2) |
the following Articles 19a and 19 b are inserted: ‘Article 19a Delegated acts The Commission is empowered to adopt delegated acts in accordance with Article 19b amending the Annex in order to update the standard forms or to make technical changes to those forms."; Article 19b Exercise of the delegation 1. The power to adopt delegated acts is conferred on the Commission subject to the conditions laid down in this Article. 2. The power to adopt delegated acts referred to in Article 19a shall be conferred on the Commission for an indeterminate a period of time five years from the … [date of entry into force of this amending Regulation]. The Commission shall draw up a report in respect of the delegation of power not later than nine months before the end of the five-year period. The delegation of power shall be tacitly extended for periods of an identical duration, unless the European Parliament or the Council opposes such extension not later than three months before the end of each period. [Am. 3] 3. The delegation of power referred to in Article 19a may be revoked at any time by the European Parliament or by the Council. A decision to revoke shall put an end to the delegation of the power specified in that decision. It shall take effect the day following the publication of the decision in the Official Journal of the European Union or at a later date specified therein. It shall not affect the validity of any delegated acts already in force. 4. Before adopting a delegated act, the Commission shall consult experts designated by each Member State in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016 (*1). 5. As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the European Parliament and to the Council. 6. A delegated act adopted pursuant to Article 19a shall enter into force only if no objection has been expressed either by the European Parliament or by the Council within a period of two three months of notification of that act to the European Parliament and the Council or if, before the expiry of that period, the European Parliament and the Council have both informed the Commission that they will not object. That period shall be extended by two months at the initiative of the European Parliament or of the Council. [Am. 4] |
(3) |
Article 20 is deleted. |
2. Regulation (EC) No 805/2004 of the European Parliament and of the Council of 21 April 2004 creating a European Enforcement Order for uncontested claims (2)
In order to update Regulation (EC) No 805/2004 the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend the Annexes to that Regulation in order to update the standard forms. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts.
Accordingly, Regulation (EC) No 805/2004 is amended as follows:
(1) |
Article 31 is replaced by the following: ‘Article 31 Amendment of the Annexes The Commission is empowered to adopt delegated acts in accordance with Article 31a amending the Annexes in order to update the standard forms.’; |
(2) |
the following Article 31a is inserted: ‘Article 31a Exercise of the delegation 1. The power to adopt delegated acts is conferred on the Commission subject to the conditions laid down in this Article. 2. The power to adopt delegated acts referred to in Article 31 shall be conferred on the Commission for an indeterminate a period of time five years from the … [date of entry into force of this amending Regulation]. The Commission shall draw up a report in respect of the delegation of power not later than nine months before the end of the five-year period. The delegation of power shall be tacitly extended for periods of an identical duration, unless the European Parliament or the Council opposes such extension not later than three months before the end of each period. [Am. 5] 3. The delegation of power referred to in Article 31 may be revoked at any time by the European Parliament or by the Council. A decision to revoke shall put an end to the delegation of the power specified in that decision. It shall take effect the day following the publication of the decision in the Official Journal of the European Union or at a later date specified therein. It shall not affect the validity of any delegated acts already in force. 4. Before adopting a delegated act, the Commission shall consult experts designated by each Member State in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016 (*2). 5. As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the European Parliament and to the Council. 6. A delegated act adopted pursuant to Article 31 shall enter into force only if no objection has been expressed either by the European Parliament or by the Council within a period of two three months of notification of that act to the European Parliament and the Council or if, before the expiry of that period, the European Parliament and the Council have both informed the Commission that they will not object. That period shall be extended by two months at the initiative of the European Parliament or of the Council. [Am. 6] |
(3) |
Article 32 is deleted. |
3. Regulation (EC) No 1393/2007 of the European Parliament and of the Council of 13 November 2007 on the service in the Member States of judicial and extrajudicial documents in civil or commercial matters (service of documents), and repealing Council Regulation (EC) No 1348/2000 (3)
In order to update Regulation (EC) No 1393/2007 the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission to amend Annexes I and II to that Regulation to update the standard forms or to make technical changes. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts.
Accordingly, Regulation (EC) No 1393/2007 is amended as follows:
(1) |
Article 17 is replaced by the following: ‘Article 17 Amendment of the Annexes The Commission is empowered to adopt delegated acts in accordance with Article 17a amending Annexes I and II to update the standard forms or to make technical changes to those forms.’; |
(2) |
the following Article 17a is inserted: ‘Article 17a Exercise of the delegation 1. The power to adopt delegated acts is conferred on the Commission subject to the conditions laid down in this Article. 2. The power to adopt delegated acts referred to in Article 17 shall be conferred on the Commission for an indeterminate a period of time five years from the … [date of entry into force of this amending Regulation]. The Commission shall draw up a report in respect of the delegation of power not later than nine months before the end of the five-year period. The delegation of power shall be tacitly extended for periods of an identical duration, unless the European Parliament or the Council opposes such extension not later than three months before the end of each period. [Am. 7] 3. The delegation of power referred to in Article 17 may be revoked at any time by the European Parliament or by the Council. A decision to revoke shall put an end to the delegation of the power specified in that decision. It shall take effect the day following the publication of the decision in the Official Journal of the European Union or at a later date specified therein. It shall not affect the validity of any delegated acts already in force. 4. Before adopting a delegated act, the Commission shall consult experts designated by each Member State in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016 (*3). 5. As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the European Parliament and to the Council. 6. A delegated act adopted pursuant to Article 17 shall enter into force only if no objection has been expressed either by the European Parliament or by the Council within a period of two three months of notification of that act to the European Parliament and the Council or if, before the expiry of that period, the European Parliament and the Council have both informed the Commission that they will not object. That period shall be extended by two months at the initiative of the European Parliament or of the Council. [Am. 8] |
(3) |
Article 18 is deleted. |
(*1) OJ L 123, 12.5.2016, p. 1.’;
(*2) OJ L 123, 12.5.2016, p. 1.’;
(*3) OJ L 123, 12.5.2016, p. 1.’;’
(1) OJ L 174, 27.6.2001, p. 1.
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/839 |
P8_TA(2019)0412
Implementation and financing of the EU general budget for 2019 in relation to the UK's withdrawal from the Union ***
European Parliament legislative resolution of 17 April 2019 on the draft Council regulation on measures concerning the implementation and financing of the general budget of the Union in 2019 in relation to the withdrawal of the United Kingdom from the Union (06823/1/2019 — C8-0155/2019 — 2019/0031(APP))
(Special legislative procedure — consent)
(2021/C 158/59)
The European Parliament,
— |
having regard to the draft Council regulation (06823/1/2019), |
— |
having regard to the request for consent submitted by the Council in accordance with Article 352 of the Treaty on the Functioning of the European Union and with Article 203 of the Treaty establishing the European Atomic Energy Community (C8-0155/2019), |
— |
having regard to Rule 99(1) and (4) of its Rules of Procedure, |
— |
having regard to the recommendation of the Committee on Budgets (A8-0197/2019), |
1. |
Gives its consent to the draft Council regulation; |
2. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments |
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/840 |
P8_TA(2019)0413
EU-Russia agreement on cooperation in science and technology ***
European Parliament legislative resolution of 17 April 2019 on the draft Council decision on the renewal of the Agreement on cooperation in science and technology between the European Community and the Government of the Russian Federation (07683/2019 — C8-0153/2019 — 2019/0005(NLE))
(Consent)
(2021/C 158/60)
The European Parliament,
— |
having regard to draft Council decision (07683/2019), |
— |
having regard to the Agreement on cooperation in science and technology between the European Community and the Government of the Russian Federation (1), |
— |
having regard to the Declaration by the High Representative Federica Mogherini on behalf of the EU on the Autonomous Republic of Crimea and the city of Sevastopol of 20 March 2019, |
— |
having regard to the request for consent submitted by the Council in accordance with Article 186 and Article 218(6), second subparagraph, point (a)(v) of the Treaty on the Functioning of the European Union (C8-0153/2019), |
— |
having regard to Rule 99(1) and (4) and Rule 108(7) of its Rules of Procedure, |
— |
having regard to the recommendation of the Committee on Industry, Research and Energy (A8-0188/2019), |
1. |
Gives its consent to renewal of the agreement; |
2. |
Instructs its President to forward its position to the Council, the Commission and the governments and parliaments of the Member States and of Russia. |
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/841 |
P8_TA(2019)0414
Amendment of the European Investment Bank’s Statute *
European Parliament legislative resolution of 17 April 2019 on the proposal for a Council decision amending the Statute of the European Investment Bank (07651/2019 — C8-0149/2019 — 2019/0804(CNS))
(Special legislative procedure — consultation)
(2021/C 158/61)
The European Parliament,
— |
having regard to the proposal of the European Investment Bank to the Council to amend the Statute of the European Investment Bank (07651/2019), |
— |
having regard to Article 308 of the Treaty on the Functioning of the European Union, pursuant to which the Council consulted Parliament (C8-0149/2019), |
— |
having regard to Rule 78c of its Rules of Procedure, |
— |
having regard to the report of the Committee on Constitutional Affairs and the opinion of the Committee on Budgets (A8-0189/2019), |
1. |
Approves the proposal; |
2. |
Calls on the Council to notify Parliament if it intends to depart from the text approved by Parliament; |
3. |
Asks the Council to consult Parliament again if it intends to substantially amend the text approved by Parliament; |
4. |
Instructs its President to forward its position to the Council, the Commission, the European Investment Bank and the national parliaments. |
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/842 |
P8_TA(2019)0415
European Border and Coast Guard ***I
European Parliament legislative resolution of 17 April 2019 on the proposal for a regulation of the European Parliament and of the Council on the European Border and Coast Guard and repealing Council Joint Action 98/700/JHA, Regulation (EU) No 1052/2013 of the European Parliament and of the Council and Regulation (EU) No 2016/1624 of the European Parliament and of the Council (COM(2018)0631 — C8-0406/2018 — 2018/0330A(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/62)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2018)0631), |
— |
having regard to Article 294(2) and points (b) and (d) of Article 77(2) and point (c) of Article 79(2) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0406/2018), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
having regard to the opinion of the European Economic and Social Committee of 12 December 2018 (1), |
— |
having regard to the opinion of the Committee of the Regions of 6 February 2019 (2), |
— |
having regard to the decision by the Conference of Presidents of 21 March 2019 to authorise the Committee on Civil Liberties, Justice and Home Affairs to split the abovementioned Commission proposal and to draw up two separate legislative reports on the basis thereof, |
— |
having regard to the provisional agreement approved by the committee responsible under Rule 69f(4) of its Rules of Procedure and the undertaking given by the Council representative by letter of 1 April 2019 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
— |
having regard to Rule 59 of its Rules of Procedure, |
— |
having regard to the report of the Committee on Civil Liberties, Justice and Home Affairs and the opinion of the Committee on Budgets (A8-0076/2019), |
1. |
Adopts its position at first reading hereinafter set out; |
2. |
Approves the joint statement by Parliament and the Council annexed to this resolution; |
3. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
4. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
P8_TC1-COD(2018)0330A
Position of the European Parliament adopted at first reading on 17 April 2019 with a view to the adoption of Regulation (EU) 2019/… of the European Parliament and of the Council on the European Border and Coast Guard and repealing Regulations (EU) No 1052/2013 and (EU) 2016/1624
(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) 2019/1896.)
ANNEX TO THE LEGISLATIVE RESOLUTION
Joint statement of the European Parliament and of the Council on the possible mechanisms to ensure the attractiveness of the European Border and Coast Guard Agency
The European Border and Coast Guard Agency is expected to face challenging circumstances in the coming years to fulfil exceptional needs for recruiting, training and retaining qualified staff from the broadest possible geographical basis. In view of the Agency's mandate and the important number of its staff, it is essential to explore mechanisms which would allow to ensure the attractiveness of the Agency as an employer by adapting the remunerations of the staff of the Agency in Warsaw, in accordance with the applicable Union law.
The European Parliament and the Council therefore call upon the Commision to assess the basis and modalities for any such appropriate mechanism, in particular when presenting the proposals for the revision of the Staff Regulations of Officials of the European Union and the Conditions of Employment of Other Servants of the Union, laid down in Council Regulation (EEC, Euratom, ECSC) No 259/68 (1). Any such mechanism shall be proportionate to the importance of the objectives pursued and not give rise to unequal treatment among staff of the Union institutions, bodies, offices and agencies if such Union institutions, bodies, offices and agencies are confronted with a similar situation.
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/845 |
P8_TA(2019)0416
Visa Code ***I
European Parliament legislative resolution of 17 April 2019 on the proposal for a regulation of the European Parliament and of the Council amending Regulation (EC) No 810/2009 establishing a Community Code on Visas (Visa Code) (COM(2018)0252 — C8-0114/2018 — 2018/0061(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/63)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2018)0252), |
— |
having regard to Article 294(2) and Article 77(2)(a) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0114/2018), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
having regard to the opinion of the European Economic and Social Committee of 19 September 2018 (1), |
— |
having regard to the provisional agreement approved by the committee responsible under Rule 69f(4) of its Rules of Procedure and the undertaking given by the Council representative by letter of 20 February 2019 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
— |
having regard to Rule 59 of its Rules of Procedure, |
— |
having regard to the report of the Committee on Civil Liberties, Justice and Home Affairs and the opinion of the Committee on Transport and Tourism (A8-0434/2018), |
1. |
Adopts its position at first reading hereinafter set out (2); |
2. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
3. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
(1) OJ C 440, 6.12.2018, p. 142.
(2) This position replaces the amendments adopted on 11 December 2018 (Texts adopted, P8_TA(2018)0495).
P8_TC1-COD(2018)0061
Position of the European Parliament adopted at first reading on 17 April 2019 with a view to the adoption of Regulation (EU) 2019/… of the European Parliament and of the Council amending Regulation (EC) No 810/2009 establishing a Community Code on Visas (Visa Code)
(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) 2019/1155.)
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/846 |
P8_TA(2019)0417
Conservation and control measures applicable in the Regulatory Area of the Northwest Atlantic Fisheries Organisation ***I
European Parliament legislative resolution of 17 April 2019 on the proposal for a regulation of the European Parliament and of the Council laying down conservation and control measures applicable in the Regulatory Area of the Northwest Atlantic Fisheries Organisation and repealing Council Regulation (EC) No 2115/2005 and Council Regulation (EC) No 1386/2007 (COM(2018)0577 — C8-0391/2018 — 2018/0304(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/64)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2018)0577), |
— |
having regard to Article 294(2) and Article 43(2) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0391/2018), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
having regard to the opinion of the European Economic and Social Committee of 23 January 2019 (1), |
— |
having regard to the provisional agreement approved by the committee responsible under Rule 69f(4) of its Rules of Procedure and the undertaking given by the Council representative by letter of 15 February 2019 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
— |
having regard to Rule 59 of its Rules of Procedure, |
— |
having regard to the report of the Committee on Fisheries (A8-0017/2019), |
1. |
Adopts its position at first reading hereinafter set out; |
2. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
3. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
(1) Not yet published in the Official Journal.
P8_TC1-COD(2018)0304
Position of the European Parliament adopted at first reading on 17 April 2019 with a view to the adoption of Regulation (EU) 2019/… of the European Parliament and of the Council laying down conservation and enforcement measures applicable in the Regulatory Area of the Northwest Atlantic Fisheries Organisation, amending Regulation (EU) 2016/1627 and repealing Council Regulations (EC) No 2115/2005 and (EC) No 1386/2007
(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) 2019/833.)
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/847 |
P8_TA(2019)0418
Rules facilitating the use of financial and other information ***I
European Parliament legislative resolution of 17 April 2019 on the proposal for a Directive of the European Parliament and of the Council laying down rules facilitating the use of financial and other information for the prevention, detection, investigation or prosecution of certain criminal offences and repealing Council Decision 2000/642/JHA (COM(2018)0213 — C8-0152/2018 — 2018/0105(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/65)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2018)0213), |
— |
having regard to Article 294(2) and Article 87(2) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0152/2018), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
having regard to the opinion of the European Economic and Social Committee of 12 July 2018 (1), |
— |
having regard to the provisional agreement approved by the committee responsible under Rule 69f(4) of its Rules of Procedure and the undertaking given by the Council representative by letter of 20 February 2019 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
— |
having regard to Rule 59 of its Rules of Procedure, |
— |
having regard to the report of the Committee on Civil Liberties, Justice and Home Affairs and the opinion of the Committee on Economic and Monetary Affairs (A8-0442/2018), |
1. |
Adopts its position at first reading hereinafter set out; |
2. |
Approves its statement annexed to this resolution, which will be published in the L series of the Official Journal of the European Union together with the final legislative act; |
3. |
Takes note of the statement by the Commission annexed to this resolution, which will be published in the L series of the Official Journal of the European Union together with the final legislative act; |
4. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
5. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
P8_TC1-COD(2018)0105
Position of the European Parliament adopted at first reading on 17 April 2019 with a view to the adoption of Directive (EU) 2019/… of the European Parliament and of the Council laying down rules facilitating the use of financial and other information for the prevention, detection, investigation or prosecution of certain criminal offences, and repealing Council Decision 2000/642/JHA
(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Directive (EU) 2019/1153.)
ANNEX TO THE LEGISLATIVE RESOLUTION
European Parliament Statement on Article 9
The European Parliament regrets that, against the original proposal, the Directive does not include rules on precise deadlines and IT channels for the exchange of information between Financial Intelligence Units of different Member States. The European Parliament also regrets that the scope of application of this Article has been limited to cases of terrorism and organised crime associated with terrorism, and does not cover, as originally proposed, all types of serious criminal offences, which can also have serious detrimental effects on our societies. The European Parliament urges the Commission to re-examine this issue as part of its reports on the implementation and evaluation of this Directive and of the Anti-Money Laundering Directive, and specifically as part of its assessment under Article 21. The European Parliament will closely follow and analyse those reports and assessments and will come up with its own recommendations, if necessary.
Commission Statement
In relation to Article 9 of the Directive, the Commission regrets that, against its original proposal, the Directive does not include rules on precise deadlines and IT channels for the exchange of information between Financial Intelligence Units of different Member States. The Commission also regrets that the scope of application of this Article has been limited to cases of terrorism and organised crime associated with terrorism, and does not cover all types of serious criminal offences, as originally proposed. The Commission will further reflect on Financial Intelligence Unit to Financial Intelligence Unit cooperation, notably as part of its reports on the implementation of this Directive and of the Anti-Money Laundering Directive.
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/850 |
P8_TA(2019)0419
European Cybersecurity Industrial, Technology and Research Competence Centre and Network of National Coordination Centres ***I
European Parliament legislative resolution of 17 April 2019 on the proposal for a regulation of the European Parliament and of the Council establishing the European Cybersecurity Industrial, Technology and Research Competence Centre and the Network of National Coordination Centres (COM(2018)0630 — C8-0404/2018 — 2018/0328(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/66)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2018)0630), |
— |
having regard to Article 294(2) and Articles 173(3) and the first paragraph of Article 188 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0404/2018), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
having regard to the opinion of the European Economic and Social Committee of 23 January 2019 (1), |
— |
having regard to Rule 59 of its Rules of Procedure, |
— |
having regard to the report of the Committee on Industry, Research and Energy and the opinion of the Committee on the Internal Market and Consumer Protection (A8-0084/2019), |
1. |
Adopts its position at first reading hereinafter set out (2); |
2. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
3. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
(1) Not yet published in the Official Journal.
(2) This position corresponds to the amendments adopted on 13 March 2019 (Texts adopted, P8_TA(2019)0189).
P8_TC1-COD(2018)0328
Position of the European Parliament adopted at first reading on 17 April 2019 with a view to the adoption of Regulation (EU) …/… of the European Parliament and of the Council establishing the European Cybersecurity Industrial, Technology and Research Competence Centre and the Network of National Coordination Centres
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on the Functioning of the European Union, and in particular Article 173(3) and the first paragraph of Article 188 thereof,
Having regard to the proposal from the European Commission,
Having regard to the opinion of the European Economic and Social Committee (1),
Having regard to the opinion of the Committee of the Regions (2),
Acting in accordance with the ordinary legislative procedure (3),
Whereas:
(1) |
More than 80 % of the population of the Union is connected to the internet and οur daily lives and economies become are becoming increasingly dependent on digital technologies, with citizens become becoming more and more exposed to serious cyber incidents. Future security depends, among others, on contributing to overall resilience, on enhancing technological and industrial ability to protect the Union against constantly evolving cyber threats, as both civilian infrastructure and military security capacities rely on secure digital systems. Such security can be achieved by raising the awareness for cybersecurity threats, by developing competences, capacities, capabilities throughout the Union, thoroughly taking into account the interplay of hardware and software infrastructure, networks, products and processes, and the societal and ethical implications and concerns. [Am. 1] |
(1a) |
Cybercrime is a fast growing threat to the Union, its citizens and its economy. In 2017, 80 % of the European companies experienced at least one cyber incident. The Wannacry-attack in May 2017 affected more than 150 countries and 230 000 IT-systems and had significant impacts on critical infrastructures, such as hospitals. This underlines the necessity for the highest cybersecurity standards and holistic cybersecurity solutions, involving people, products, processes and technology in the Union, as well as for the Union’s leadership in the matter, and for digital autonomy. [Am. 2] |
(2) |
The Union has steadily increased its activities to address growing cybersecurity challenges following the 2013 Cybersecurity Strategy (4) aimed to foster a reliable, safe, and open cyber ecosystem. In 2016 the Union adopted the first measures in the area of cybersecurity through Directive (EU) 2016/1148 of the European Parliament and of the Council (5) on security of network and information systems. |
(3) |
In September 2017, the Commission and the High Representative of the Union for Foreign Affairs and Security Policy presented a Joint Communication (6) on ‘Resilience, Deterrence and Defence: Building strong cybersecurity for the EU’ to further reinforce the Union’s resilience, deterrence and response to cyber-attacks. |
(4) |
The Heads of State and Government at the Tallinn Digital Summit, in September 2017, called for the Union to become ‘a global leader in cyber-security by 2025, in order to ensure trust, confidence and protection of our citizens, consumers and enterprises online and to enable a free , safer and law-governed internet.’ , and declared to ‘make more use of open source solutions and/or open standards when (re)building Information and Communication Technology (ICT) systems and solutions (among else, to avoid vendor lock-ins), including those developed and/or promoted by EU programmes for interoperability and standardisation, such as ISA2’. [Am. 3] |
(4a) |
The European Cybersecurity Industrial, Technology and Research Competence Centre (the ‘Competence Centre’) should help to increase the resilience and reliability of the infrastructure of network and information systems, including the internet and other critical infrastructure for the functioning of society such as transport, health, and banking systems. [Am. 4] |
(4b) |
The Competence Centre and its actions should take into account the implementation of Regulation (EU) 2019/XXX [recast of Regulation (EC) No 428/2009 as proposed by COM(2016)0616] (7) . [Am. 5] |
(5) |
Substantial disruption of network and information systems can affect individual Member States and the Union as a whole. The highest level of security of network and information systems throughout the Union is therefore essential for the smooth functioning of the internal market society and economy alike . At the moment, the Union depends on non-European cybersecurity providers. However, it is in the Union's strategic interest to ensure that it retains and develops essential cybersecurity technological capacities and capabilities to secure its Digital Single Market, and in particular to protect the protection of data and critical networks and information systems of European citizens and companies, including critical infrastructures for the functioning of society such as transport systems, health systems and banking, and the Digital Single Market, and to provide key cybersecurity services. [Am. 6] |
(6) |
A wealth of expertise and experience in cybersecurity research, technology and industrial development exists in the Union but the efforts of industrial and research communities are fragmented, lacking alignment and a common mission, which hinders competitiveness and effective protection of critical data, networks and systems in this domain. These efforts and expertise need to be pooled, networked and used in an efficient manner to reinforce and complement existing research, technology , skills and industrial capacities at Union and national levels. Whereas ICT sector faces important challenges, such as fulfilling its demand for skilled workers, it can benefit from representing the diversity of society at large, and from achieving a balanced representation of genders, ethnic diversity, and non-discrimination against disabled persons, as well as from facilitating the access to knowledge and training for future cybersecurity experts, including their education in non-formal contexts, for example in Free and Open Source Software projects, civic tech projects, start-ups and microenterprises. [Am. 7] |
(6a) |
Small and medium-sized enterprises (SMEs) are crucial actors in the Union’s cybersecurity sector, which can provide cutting-edge solutions due to their agility. SMEs that are not specialised in cybersecurity are, however, also prone to be more vulnerable to cyber incidents due to high investment and knowledge requirements to establish effective cybersecurity solutions. It is therefore necessary that the Competence Centre and the Cybersecurity Competence Network (the ‘Network’) provide special support for SMEs by facilitating their access to knowledge and training in order to allow them to secure themselves sufficiently and to allow those who are active in cybersecurity to contribute to the Union’s leadership in the field. [Am. 8] |
(6b) |
Expertise exists beyond industrial and research contexts. Non-commercial and pre-commercial projects, referred to as ‘civic tech’ projects, make use of open standards, Open Data, and Free and Open Source Software, in the interest of society and the public good. They contribute to the resilience, awareness and development of competence in cybersecurity matters and play an important role in building capacities for industry and research in the field. [Am. 9] |
(6c) |
The term ‘stakeholders’, when used in the context of this Regulation, refers to, inter alia, industry, public entities and other entities which deal with operational and technical matters in the area of cybersecurity, as well as to civil society, inter alia trade unions, consumer associations, the Free and Open Source Software community, and the academic and research community. [Am. 10] |
(7) |
The Council Conclusions adopted in November 2017 called on the Commission to provide rapidly an impact assessment on the possible options to create a network of cybersecurity competence centres with the European Research and Competence Centre and propose by mid-2018 the relevant legal instrument. |
(8) |
The Competence Centre should be the Union's main instrument to pool investment in cybersecurity research, technology and industrial development and to implement relevant projects and initiatives together with the Cybersecurity Competence Network. It should deliver cybersecurity-related financial support from the Horizon Europe and Digital Europe programmes, as well as from the European Defence Fund for actions and administrative costs related to defence, and should be open to the European Regional Development Fund and other programmes where appropriate. This approach should contribute to creating synergies and coordinating financial support related to Union initiatives in the field of cybersecurity research and development , innovation, technology and industrial development and avoiding duplication. [Am. 11] |
(8a) |
‘Security by design’ as a principle established in Commission Joint Communication of 13 September 2017 entitled ‘Resilience, Deterrence and Defence: Building strong cybersecurity for the EU’ includes state-of-the-art methods by which to increase security, at all stages of the lifecycle of a product or service, starting with secure design and development methods, reducing the attack surface, and incorporating adequate security testing and security audits. For the duration of operation and maintenance, producers or providers need to make available updates remedying new vulnerabilities or threats without delay, for the estimated lifetime of a product and beyond. This can also be achieved by enabling third parties to create and provide such updates. The provision of updates is especially necessary in the case of commonly used infrastructures, products and processes. [Am. 12] |
(8b) |
In view of the extent of the cybersecurity challenge and in view of the investments made in cybersecurity capacities and capabilities in other parts of the world, the Union and its Member States should step up their financial support to research, development and deployment in this area. In order to realise economies of scale and achieve a comparable level of protection across the union, the Member States should put their efforts into a European framework by investing through the Competence Centre mechanism where relevant. [Am. 13] |
(8c) |
The Competence Centre and the Cybersecurity Competence Community should, in order to foster the Union’s competitiveness and the highest cybersecurity standards internationally, seek the exchange on cybersecurity products and processes, standards and technical standards with the international community. Technical standards include the creation of reference implementations, published under open standard licences. The secure design of, in particular, reference implementations is crucial for the overall reliability and resilience of commonly used network and information system infrastructure like the internet and critical infrastructures. [Am. 14] |
(9) |
Taking into account that the objectives of this initiative can be best achieved if all Member States or as many Member States as possible participate contribute , and as an incentive for Member States to take part, only Member States who contribute financially to the administrative and operational costs of the Competence Centre should hold voting rights. [Am. 15] |
(10) |
The participating Member States' financial participation should be commensurate to the Union's financial contribution to this initiative. |
(11) |
The Competence Centre should facilitate and help coordinate the work of the Cybersecurity Competence Network (‘the Network’), made up of National Coordination Centres in each Member State. National Coordination Centres should receive direct Union financial support, including grants awarded without a call for proposals, in order to carry out activities related to this Regulation. |
(12) |
National Coordination Centres should be selected by Member States. In addition to the necessary administrative capacity, Centres should either possess or have direct access to cybersecurity technological expertise in cybersecurity, notably in domains such as cryptography, ICT security services, intrusion detection, system security, network security, software and application security, or human, and ethical, societal and environmental aspects of security and privacy. They should also have the capacity to effectively engage and coordinate with the industry, the public sector, including authorities designated pursuant to the Directive (EU) 2016/1148 of the European Parliament and of the Council (8), and the research community in order to establish a continuous public-private dialogue on cybersecurity . In addition, awareness should be raised among the general public about cybersecurity through appropriate means of communication. [Am. 16] |
(13) |
Where financial support is provided to National Coordination Centres in order to support third parties at the national level, this shall be passed on to relevant stakeholders through cascading grant agreements. |
(14) |
Emerging technologies such as artificial intelligence, Internet of Things, high-performance computing (HPC) and quantum computing, blockchain and as well as concepts such as secure digital identities create at the same time new challenges for cybersecurity as well as offer solutions products and processes . Assessing and validating the robustness of existing or future ICT systems will require testing security solutions products and processes against attacks run on HPC and quantum machines. The Competence Centre, the Network , the European Digital Innovation Hubs and the Cybersecurity Competence Community should help advance and disseminate the latest cybersecurity solutions. At the same time the Competence products and processes, including dual use, in particular those that help organisations to be in a constant state of building capacity, resilience and appropriate governance. The Competence Centre and the Network should stimulate the whole innovation cycle and contribute to bridging the valley of death of innovation of cybersecurity technologies and services. At the same time the Competence Centre, the Network and the Community should be at the service of developers and operators in critical sectors such as transport, energy, health, financial, government, telecom, manufacturing, defence, and space to help them solve their cybersecurity challenges , and research the various motivations of attacks on the integrity of networks and information systems, such as crime, industrial espionage, defamation, and disinformation . [Am. 17] |
(14a) |
Due to the fast changing nature of cyber threats and cybersecurity, the Union needs to be able to adapt fast and continuously to new developments in the field. Hence, the Competence Centre, the Network and the Cybersecurity Competence Community should be flexible enough to ensure the required reactivity. They should facilitate solutions that help entities to be able to constantly build capability to enhance their and the Union’s resilience. [Am. 18] |
(14b) |
The Competence Centre should have the objectives to establish the Union’s leadership and expertise in cybersecurity, and by that guarantee the highest security standards in the Union, ensure the protection of data, information systems, networks and critical infrastructures in the Union, create new high-quality jobs in the area, prevent brain drain from the European cybersecurity experts to third countries, and add European value to the already existing national cybersecurity measures. [Am. 19] |
(15) |
The Competence Centre should have several key functions. First, the Competence Centre should facilitate and help coordinate the work of the European Cybersecurity Competence Network and nurture the Cybersecurity Competence Community. The Centre should drive the cybersecurity technological agenda and pool, share and facilitate access to the expertise gathered in the Network and the Cybersecurity Competence Community , and to cybersecurity infrastructure . Secondly, it should implement relevant parts of Digital Europe and Horizon Europe programmes by allocating grants, typically following a competitive call for proposals. Thirdly, the Competence Centre should facilitate joint investment by the Union, Member States and/or industry as well as joint training opportunities and awareness raising programmes in line with the Digital Europe Programme for citizens and businesses to overcome the skill gap . It should pay special attention to the enabling of SMEs in the area of cybersecurity. [Am. 20] |
(16) |
The Competence Centre should stimulate and support the long-term strategic cooperation and coordination of the activities of the Cybersecurity Competence Community, which would involve a large, open, interdisciplinary and diverse group of European actors involved in cybersecurity technology. That Community should include in particular research entities, including those working on cybersecurity ethics, supply-side industries, demand side demand-side industries including SMEs , and the public sector. The Cybersecurity Competence Community should provide input to the activities and work plan of the Competence Centre and it should also benefit from the community-building activities of the Competence Centre and the Network, but otherwise should not be privileged with regard to calls for proposals or calls for tender. [Am. 21] |
(16a) |
The Competence Centre should provide the appropriate support to the European Network and Information Security Agency (ENISA) in its tasks defined by Directive (EU) 2016/1148 (‘NIS Directive’) and Regulation (EU) 2019/XXX of the European Parliament and of the Council (9) (‘Cybersecurity Act’). Therefore, ENISA should provide relevant inputs to the Competence Centre in its task of defining funding priorities. [Am. 22] |
(17) |
In order to respond to the needs of the public sector and both demand and supply side industries, the Competence Centre's task to provide cybersecurity knowledge and technical assistance to the public sector and industries should refer to both ICT products , processes and services and all other industrial and technological products and solutions processes in which cybersecurity is to be embedded. In particular, the Competence Centre should facilitate the deployment of dynamic enterprise-level solutions focused on building capabilities of entire organisations, including people, processes and technology, in order to effectively protect the organizations against constantly changing cyber threats. [Am. 23] |
(17a) |
The Competence Centre should contribute to the wide deployment of state-of-the-art cybersecurity products and solutions, in particular those that are internationally recognised. [Am. 24] |
(18) |
Whereas the Competence Centre and the Network should strive to achieve synergies and coordination between the cybersecurity civilian and defence spheres, projects financed by the Horizon Europe Programme will be implemented in line with Regulation XXX [Horizon Europe Regulation], which provides that research and innovation activities carried out under Horizon Europe shall have a focus on civil applications. [Am. 25] |
(19) |
In order to ensure structured and sustainable collaboration, the relation between the Competence Centre and the National Coordination Centres should be based on a contractual agreement that should be harmonised at Union level . [Am. 26] |
(20) |
Appropriate provisions should be made to guarantee the liability and transparency of the Competence Centre and those undertakings receiving funding . [Am. 27] |
(20a) |
The implementation of deployment projects, in particular those relating to infrastructures and capabilities deployed at European level or in joint procurement, can be divided into different phases of implementation, such as separate tenders for the architecture of hard- and software, their production and their operation and maintenance, whereas companies may only participate in one of the phases each and requiring that the beneficiaries in one or several of those phases meet certain conditions in terms of European ownership or control. [Am. 28] |
(20b) |
With ENISA being the dedicated Union cybersecurity agency, the Competence Centre should seek the greatest possible synergies with it and the Governing Board should consult ENISA due to its experience in the field in all matters regarding cybersecurity, in particular on research-related projects. [Am. 29] |
(20c) |
In the process of the nomination of the representative to the Governing Board, the European Parliament should include details of the mandate, including the obligation to report regularly to the European Parliament, or the committees responsible. [Am. 30] |
(21) |
In view of their respective expertise in cybersecurity and in order to ensure greatest possible synergies , the Joint Research Centre of the Commission as well as the European Network and Information Security Agency (ENISA) should play an active part in the Cybersecurity Competence Community and the Industrial and Scientific Advisory Board. ENISA should continue to fulfil its strategic objectives especially in the field of cybersecurity certification as defined in Regulation (EU) 2019/XXX [Cybersecurity Act] (10) while the Competence Centre should act as an operational body in cybersecurity. [Am. 31] |
(22) |
Where they receive a financial contribution from the general budget of the Union, the National Coordination Centres and the entities which are part of the Cybersecurity Competence Community should publicise the fact that the respective activities are undertaken in the context of the present initiative. |
(23) |
The Union contribution to the Competence Centre should finance half of the costs arising from the establishment, administrative and coordination activities of the Competence Centre, In order to avoid double funding, those activities should not benefit simultaneously from a contribution from other Union programmes. |
(24) |
The Governing Board of the Competence Centre, composed of the Member States and the Commission, should define the general direction of the Competence Centre’s operations, and ensure that it carries out its tasks in accordance with this Regulation. The Governing Board should be entrusted with the powers necessary to establish the budget, verify its execution, adopt the appropriate financial rules, establish transparent working procedures for decision making by the Competence Centre, adopt the Competence Centre’s work plan and multiannual strategic plan reflecting the priorities in achieving the objectives and tasks of the Competence Centre, adopt its rules of procedure, appoint the Executive Director and decide on the extension of the Executive Director’s term of office and on the termination thereof. In order to benefit from synergies, ENISA should be a permanent observer in the Governing Board and contribute the work of the Competence Centre, including by being consulted on the multi-annual strategic plan and on the work plan and on the list of actions selected for funding. [Am. 32] |
(24a) |
The Governing Board should aim to promote the Competence Centre globally, so as to raise its attractiveness and make it a world-class body for excellence in cybersecurity. [Am. 33] |
(25) |
In order for the Competence Centre to function properly and effectively, the Commission and the Member States should ensure that persons to be appointed to the Governing Board have appropriate professional expertise and experience in functional areas. The Commission and the Member States should also make efforts to limit the turnover of their respective Representatives on the Governing Board in order to ensure continuity in its work and aim to achieve gender balance . [Am. 34] |
(25a) |
The weight of the Commission vote in the decisions of the Governing Board should be in line with the contribution of the Union budget to the Competence Centre, according to the Commission responsibility to ensure proper management of the Union budget in the Union interest, as set in the Treaties. [Am. 35] |
(26) |
The smooth functioning of the Competence Centre requires that its Executive Director be appointed on in a transparent manner on the grounds of merit and documented administrative and managerial skills, as well as competence and experience relevant for cybersecurity, and that the duties of the Executive Director be carried out with complete independence. [Am. 36] |
(27) |
The Competence Centre should have an Industrial and Scientific Advisory Board as an advisory body to ensure regular and appropriately transparent dialogue with the private sector, consumers’ organisations and other relevant stakeholders . It should also provide the Executive Director and the Governing Board with independent advice on deployment and procurement . The Industrial and Scientific Advisory Board should focus on issues relevant to stakeholders and bring them to the attention of the Competence Centre's Governing Board. The composition of the Industrial and Scientific Advisory Board and the tasks assigned to it, such as being consulted regarding the work plan, should ensure sufficient representation of stakeholders in the work of the Competence Centre. A minimum number of seats should be allocated to each category of industry stakeholders, with particular attention paid to the representation of SMEs. [Am. 37] |
(28) |
The Competence Centre and its activities should benefit from the particular expertise and the broad and relevant stakeholders’ representation built through the contractual public-private partnership on cybersecurity during the duration of Horizon2020, and the pilot projects under Horizon2020 on the Cybersecurity Competence Network, through its Industrial and Scientific Advisory Board. The Competence Centre and Industrial and Scientific Advisory Board should, if appropriate, consider replications of existing structures, for example as working groups. [Am. 38] |
(28a) |
The Competence Centre and its bodies should make use of the experience and contributions of past and current initiatives, such as the contractual public-private partnership (cPPP) on cybersecurity, the European Cyber Security Organisation (ECSO), and the pilot project and preparatory action on Free and Open Source Software Audits (EU FOSSA). [Am. 39] |
(29) |
The Competence Centre should have in place rules regarding the prevention, and the management of conflict identification and resolution of conflicts of interest in respect of its members, bodies and staff, the Governing Board, as well as the Scientific and Industrial Advisory Board, and the Community. Member States should ensure the prevention, identification, and resolution of conflicts of interest in respect of the National Coordination Centres . The Competence Centre should also apply the relevant Union provisions concerning public access to documents as set out in Regulation (EC) No 1049/2001 of the European Parliament and of the Council (11). Processing of personal data by the Competence Centre will be subject to Regulation (EU) No XXX/2018 of the European Parliament and of the Council. The Competence Centre should comply with the provisions applicable to the Union institutions, and with national legislation regarding the handling of information, in particular sensitive non classified information and EU classified information. [Am. 40] |
(30) |
The financial interests of the Union and of the Member States should be protected by proportionate measures throughout the expenditure cycle, including the prevention, detection and investigation of irregularities, the recovery of lost, wrongly paid or incorrectly used funds and, where appropriate, the application of administrative and financial penalties in accordance with Regulation XXX (EU, Euratom) of the European Parliament and of the Council (12) [the Financial Regulation]. |
(31) |
The Competence Centre should operate in an open and transparent way comprehensively providing all relevant information in a timely manner as well as promoting its activities, including information and dissemination activities to the wider public. It should provide the public and any interested parties with a list of the Cybersecurity Competence Community members and should make public the declarations of interest made by them in accordance with Article 42. The rules of procedure of the bodies of the Competence Centre should be made publicly available. [Am. 41] |
(31a) |
It is advisable that both the Competence Centre and the National Coordination Centres monitor and follow the international standards as much as possible, in order to encourage development towards global best practices. [Am. 42] |
(32) |
The Commission’s internal auditor should exercise the same powers over the Competence Centre as those exercised in respect of the Commission. |
(33) |
The Commission, the Competence Centre, the Court of Auditors and the European Anti-Fraud Office should get access to all necessary information and the premises to conduct audits and investigations on the grants, contracts and agreement signed by the Competence Centre. |
(33a) |
The power to adopt acts in accordance with Article 290 of the Treaty on the Functioning of the European Union should be delegated to the Commission in respect of defining the elements of contractual agreements between the Competence Centre and National Coordination Centres, and in respect of specifying criteria for assessing and accrediting entities as members of the Cybersecurity Competence Community. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement of 13 April 2016 on Better Law-Making (13) . In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. [Am. 43] |
(34) |
Since The objectives of this Regulation, namely strengthening the Union’s competitiveness and capacities in cybersecurity through, and reducing its digital dependence by increasing the uptake of cybersecurity products, processes and services developed within the Union, retaining and developing Union's cybersecurity technological and industrial capacities, increasing the competitiveness of the Union's cybersecurity industry and turning cybersecurity into a competitive advantage of other Union industries, cannot be sufficiently achieved by the Member States due the fact that existing, limited resources are dispersed as well as due to the scale of the investment necessary, but can rather by reason of avoiding unnecessary duplication of these efforts, helping to achieve critical mass of investment and ensuring that public financing is used in an optimal way be better achieved at Union level . In addition, only actions at Union level can ensure the highest level of cybersecurity in all Member States and thus close security gaps existing in some Member States that create security gaps for the whole Union. Hence , the Union may adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty on European Union. In accordance with the principle of proportionality as set out in that Article, this Regulation does not go beyond what is necessary in order to achieve that objective. [Am. 44] |
HAVE ADOPTED THIS REGULATION:
CHAPTER I
GENERAL PROVISIONS AND PRINCIPLES OF THE COMPETENCE CENTRE AND THE NETWORK
Article 1
Subject matter
1. This Regulation establishes the European Cybersecurity Industrial, Technology and Research Competence Centre (the ‘Competence Centre’), as well as the Network of National Coordination Centres (the ‘ Network’) , and lays down rules for the nomination of National Coordination Centres as well as for the establishment of the Cybersecurity Competence Community (the ‘Community’) . The Competence Centre and the Network shall contribute to the overall resilience and awareness in the Union towards cybersecurity threats, thoroughly taking into account societal implications. [Am. 45]
2. The Competence Centre shall contribute to the implementation of the cybersecurity part of the Digital Europe Programme established by Regulation No XXX (14) and in particular actions related to Article 6 of Regulation (EU) No XXX [Digital Europe Programme] thereof and of the Horizon Europe Programme established by Regulation No XXX (15) and in particular Section 2.2.6 of Pillar II of Annex I. of Decision No XXX on establishing the specific programme implementing Horizon Europe — the Framework Programme for Research and Innovation[ref. number of the Specific Programme].
3. The seat of the Competence Centre shall be located in [Brussels, Belgium.] [Am. 46]
4. The Competence Centre shall have legal personality. In each Member State, it shall enjoy the most extensive legal capacity accorded to legal persons under the laws of that Member State. It may, in particular, acquire or dispose of movable and immovable property and may be a party to legal proceedings. [Am. 47]
Article 2
Definitions
For the purpose of this Regulation, the following definitions shall apply:
(1) |
‘cybersecurity’ means the protection of all activities necessary to protect network and information systems, their users, and other affected persons against from cyber threats; [Am. 48] |
(1a) |
‘cyber defence’ and ‘defence dimensions of cybersecurity’ means exclusively defensive and reactive cyber defence technology which aims to protect critical infrastructures, military networks and information systems, their users, and affected persons, against cyber threats including situational awareness, threat detection and digital forensics; [Am. 183] |
(2) |
‘cybersecurity products and solutions processes ’ means commercial and non-commercial ICT products, services or process processes with the specific purpose of protecting data, network and information systems, their users and affected other persons from cyber cybersecurity threats; [Am. 49] |
(2a) |
‘cyber threat’ means any potential circumstance, event or action that may damage, disrupt or otherwise adversely impact network and information systems, their users and affected persons; [Am. 50] |
(3) |
‘public authority’ means any government or other public administration, including public advisory bodies, at national, regional or local level or any natural or legal person performing public administrative functions under Union and national law, including specific duties; [Am. 51] |
(4) |
‘participating contributing Member State’ means a Member State which voluntarily contributes financially to the administrative and operational costs of the Competence Centre; [Am. 52] |
(4a) |
‘European Digital Innovation Hubs’ means a legal entity as defined in Regulation (EU) 2019/XXX of the European Parliament and of the Council (16) . [Am. 53] |
Article 3
Mission of the Centre and the Network
1. The Competence Centre and the Network shall help the Union to:
(a) |
retain and develop the cybersecurity technological, and industrial , societal, academic and research expertise capacities and capabilities necessary to secure its Digital Single Market and further the protection of data of Union citizens, companies and public administrations ; [Am. 54] |
(aa) |
increase the resilience and reliability of the infrastructure of network and information systems, including critical infrastructure, the internet and commonly used hardware and software in the Union; [Am. 55] |
(b) |
increase the competitiveness of the Union's cybersecurity industry and turn cybersecurity into α competitive advantage of other Union industries; [Am. 56] |
(ba) |
raise the awareness for cybersecurity threats, and related societal and ethical implications and concerns and reduce the skills gap in cybersecurity in the Union; [Am. 57] |
(bb) |
develop the Union’s leadership in cybersecurity and ensure the highest cybersecurity standards throughout the Union; [Am. 58] |
(bc) |
strengthen the Union’s competitiveness and capacities while reducing its digital dependence by increasing the uptake of cybersecurity products, processes and services developed within the Union; [Am. 59] |
(bd) |
reinforce the trust of citizens, consumers and businesses in the digital world, and therefore contribute to the goals of the Digital Single Market strategy. [Am. 60] |
2. The Competence Centre shall undertake its tasks, where appropriate, in collaboration with the Network of National Coordination Centres and a Cybersecurity Competence Community.
Article 4
Objectives and Tasks of the Centre
The Competence Centre shall have the following objectives and related tasks:
1. |
create, manage and facilitate and help coordinate the work of the National Coordination Centres Network (‘the Network’) referred to in Article 6 and the Cybersecurity Competence Community referred to in Article 8; [Am. 61] |
2. |
contribute to coordinate the implementation of the cybersecurity part of the Digital Europe Programme established by Regulation No XXX (17) and in particular actions related to Article 6 of Regulation (EU) No XXX [Digital Europe Programme] and of the Horizon Europe Programme established by Regulation No XXX (18) and in particular Section 2.2.6 of Pillar II of Annex I. of Decision No XXX on establishing the specific programme implementing Horizon Europe — the Framework Programme for Research and Innovation[ref. number of the Specific Programme]. and of other Union programmes when provided for in legal acts of the Union] and contribute to the implementation of the actions funded by the European Defence Fund established by Regulation (EU) 2019/XXX ; [Am. 62] |
3. |
enhance cybersecurity resilience, capacities, capabilities, knowledge and infrastructures at the service of society, industries, the public sector and research communities, by carrying out the following tasks , having regard to the state-of-the-art cybersecurity industrial and research infrastructures and related services : [Am. 63]
|
4. |
contribute to the wide deployment of state-of-the-art and sustainable cyber security products and solutions processes across the economy the Union , by carrying out the following tasks: [Am. 72]
|
5. |
improve the understanding of cybersecurity and contribute to reducing skills gaps and strengthening the level of skills in the Union related to cybersecurity by carrying out the following tasks: [Am. 77]
|
6. |
contribute to the reinforcement of cybersecurity research and development in the Union by:
|
7. |
enhance cooperation between the civil and defence spheres with regard to dual use technologies and applications in cybersecurity, by carrying out the following tasks , which shall be reactive and defensive cyber defence technology, applications and services : [Am. 184]
|
8. |
enhance synergies between the civil and defence dimensions of cybersecurity in relation to the European Defence Fund by carrying out the following tasks , which shall be reactive and defensive cyber defence technology, applications and services : [Am. 185]
|
8a. |
contribute to the Union’s efforts to enhance international cooperation with regard to cybersecurity by:
|
Article 5
Investment in and use of infrastructures, capabilities, products or solutions processes [Am. 91]
1. Where the Competence Centre provides funding for infrastructures, capabilities, products or solutions processes pursuant to Article 4(3) and (4) in the form of a procurement, grant or a prize, the work plan of the Competence Centre may specify in particular: [Am. 92]
(a) |
specific rules governing the operation of an infrastructure or capability, including where relevant entrusting the operation to a hosting entity based on criteria that the Competence Centre shall define; [Am. 93] |
(b) |
rules governing access to and use of an infrastructure or capability; |
(ba) |
specific rules governing different phases of implementation; [Am. 94] |
(bb) |
that as a result of Union contribution, access is as open as possible and as closed as necessary, and re-use is possible. [Am. 95] |
2. The Competence Centre may be responsible for the overall execution of relevant joint procurement actions including pre-commercial procurements on behalf of members of the Network, members of the cybersecurity Competence Community, or other third parties representing the users of cybersecurity products and solutions. For this purpose, the Competence Centre may be assisted by one or more National Coordination Centres or members of the Cybersecurity Competence Community or relevant European Digital Innovation Hubs . [Am. 96]
Article 6
Nomination of National Coordination Centres
-1. A single National Coordination Centre shall be set up in each Member State. [Am. 97]
1. By [date], each Member State shall nominate the entity to act as the National Coordination Centre for the purposes of this Regulation and notify it to the Commission.
2. On the basis of an assessment concerning the compliance of that entity with the criteria laid down in paragraph 4, the Commission shall issue a decision within 6 months from the nomination transmitted by the Member State providing for the accreditation of the entity as a National Coordination Centre or rejecting the nomination. The list of National Coordination Centres shall be published by the Commission.
3. Member States may at any time nominate a new entity as the National Coordination Centre for the purposes of this Regulation. Paragraphs 1 and 2 shall apply to nomination of any new entity.
4. The nominated National Coordination Centre shall have the capability to support the Competence Centre and the Network in fulfilling their mission laid out in Article 3 of this Regulation. They shall possess or have direct access to technological expertise in cybersecurity and be in a position to effectively engage and coordinate with industry, the public sector, and the the academic and research community , and citizens . The Commission shall issue guidelines further detailing the assessment procedure and explaining the application of the criteria. [Am. 98]
5. The relationship between the Competence Centre and the National Coordination Centres shall be based on a standard contractual agreement signed between the Competence Centre and each of the National Coordination Centres. The agreement shall provide for consist of the same set of harmonised general conditions providing the rules governing the relationship and division of tasks between the Competence Centre and each National Coordination Centre and special conditions tailored to the particular National Coordination Centre . [Am. 99]
5a. The Commission shall adopt delegated acts in accordance with Article 45a in order to supplement this Regulation by establishing the harmonised general conditions of the contractual agreements referred to in paragraph 5 of this Article, including their format. [Am. 100]
6. The National Coordination Centres Network shall be composed of all the National Coordination Centres nominated by the Member States.
Article 7
Tasks of the National Coordination Centres
1. The National Coordination Centres shall have the following tasks:
(a) |
supporting the Competence Centre in achieving its objectives and in particular in establishing and coordinating the Cybersecurity Competence Community; [Am. 101] |
(b) |
promoting, encouraging and facilitating the participation of civil society, industry , in particular start-ups and SMEs, academic and research community and other actors at the Member State level in cross-border projects; [Am. 102] |
(ba) |
in cooperation with other entities with similar tasks, operating as a one-stop-shop for cybersecurity products and processes financed through other Union programmes like InvestEU or the Single Market Programme, in particular for SMEs; [Am. 103] |
(c) |
contributing, together with the Competence Centre, to identifying and addressing sector-specific cyber security industrial challenges; [Am. 104] |
(ca) |
cooperating closely with National Standardisation Organisations to promote the uptake of existing standards and to involve all relevant stakeholders, particularly SMEs, in setting new standards; [Am. 105] |
(d) |
acting as contact point at the national level for the Cybersecurity Competence Community and the Competence Centre; |
(e) |
seeking to establish synergies with relevant activities at the national, and regional and local level; [Am. 106] |
(f) |
implementing specific actions for which grants have been awarded by the Competence Centre, including through provision of financial support to third parties in line with Article 204 of Regulation XXX [new Financial Regulation] under conditions specified in the concerned grant agreements; |
(fa) |
promoting and disseminating a common minimal cybersecurity educational curricula in cooperation with the relevant bodies in the Member States; [Am. 107] |
(g) |
promoting and disseminating the relevant outcomes of the work by the Network, the Cybersecurity Competence Community and the Competence Centre at national, or regional or local level; [Am. 108] |
(h) |
assessing requests by entities and individuals established in the same Member State as the Coordination Centre for becoming part of the Cybersecurity Competence Community. [Am. 109] |
2. For the purposes of point (f), the financial support to third parties may be provided in any of the forms specified in Article 125 of Regulation XXX [new Financial Regulation] including in the form of lump sums.
3. National Coordination Centres may receive a grant from the Union in accordance with Article 195 (d) of Regulation XXX [new Financial Regulation] in relation to carrying out the tasks laid down in this Article.
4. National Coordination Centres shall, where relevant, cooperate through the Network and with the relevant European Digital Innovation Hubs for the purpose of implementing tasks referred to in points (a), (b), (c), (e) and (g) of paragraph 1. [Am. 110]
Article 8
The Cybersecurity Competence Community
1. The Cybersecurity Competence Community shall contribute contributes to the mission of the Competence Centre as laid down in Article 3 and enhance and enhances, pools, shares, and disseminate cybersecurity expertise across the Union and provides technical expertise . [Am. 111]
2. The Cybersecurity Competence Community shall consist of civil society, industry from the demand and supply-side, including SMEs , academic and non-profit research community, associations of users, individual experts, relevant European Standardisation Organisations, and other associations as well as public entities and other entities dealing with operational and technical matters in the area of cybersecurity . It shall bring together the main stakeholders with regard to cybersecurity technological, and industrial , academic and research, and societal capacities and capabilities in the Union. It and shall involve National Coordination Centres , European Digital Innovation Hubs as well as Union institutions and bodies with relevant expertise as referred to in Article 10 of this Regulation . [Am. 112]
3. Only entities which are established and individuals resident within the Union , the European Economic Area (EEA) or the European Free Trade Association (EFTA) may be accredited as members of the Cybersecurity Competence Community. They Applicants shall demonstrate that they have can provide cybersecurity expertise with regard to at least one of the following domains: [Am. 113]
(a) |
academia or research; [Am. 114] |
(b) |
industrial development; |
(c) |
training and education; |
(ca) |
ethics; [Am. 115] |
(cb) |
formal and technical standardisation and specifications. [Am. 116] |
4. The Competence Centre shall accredit entities established under national law , or individuals, as members of the Cybersecurity Competence Community after an a harmonised assessment made by the Competence Centre, the National Coordination Centre of the Member State where the entity is established , or the individual is a resident , on whether that entity meets the criteria provided for in paragraph 3. An accreditation shall not be limited in time but may be revoked by the Competence Centre at any time if it or the relevant National Coordination Centre considers that the entity or individual does not fulfil the criteria set out in paragraph 3 or it falls under the relevant provisions set out in Article 136 of Regulation XXX [new financial regulation]. The National Coordination Centres of the Member States shall aim to achieve a balanced representation of stakeholders in the Community, actively stimulating participation from under-represented categories, especially SMEs, and groups of individuals . [Am. 117]
4a. The Commission shall adopt delegated acts in accordance with Article 45a in order to supplement this Regulation by detailing the criteria provided for in paragraph 3 of this Article according to which applicants are selected, and the procedures for assessing and accrediting entities that meet the criteria referred to in paragraph 4 of this Article. [Am. 118]
5. The Competence Centre shall accredit relevant bodies, agencies and offices of the Union as members of the Cybersecurity Competence Community after carrying out an assessment whether that entity meets the criteria provided for in paragraph 3. An accreditation shall not be limited in time but may be revoked by the Competence Centre at any time if it considers that the entity does not fulfil the criteria set out in paragraph 3 or it falls under the relevant provisions set out in Article 136 of Regulation XXX [new financial regulation].
6. The representatives of the Commission may participate in the work of the Community.
Article 9
Tasks of the members of the Cybersecurity Competence Community
The members of the Cybersecurity Competence Community shall:
(1) |
support the Competence Centre in achieving the mission and the objectives laid down in Articles 3 and 4 and, for this purpose, work closely with the Competence Centre and the relevant National Coordinating Centres; |
(2) |
participate in activities promoted by the Competence Centre and National Coordination Centres; |
(3) |
where relevant, participate in working groups established by the Governing Board of the Competence Centre to carry out specific activities as provided by the Competence Centre’s work plan; |
(4) |
where relevant, support the Competence Centre and the National Coordination Centres in promoting specific projects; |
(5) |
promote and disseminate the relevant outcomes of the activities and projects carried out within the community; |
(5a) |
support the Competence Centre by reporting and disclosing vulnerabilities, helping to mitigate them and providing advice on how to reduce such vulnerabilities including through certification under the schemes adopted in conformity with Regulation (EU) 2019/XXX [the Cybersecurity Act]. [Am. 119] |
Article 10
Cooperation of the Competence Centre with Union institutions, bodies, offices and agencies
1. To ensure coherence and complementarity, the Competence Centre shall cooperate with relevant Union institutions, bodies, offices and agencies including the European Union Agency for Network and Information Security ENISA , the Computer Emergency Response Team (CERT-EU), the European External Action Service, the Joint Research Centre of the Commission, the Research Executive Agency, Innovation and Networks Executive Agency, relevant European Digital Innovation Hubs, European Cybercrime Centre at Europol as well as the European Defence Agency as regards dual-use projects, services and competences . [Am. 120]
2. Such cooperation shall take place within the framework of working arrangements. Those arrangements shall be submitted to the adopted by the Governing Board after prior approval of the Commission. [Am. 121]
CHAPTER II
ORGANISATION OF THE COMPETENCE CENTRE
Article 11
Membership and structure
1. The members of the Competence Centre shall be the Union, represented by the Commission, and the Member States.
2. The structure of the Competence Centre shall comprise:
(a) |
a Governing Board which shall exercise the tasks set out in Article 13; |
(b) |
an Executive Director who shall exercise the tasks set out in Article 16; |
(c) |
an Industrial and Scientific Advisory Board which shall exercise the functions set out in Article 20. |
SECTION I
GOVERNING BOARD
Article 12
Composition of the Governing Board
1. The Governing Board shall be composed of one representative of each Member State, and five one representative nominated by the European Parliament as an observer, and four representatives of the Commission, on behalf of the Union , aiming to achieve gender balance among board members and their alternates . [Am. 122]
2. Each member of the Governing Board shall have an alternate to represent them in their absence.
3. Members of the Governing Board and their alternates shall be appointed in light of their knowledge in the field of technology cybersecurity as well as of relevant managerial, administrative and budgetary skills. The Commission and the Member States shall make efforts to limit the turnover of their representatives in the Governing Board, in order to ensure continuity of the Board’s work. The Commission and the Member States shall aim to achieve a balanced representation between men and women on the Governing Board. [Am. 123]
4. The term of office of members of the Governing Board and of their alternates shall be four years. That term shall be renewable.
5. The Governing Board members shall act in the interest of the Competence Centre, safeguarding its goals and mission, identity, autonomy and coherence, in an independent and transparent way.
6. The Commission Governing Board may invite observers, including representatives of relevant Union bodies, offices and agencies, and the members of the Community, to take part in the meetings of the Governing Board as appropriate. [Am. 124]
7. The European Agency for Network and Information Security (ENISA,) and the Industrial and Scientific Advisory Board, shall be a permanent observer observers in the Governing Board , in an advisory role without voting rights . The Governing Board shall have the utmost regard to the views expressed by the permanent observers. [Am. 125]
Article 13
Tasks of the Governing Board
1. The Governing Board shall have the overall responsibility for the strategic orientation and the operations of the Competence Centre and shall supervise the implementation of its activities.
2. The Governing Board shall adopt its rules of procedure. These rules shall include specific procedures for identifying and avoiding conflicts of interest and ensure the confidentiality of any sensitive information.
3. The Governing Board shall take the necessary strategic decisions, in particular:
(a) |
adopt a multi-annual strategic plan, containing a statement of the major priorities and planned initiatives of the Competence Centre, including an estimate of financing needs and sources , taking into account advice provided by ENISA ; [Am. 126] |
(b) |
adopt the Competence Centre's work plan, annual accounts and balance sheet and annual activity report, on the basis of a proposal from the Executive Director , taking into account advice provided by ENISA ; [Am. 127] |
(c) |
adopt the specific financial rules of the Competence Centre in accordance with [Article 70 of the FR]; |
(d) |
adopt a procedure for appointing the Executive Director; |
(e) |
adopt the criteria and procedures for assessing and accrediting the entities as members of the Cybersecurity Competence Community; [Am. 128] |
(ea) |
adopt the working arrangements referred to in Article 10(2); [Am. 129] |
(f) |
appoint, dismiss, extend the term of office of, provide guidance to and monitor the performance of the Executive Director, and appoint the Accounting Officer; |
(g) |
adopt the annual budget of the Competence Centre, including the corresponding staff establishment plan indicating the number of temporary posts by function group and by grade, the number of contract staff and seconded national experts expressed in full-time equivalents; |
(ga) |
adopt transparency rules for the Competence Centre; [Am. 130] |
(h) |
adopt rules regarding conflicts of interest; |
(i) |
establish working groups with members of the Cybersecurity Competence Community , taking into account advice provided by the permanent observers ; [Am. 131] |
(j) |
appoint members of the Industrial and Scientific Advisory Board; |
(k) |
set up an Internal Auditing Function in accordance with Commission Delegated Regulation (EU) No 1271/2013 (19); |
(l) |
promote the cooperation of the Competence Centre globally, so as to raise its attractiveness and make it a world-class body for excellence in cybersecurity with global actors ; [Am. 132] |
(m) |
establish the Competence Centre’s communications policy upon recommendation by the Executive Director; |
(n) |
be responsible to monitor the adequate follow-up of the conclusions of retrospective evaluations. |
(o) |
where appropriate, establish implementing rules to the Staff Regulations and the Conditions of Employment in accordance with Article 31(3); |
(p) |
where appropriate, lay down rules on the secondment of national experts to the Competence Centre and on the use of trainees in accordance with Article 32(2); |
(q) |
adopt security rules for the Competence Centre; |
(r) |
adopt an anti-fraud and anti-corruption strategy that is proportionate to the fraud and corruption risks having regard to a cost-benefit analysis of the measures to be implemented , as well as adopt comprehensive protection measures for persons reporting on breaches of Union law in accordance with applicable Union legislation ; [Am. 133] |
(s) |
adopt the an extensive definition of financial contributions from Member States and a methodology to calculate the financial contribution from amount of Member States ’ voluntary contributions that can be accounted for as financial contributions in accordance with that definition, such a calculation being executed at the end of every financial year ; [Am. 134] |
(t) |
be responsible for any task that is not specifically allocated to a particular body of the Competence Centre; it may assign such tasks to anybody of the Competence Centre; |
Article 14
Chairperson and Meetings of the Governing Board
1. The Governing Board shall elect a Chairperson and a Deputy Chairperson from among the members with voting rights, for a period of two years , aiming to achieve gender balance . The mandate of the Chairperson and the Deputy Chairperson may be extended once, following a decision by the Governing Board. If, however, their membership of the Governing Board ends at any time during their term of office, their term of office shall automatically expire on that date. The Deputy Chairperson shall ex officio replace the Chairperson if the latter is unable to attend to his or her duties. The Chairperson shall take part in the voting. [Am. 135]
2. The Governing Board shall hold its ordinary meetings at least three times a year. It may hold extraordinary meetings at the request of the Commission, at the request of one third of all its members, at the request of the chair, or at the request of the Executive Director in the fulfilment of his/her tasks.
3. The Executive Director shall take part in the deliberations, unless decided otherwise by the Governing Board, but shall have no voting rights. The Governing Board may invite, on a case-by-case basis, other persons to attend its meetings as observers. [Am. 136]
4. Members of the Industrial and Scientific Advisory Board may take part, upon invitation from the Chairperson, in the meetings of the Governing Board, without voting rights. [Am. 137]
5. The members of the Governing Board and their alternates may, subject to its rules of procedure, be assisted at the meetings by advisers or experts.
6. The Competence Centre shall provide the secretariat for the Governing Board.
Article 15
Voting rules of the Governing Board
1. The Union shall hold 50 % of the voting rights. The voting rights of the Union shall be indivisible.
2. Every participating Member State shall hold one vote.
3. The Governing Board shall take its decisions by a majority of at least 75 % of all votes, including the votes of the members who are absent, representing at least 75 % of the total financial contributions to the Competence Centre. The financial contribution will be calculated based on the estimated expenditures proposed by the Member States referred to in point c of Article 17(2) and based on the report on the value of the contributions of the participating Member States referred to in Article 22(5).
4. Only the representatives of the Commission and the representatives of the participating Member States shall hold voting rights.
5. The Chairperson shall take part in the voting. [Am. 138]
Article 15a
Voting rules of the Governing Board
1. Decisions subject to vote may concern:
(a) |
governance and organisation of the Competence Centre and the Network; |
(b) |
allocation of budget for the Competence Centre and the Network; |
(c) |
joint actions by several Member States, possibly complemented by Union budget further to decision allocated in accordance with point (b). |
2. The Governing Board shall adopt its decisions on the basis of at least 75 % of the votes of all members. The voting rights of the Union shall be represented by the Commission and shall be indivisible.
3. For decisions under point (a) of paragraph 1, each Member States shall be represented and have the same equal rights of vote. For the remaining votes available up to 100 %, the Union should have at least 50 % of the voting rights corresponding to its financial contribution.
4. For decisions falling under point (b) or (c) of paragraph 1, or any other decision not falling under any other category of paragraph 1, the Union shall hold at least 50 % of the voting rights corresponding to its financial contribution. Only contributing Member States shall have voting rights and they will correspond to its financial contribution.
5. If the Chairperson has been elected from among the representatives of the Member States, the Chairperson shall take part in the voting as a representative of his or her Member State. [Am. 139]
SECTION II
EXECUTIVE DIRECTOR
Article 16
Appointment, dismissal or extension of the term of office of the Executive Director
1. The Executive Director shall be a person with expertise and high reputation in the areas where the Competence Centre operates.
2. The Executive Director shall be engaged as a temporary agent of the Competence Centre under Article 2(a) of the Conditions of Employment of Other Servants.
3. The Executive Director shall be appointed by the Governing Board from a list of candidates proposed by the Commission, including nominations aiming to achieve gender balance from the Member States, following an open, and transparent and non-discriminatory selection procedure. [Am. 140]
4. For the purpose of concluding the contract of the Executive Director, the Competence Centre shall be represented by the Chairperson of the Governing Board.
5. The term of office of the Executive Director shall be four five years. By the end of that period, the Commission shall carry out an assessment which takes into account the evaluation of the performance of the Executive Director and the Competence Centre’s future tasks and challenges. [Am. 141]
6. The Governing Board may, acting on a proposal from the Commission which takes into account the assessment referred to in paragraph 5, extend once the term of office of the Executive Director for no more than four five years. [Am. 142]
7. An Executive Director whose term of office has been extended may not participate in another selection procedure for the same post.
8. The Executive Director shall be removed from office only by decision of the Governing Board, acting on proposal from its members or on a proposal from the Commission. [Am. 143]
Article 17
Tasks of the Executive Director
1. The Executive Director shall be responsible for operations and for the day-to-day management of the Competence Centre and shall be its legal representative. The Executive Director shall be accountable to the Governing Board and perform his or her duties with complete independence within the powers assigned to him or her.
2. The Executive Director shall in particular carry out the following tasks in an independent manner:
(a) |
implement the decisions adopted by the Governing Board; |
(b) |
support the Governing Board its work, provide the secretariat for their meetings and supply all information necessary for the performance of their duties; |
(c) |
after consultation with the Governing Board , the Industrial and Scientific Advisory Board, ENISA, and the Commission, prepare and submit for adoption to the Governing Board the draft multiannual strategic plan and the draft annual work plan of the Competence Centre including the scope of the calls for proposals, calls for expressions of interest and calls for tenders needed to implement the work plan and the corresponding expenditure estimates as proposed by the Member States and the Commission; [Am. 144] |
(d) |
prepare and submit for adoption to the Governing Board the draft annual budget, including the corresponding staff establishment plan indicating the number of temporary posts in each grade and function group and the number of contract staff and seconded national experts expressed in full-time equivalents; |
(e) |
implement the work plan and report to the Governing Board thereon; |
(f) |
prepare the draft annual activity report on the Competence Centre, including the information on corresponding expenditure; |
(g) |
ensure the implementation of effective monitoring and evaluation procedures relating to the performance of the Competence Centre; |
(h) |
prepare an action plan following-up on the conclusions of the retrospective evaluations and reporting on progress every two years to the Commission and the European Parliament; [Am. 145] |
(i) |
prepare, negotiate and conclude the agreements with the National Coordination Centres; |
(j) |
be responsible for administrative, financial and staff matters, including the implementation of the Competence Centre budget, taking due account of advice received from the Internal Auditing Function, within the limits of the delegation by the Governing Board; |
(k) |
approve and manage the launch of calls for proposals, in accordance with the work plan and administer the grant agreements and decisions; |
(l) |
after consulting the Industrial and Scientific Advisory Board and ENISA, approve the list of actions selected for funding on the basis of the ranking list established by a panel of independent experts; [Am. 146] |
(m) |
approve and manage the launch of calls for tenders, in accordance with the work plan and administer the contracts; |
(n) |
approve the tenders selected for funding; |
(o) |
submit the draft annual accounts and balance sheet to the Internal Auditing Function, and subsequently to the Governing Board, |
(p) |
ensure that risk assessment and risk management are performed; |
(q) |
sign individual grant agreements, decisions and contracts; |
(r) |
sign procurement contracts; |
(s) |
prepare an action plan following-up conclusions of internal or external audit reports, as well as investigations by the European Anti-Fraud Office (OLAF) and reporting on progress twice a year to the Commission and the European Parliament and regularly to the Governing Board; [Am. 147] |
(t) |
prepare draft financial rules applicable to the Competence Centre; |
(u) |
establish and ensure the functioning of an effective and efficient internal control system and report any significant change to it to the Governing Board; |
(v) |
ensure effective communication with the Union's institutions and report, upon request, to the European Parliament and to the Council ; [Am. 148] |
(w) |
take any other measures needed to assess the progress of the Competence Centre towards its mission and objectives as set out in Articles 3 and 4 of this Regulation; |
(x) |
perform any other tasks entrusted or delegated to him or her by the Governing Board. |
SECTION III
INDUSTRIAL AND SCIENTIFIC ADVISORY BOARD
Article 18
Composition of the Industrial and Scientific Advisory Board
1. The Industrial and Scientific Advisory Board shall consist of no more than 16 25 members. The members shall be appointed by the Governing Board from among the representatives of the entities of the Cybersecurity Competence Community , or its individual members. Only representatives of entities which are not controlled by a third country or a third-country entitiy except from EEA and EFTA countries shall be eligible. The appointment shall be made in accordance with an open, transparent and non-discriminatory procedure. The Board composition shall aim to achieve gender balance, and include a balanced representation of the stakeholder groups from industry, academic community and civil society. [Am. 149]
2. Members of the Industrial and Scientific Advisory Board shall have expertise either with regard to cybersecurity research, industrial development, offering, implementing, or deploying professional services or the deployment thereof products . The requirements for such expertise shall be further specified by the Governing Board. [Am. 150]
3. Procedures concerning the appointment of its members by the Governing Board and the operation of the Advisory Board, shall be specified in the Competence Centre’s rules of procedure and shall be made public.
4. The term of office of members of the Industrial and Scientific Advisory Board shall be three years. That term shall be renewable.
5. Representatives of the Commission and of the European Network and Information Security Agency may ENISA shall be invited to participate in and support the works of the Industrial and Scientific Advisory Board. The Board may invite additional representatives from the Community in an observer, adviser, or expert capacity as appropriate, on a case-by-case basis. [Am. 151]
Article 19
Functioning of the Industrial and Scientific Advisory Board
1. The Industrial and Scientific Advisory Board shall meet at least twice three times a year. [Am. 152]
2. The Industrial and Scientific Advisory Board may advise shall provide suggestions to the Governing Board on the establishment of working groups on specific issues relevant to the work of the Competence Centre , whenever those issues fall within the tasks and areas of competence outlined in Article 20 and where necessary under the overall coordination of one or more members of the Industrial and Scientific Advisory Board. [Am. 153]
3. The Industrial and Scientific Advisory Board shall elect its chair.
4. The Industrial and Scientific Advisory Board shall adopt its rules of procedure, including the nomination of the representatives that shall represent the Advisory Board where relevant and the duration of their nomination.
Article 20
Tasks of the Industrial and Scientific Advisory Board
The Industrial and Scientific Advisory Board shall regularly advise the Competence Centre in respect of the performance of its activities and shall: [Am. 154]
(1) |
provide to the Executive Director and the Governing Board strategic advice and input for deployment by, orientation and operations of the Competence Centre as far as industry and research is concerned, and drafting the work plan and multi-annual strategic plan within the deadlines set by the Governing Board; [Am. 155] |
(1a) |
advise the Governing Board on the establishment of working groups on specific issues relevant to the work of the Competence Centre; [Am. 156] |
(2) |
organise public consultations open to all public and private stakeholders having an interest in the field of cybersecurity, in order to collect input for the strategic advice referred to in paragraph 1; |
(3) |
promote and collect feedback on the work plan and multi-annual strategic plan of the Competence Centre and advise the Governing Board on how to improve the Competence Centre’s strategic orientation and operation . [Am. 157] |
CHAPTER III
FINANCIAL PROVISIONS
Article 21
Union financial contribution
1. The Union’s contribution to the Competence Centre to cover administrative costs and operational costs shall comprise the following:
(a) |
EUR 1 981 668 000 EUR 1 780 954 875 in 2018 prices (EUR 1 998 696 000 in current prices) from the Digital Europe Programme, including up to EUR 21 385 465 in 2018 prices ( EUR 23 746 000 in current prices) for administrative costs; [Am. 158] |
(b) |
An amount from the Horizon Europe Programme, including for administrative costs, to be determined taking into account the strategic planning process to be carried out pursuant to Article 6(6) of Regulation XXX [Horizon Europe Regulation]; |
(ba) |
an amount from the European Defence Fund for defence-related actions of the Competence Centre, including for all related administrative costs such as costs that the Competence Centre may incur when acting as a project manager for actions carried out under the European Defence Fund. [Am. 159] |
2. The maximum Union contribution shall be paid from the appropriations in the general budget of the Union allocated to [Digital Europe Programme], and to the specific programme implementing Horizon Europe, established by Decision XXX , to the European Defence Fund and to other programmes and projects falling within the scope of the Competence Centre or the Network . [Am. 160]
3. The Competence Centre shall implement cybersecurity actions of [Digital Europe Programme] and [Horizon Europe Programme] in accordance with point (c) (iv) of Article 62 of Regulation (EU, Euratom) XXX (20) [the financial regulation].
4. The Union financial contribution from Digital Europe Programme and from Horizon Europe Programme shall not cover the tasks referred to in Article 4(8)(b) . These may be covered by financial contributions from the European Defence Fund. [Am. 161]
Article 22
Contributions of participating Member States
1. The participating Member States shall make a total contribution to the operational and administrative costs of the Competence Centre of at least the same amounts as those in Article 21(1) of this Regulation.
2. For the purpose of assessing the contributions referred to in paragraph 1 and in point (b)ii of Article 23(3), the costs shall be determined in accordance with the usual cost accounting practices of the Member States concerned, the applicable accounting standards of the Member State, and the applicable International Accounting Standards and International Financial Reporting Standards. The costs shall be certified by an independent external auditor appointed by the Member State concerned. The valuation method may be verified by the Competence Centre should there be any uncertainty arising from the certification.
3. Should any participating Member State be in default of its commitments concerning its financial contribution, the Executive Director shall put this in writing and shall set a reasonable period within which such default shall be remedied. If the situation is not remedied within that period, the Executive Director shall convene a meeting of the Governing Board to decide whether the defaulting participating Member State’s right to vote is to be revoked or whether any other measures are to be taken until its obligations have been met. The defaulting Member State's voting rights shall be suspended until the default of its commitments is remedied.
4. The Commission may terminate, proportionally reduce or suspend the Union’s financial contribution to the Competence Centre if the participating Member States do not contribute, or contribute only partially or contribute late with regard to the contributions referred to in paragraph 1. The Commission’s termination, reduction or suspension of the Union’s financial contribution shall be proportionate in amount and time to the reduction, termination or suspension of the Member States’ contributions. [Am. 162]
5. The participating Member States shall report by 31 January each year to the Governing Board on the value of the contributions referred to in paragraphs 1 made in each of the previous financial year.
Article 23
Costs and resources of the Competence Centre
1. The Competence Centre shall be jointly funded by the Union and Member States through financial contributions paid in instalments and contributions consisting of costs incurred by National Coordination Centres and beneficiaries in implementing actions that are not reimbursed by the Competence Centre.
2. The administrative costs of the Competence Centre shall not exceed EUR [number] and shall be covered by means of financial contributions divided equally on an annual basis between the Union and the participating Member States. If part of the contribution for administrative costs is not used, it may be made available to cover the operational costs of the Competence Centre.
3. The operational costs of the Competence Centre shall be covered by means of:
(a) |
the Union’s financial contribution; |
(b) |
contributions from the participating Member States in the form of:
|
4. The resources of the Competence Centre entered into its budget shall be composed of the following contributions:
(a) |
the Union’s and participating Member States' financial contributions to the administrative costs; [Am. 163] |
(b) |
the Union’s and participating Member States' financial contributions to the operational costs; [Am. 164] |
(c) |
any revenue generated by Competence Centre; |
(d) |
any other financial contributions, resources and revenues. |
5. Any interest yielded by the contributions paid to the Competence Centre by the participating Member States shall be considered to be its revenue.
6. All resources of the Competence Centre and its activities shall be aimed to achieve to the objectives set out in Article 4.
7. The Competence Centre shall own all assets generated by it or transferred to it for the fulfilment of its objectives.
8. Except when the Competence Centre is wound up, any excess revenue over expenditure shall not be paid to the participating members of the Competence Centre.
8a. The Competence Centre shall cooperate closely with other Union institutions, agencies, and bodies in order to benefit from synergies and, where appropriate, to reduce administrative costs. [Am. 165]
Article 24
Financial commitments
The financial commitments of the Competence Centre shall not exceed the amount of financial resources available or committed to its budget by its members.
Article 25
Financial year
The financial year shall run from 1 January to 31 December.
Article 26
Establishment of the budget
1. Each year, the Executive Director shall draw up a draft statement of estimates of the Competence Centre’s revenue and expenditure for the following financial year, and shall forward it to the Governing Board, together with a draft establishment plan. Revenue and expenditure shall be in balance. The expenditure of the Competence Centre shall include the staff, administrative, infrastructure and operational expenses. Administrative expenses shall be kept to a minimum.
2. Each year, the Governing Board shall, on the basis of the draft statement of estimates of revenue and expenditure referred to in paragraph 1, produce a statement of estimates of revenue and expenditure for the Competence Centre for the following financial year.
3. The Governing Board shall, by 31 January each year, send the statement of estimates referred to in paragraph 2, which shall be part of the draft single programming document, to the Commission.
4. On the basis of that statement of estimates, the Commission shall enter in the draft budget of the Union the estimates it deems necessary for the establishment plan and the amount of the contribution to be charged to the general budget, which it shall submit to the European Parliament and the Council in accordance with Article 313 and 314 TFEU.
5. The European Parliament and the Council shall authorise the appropriations for the contribution to the Competence Centre.
6. The European Parliament and the Council shall adopt the establishment plan for the Competence Centre.
7. Together with the Work Plan, the Governing Board shall adopt the Centre's budget. It shall become final following definitive adoption of the general budget of the Union. Where appropriate, the Governing Board shall adjust the Competence Centre’s budget and Work Plan in accordance with the general budget of the Union.
Article 27
Presentation of the Competence Centre’s accounts and discharge
The presentation of the Competence Centre's provisional and final accounts and the discharge shall follow the rules and timetable of the Financial Regulation and of its financial rules adopted in accordance with Article 29.
Article 28
Operational and financial reporting
1. The Executive Director shall report annually to the Governing Board on the performance of his/her duties in accordance with the financial rules of the Competence Centre.
2. Within two months of the closure of each financial year, the Executive Director shall submit to the Governing Board for approval an annual activity report on the progress made by the Competence Centre in the previous calendar year, in particular in relation to the work plan for that year. That report shall include, inter alia, information on the following matters:
(a) |
operational actions carried out and the corresponding expenditure; |
(b) |
the actions submitted, including a breakdown by participant type, including SMEs, and by Member State; |
(c) |
the actions selected for funding, including a breakdown by participant type, including SMEs, and by Member State and indicating the contribution of the Competence Centre to the individual participants and actions; |
(d) |
progress towards the achievement of the objectives set out in Article 4 and proposals for further necessary work to achieve these objectives. |
3. Once approved by the Governing Board, the annual activity report shall be made publicly available.
Article 29
Financial rules
The Competence Centre shall adopt its specific financial rules in accordance with Article 70 of Regulation XXX [new Financial Regulation].
Article 30
Protection of financial interests
1. The Competence Centre shall take appropriate measures to ensure that, when actions financed under this Regulation are implemented, the financial interests of the Union are protected by the application of preventive measures against fraud, corruption and any other illegal activities, by regular and effective checks and, if irregularities are detected, by the recovery of the amounts wrongly paid and, where appropriate, by effective, proportionate and dissuasive administrative sanctions. [Am. 166]
2. The Competence Centre shall grant Commission staff and other persons authorised by the Commission, as well as the Court of Auditors, access to its sites and premises and to all the information, including information in electronic format that is needed in order to conduct their audits.
3. The European Anti-Fraud Office (OLAF) may carry out investigations, including on-the-spot checks and inspections, in accordance with the provisions and procedures laid down in Council Regulation (Euratom, EC) No 2185/96 (21) and Regulation (EU, Euratom) No 883/2013 of the European Parliament and of the Council (22) with a view to establishing whether there has been fraud, corruption or any other illegal activity affecting the financial interests of the Union in connection with a grant agreement or a contract funded, directly or indirectly, in accordance with this Regulation.
4. Without prejudice to paragraphs 1, 2 and 3 of this Article, contracts and grant agreements resulting from the implementation of this Regulation shall contain provisions expressly empowering the Commission, the Competence Centre, the Court of Auditors and OLAF to conduct such audits and investigations in accordance with their respective competences. Where the implementation of an action is outsourced or sub-delegated, in whole or in part, or where it requires the award of a procurement contract or financial support to a third party, the contract, or grant agreement shall include the contractor's or beneficiary's obligation to impose on any third party involved explicit acceptance of those powers of the Commission, the Competence Centre, the Court of Auditors and OLAF.
CHAPTER IV
COMPETENCE CENTRE STAFF
Article 31
Staff
1. The Staff Regulations of Officials and the Conditions of Employment of Other Servants of the European Union as laid down by Council Regulation (EEC, Euratom, ECSC) No 259/68 (23) (‘Staff Regulations’ and ‘Conditions of Employment’) and the rules adopted jointly by the institutions of the Union for the purpose of applying the Staff Regulations and Conditions of Employment shall apply to the staff of the Competence Centre.
2. The Governing Board shall exercise, with respect to the staff of the Competence Centre, the powers conferred by the Staff Regulations on the Appointing Authority and the powers conferred by the Conditions of Employment on the authority empowered to conclude contract (‘the appointing authority powers’).
3. The Governing Board shall adopt, in accordance with Article 110 of the Staff Regulations, a decision based on Article 2(1) of the Staff Regulations and on Article 6 of the Conditions of Employment delegating the relevant appointing authority powers to the Executive Director and defining the conditions under which that delegation may be suspended. The Executive Director is authorised to sub-delegate those powers.
4. Where exceptional circumstances so require, the Governing Board may by decision temporarily suspend the delegation of the appointing authority powers to the Executive Director and any sub-delegation made by the latter. In such a case the Governing Board shall exercise itself the appointing authority powers or delegate them to one of its members or to a staff member of the Competence Centre other than the Executive Director.
5. The Governing Board shall adopt implementing rules as regards the Staff Regulations and the Conditions of Employment in accordance with Article 110 of the Staff Regulations.
6. The staff resources shall be determined in the staff establishment plan of the Competence Centre, indicating the number of temporary posts by function group and by grade and the number of contract staff expressed in full-time equivalents, in line with its annual budget.
7. The staff of The Competence Centre shall aim to achieve gender balance among its staff. The staff shall consist of temporary staff and contract staff. [Am. 167]
8. All costs related to staff shall be borne by the Competence Centre.
Article 32
Seconded national experts and other staff
1. The Competence Centre may make use of seconded national experts or other staff not employed by the Competence Centre.
2. The Governing Board shall adopt a decision laying down rules on the secondment of national experts to the Competence Centre, in agreement with the Commission.
Article 33
Privileges and Immunities
Protocol No 7 on the Privileges and Immunities of the European Union annexed to the Treaty on European Union and to the Treaty on the Functioning of the European Union shall apply to the Competence Centre and its staff.
CHAPTER V
COMMON PROVISIONS
Article 34
Security Rules
1. Article 12(7) Regulation (EU) No XXX [Digital Europe Programme] shall apply to participation in all actions funded by the Competence Centre.
2. The following specific security rules shall apply to actions funded from Horizon Europe:
(a) |
for the purposes of Article 34(1) [Ownership and protection] of Regulation (EU) No XXX [Horizon Europe], when provided for in the Work plan, the grant of non-exclusive licenses may be limited to third parties established or deemed to be established in Members States and controlled by Member States and/or nationals of Member States; |
(b) |
for the purposes of Article 36(4)(b) [Transfer and licensing] of Regulation (EU) No XXX [Horizon Europe], the transfer or license to a legal entity established in an associated country or established in the Union but controlled from third countries shall also be a ground to object to transfers of ownership of results, or to grants of an exclusive license regarding results; |
(c) |
for the purposes of Article 37(3)(a) [Access rights] of Regulation (EU) No XXX [Horizon Europe], when provided for in the Work plan, granting of access to results and background may be limited only to a legal entity established or deemed to be established in Members States and controlled by Member States and/or nationals of Member States; |
(ca) |
Articles 22 [Ownership of results], 23 [Ownership of results] and 30 [Application of the rules on classified information] of Regulation (EU) 2019/XXX [European Defence Fund] shall apply to participation in all defence-related actions by the Competence Centre, when provided for in the work plan, and the grant of non-exclusive licenses may be limited to third parties established or deemed to be established in Members States and controlled by Member States and/or nationals of Member States. [Am. 168] |
Article 35
Transparency
1. The Competence Centre shall carry out its activities with a high the highest level of transparency. [Am. 169]
2. The Competence Centre shall ensure that the public and any interested parties are given provided with comprehensive, appropriate, objective, reliable and easily accessible information in due time , in particular with regard to the results of its work the work of the Competence Centre, the Network, the Industry and Scientific Advisory Board and the Community . It shall also make public the declarations of interest made in accordance with Article 41 42 . [Am. 170]
3. The Governing Board, acting on a proposal from the Executive Director, may authorise interested parties to observe the proceedings of some of the Competence Centre's activities.
4. The Competence Centre shall lay down, in its rules of procedure, the practical arrangements for implementing the transparency rules referred to in paragraphs 1 and 2. For actions funded from Horizon Europe this will take due account of the provisions in Annex III of the Horizon Europe Regulation.
Article 36
Security rules on the protection of classified information and sensitive non-classified information
1. Without prejudice to Article 35, the Competence Centre shall not divulge to third parties information that it processes or receives in relation to which a reasoned request for confidential treatment, in whole or in part, has been made.
2. Members of the Governing Board, the Executive Director, the members of the Industrial and Scientific Advisory Board, external experts participating in ad hoc Working Groups, and members of the staff of the Centre shall comply with the confidentiality requirements under Article 339 of the Treaty on the Functioning of the European Union, even after their duties have ceased.
3. The Governing Board of the Competence Centre shall adopt the Competence Centre's security rules, following approval by the Commission, based on the principles and rules laid down in the Commission's security rules for protecting European Union classified information (EUCI) and sensitive non-classified information including inter alia provisions for the processing and storage of such information as set out in Commission Decisions (EU, Euratom) 2015/443 (24) and 2015/444 (25).
4. The Competence Centre may take all necessary measures to facilitate the exchange of information relevant to its tasks with the Commission and the Member States and where appropriate, the relevant Union agencies and bodies. Any administrative arrangement concluded to this end on sharing EUCI or, in the absence of such arrangement, any exceptional ad hoc release of EUCI shall have received the Commission's prior approval.
Article 37
Access to documents
1. Regulation (EC) No 1049/2001 shall apply to documents held by the Competence Centre.
2. The Governing Board shall adopt arrangements for implementing Regulation (EC) No 1049/2001 within six months of the establishment of the Competence Centre.
3. Decisions taken by the Competence Centre pursuant to Article 8 of Regulation (EC) No 1049/2001 may be the subject of a complaint to the Ombudsman under Article 228 of Treaty on the Functioning of the European Union or of an action before the Court of Justice of the European Union under Article 263 of Treaty on the Functioning of the European Union.
Article 38
Monitoring, evaluation and review
1. The Competence Centre shall ensure that its activities, including those managed through the National Coordination Centres and the Network, shall be subject to continuous and systematic monitoring and periodic evaluation. The Competence Centre shall ensure that the data for monitoring programme implementation and results are collected efficiently, effectively, and in timely manner and proportionate reporting requirements shall be imposed on recipients of Union funds and Member States. The outcomes of the evaluation shall be made public.
2. Once there is sufficient information available about the implementation of this Regulation, but no later than three and a half years after the start of the implementation of this Regulation, the Commission shall carry out an interim evaluation of the Competence Centre. The Commission shall prepare a report on that evaluation and shall submit that report to the European Parliament and to the Council by 31 December 2024. The Competence Centre and Member States shall provide the Commission with the information necessary for the preparation of that report.
3. The evaluation referred to in paragraph 2 shall include an assessment of the results achieved by the Competence Centre, having regard to its objectives, mandate and tasks , effectiveness, and efficiency . If the Commission considers that the continuation of the Competence Centre is justified with regard to its assigned objectives, mandate and tasks, it may propose that the duration of the mandate of the Competence Centre set out in Article 46 be extended. [Am. 171]
4. On the basis of the conclusions of the interim evaluation referred to in paragraph 2 the Commission may act in accordance with [Article 22(5)] or take any other appropriate actions.
5. The monitoring, evaluation, phasing out and renewal of the contribution from Horizon Europe will follow the provisions of articles 8, 45 and 47 and Annex III of the Horizon Europe Regulation and agreed implementation modalities.
6. The monitoring, reporting and evaluation of the contribution from Digital Europe will follow the provisions of articles 24, 25 of the Digital Europe programme.
7. In case of a winding up of the Competence Centre, the Commission shall conduct a final evaluation of the Competence Centre within six months after the winding-up of the Competence Centre, but no later than two years after the triggering of the winding-up procedure referred to in Article 46 of this Regulation. The results of that final evaluation shall be presented to the European Parliament and to the Council.
Article 38a
Legal Personality of the Competence Centre
1. The Competence Centre shall have legal personality.
2. In each Member State, the Competence Centre shall enjoy the most extensive legal capacity accorded to legal persons under the law of that Member State. It may, in particular, acquire or dispose of movable and immovable property and may be a party to legal proceedings. [Am. 172]
Article 39
Liability of the Competence Centre
1. The contractual liability of the Competence Centre shall be governed by the law applicable to the agreement, decision or contract in question.
2. In the case of non-contractual liability, the Competence Centre shall, in accordance with the general principles common to the laws of the Member States, make good any damage caused by its staff in the performance of their duties.
3. Any payment by the Competence Centre in respect of the liability referred to in paragraphs 1 and 2 and the costs and expenses incurred in connection therewith shall be considered to be expenditure of the Competence Centre and shall be covered by its resources.
4. The Competence Centre shall be solely responsible for meeting its obligations.
Article 40
Jurisdiction of the Court of Justice of the European Union and applicable law
1. The Court of Justice of the European Union shall have jurisdiction:
(1) |
pursuant to any arbitration clause contained in agreements, decisions or contracts concluded by the Competence Centre; |
(2) |
in disputes related to compensation for damage caused by the staff of the Competence Centre in the performance of their duties; |
(3) |
in any dispute between the Competence Centre and its staff within the limits and under the conditions laid down in the Staff Regulations. |
2. Regarding any matter not covered by this Regulation or by other Union legal acts, the law of the Member State where the seat of the Competence Centre is located shall apply.
Article 41
Liability of members and insurance
1. The financial liability of the members for the debts of the Competence Centre shall be limited to their contribution already made for the administrative costs.
2. The Competence Centre shall take out and maintain appropriate insurance.
Article 42
Conflicts of interest
The Competence Centre Governing Board shall adopt rules for the prevention, and management identification, and resolution of conflicts of interest in respect of its members, bodies and staff, . Those rules shall contain the provisions intended to avoid a conflict of interest in respect of the representatives of the members serving in including the Executive Director, the Governing Board, as well as the Scientific and Industrial Advisory Board, in accordance with Regulation XXX [new Financial Regulation] and the Community . [Am. 173]
Member States shall ensure the prevention, identification, and resolution of conflicts of interest in respect of the National Coordination Centres. [Am. 174]
The rules referred to in the first paragraph shall comply with Regulation (EU, Euratom) 2018/1046. [Am. 175]
Article 43
Protection of Personal Data
1. The processing of personal data by the Competence Centre shall be subject to Regulation (EU) No XXX/2018 of the European Parliament and of the Council.
2. The Governing Board shall adopt implementing measures referred to in Article xx(3) of Regulation (EU) No xxx/2018. The Governing Board may adopt additional measures necessary for the application of Regulation (EU) No xxx/2018 by the Competence Centre.
Article 44
Seat and support from the host Member State [Am. 176]
The seat of the Competence Centre shall be determined in a democratically accountable procedure, using transparent criteria and in accordance with Union law. [Am. 177]
The host Member State shall provide the best possible conditions to ensure the proper functioning of the Competence Centre, including a single location, and further conditions such as the accessibility of the adequate education facilities for the children of staff members, appropriate access to the labour market, social security and medical care for both children and partners. [Am. 178]
An administrative agreement may shall be concluded between the Competence Centre and the host Member State [Belgium] in which its seat is located concerning privileges and immunities and other support to be provided by that Member State to the Competence Centre. [Am. 179]
CHAPTER VI
FINAL PROVISIONS
Article 45
Initial actions
1. The Commission shall be responsible for the establishment and initial operation of the Competence Centre until it has the operational capacity to implement its own budget. The Commission shall carry out, in accordance with Union law, all necessary actions with the involvement of the competent bodies of the Competence Centre.
2. For the purpose of paragraph 1, until the Executive Director takes up his duties following his/her appointment by the Governing Board in accordance with Article 16, the Commission may designate an interim Executive Director and exercise the duties assigned to the Executive Director who may be assisted by a limited number of Commission officials. The Commission may assign a limited number of its officials on an interim basis.
3. The interim Executive Director may authorise all payments covered by the appropriations provided in the annual budget of the Competence Centre once approved by the Governing Board and may conclude agreements, decisions and contracts, including staff contracts following the adoption of the Competence Centre's staff establishment plan.
4. The interim Executive Director shall determine, in common accord with the Executive Director of the Competence Centre and subject to the approval of the Governing Board, the date on which the Competence Centre will have the capacity to implement its own budget. From that date onwards, the Commission shall abstain from making commitments and executing payments for the activities of the Competence Centre.
Article 45a
Exercise of the delegation
1. The power to adopt delegated acts is conferred on the Commission subject to the conditions laid down in this Article.
2. The power to adopt delegated acts referred to in Article 6(5a) and Article 8(4b) shall be conferred on the Commission for an indeterminate period of time from … [date of entry into force of this Regulation].
3. The delegation of power referred to in Article 6(5a) and Article 8(4b) may be revoked at any time by the European Parliament or by the Council. A decision to revoke shall put an end to the delegation of the power specified in that decision. It shall take effect the day following the publication of the decision in the Official Journal of the European Union or at a later date specified therein. It shall not affect the validity of any delegated acts already in force.
4. Before adopting a delegated act, the Commission shall consult experts designated by each Member State in accordance with the principles laid down in the Interinstitutional Agreement of 13 April 2016 on Better Law-Making.
5. As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the European Parliament and to the Council.
6. A delegated act adopted pursuant to Article 6(5a) and Article 8(4b) shall enter into force only if no objection has been expressed either by the European Parliament or by the Council within a period of two months of notification of that act to the European Parliament and the Council or if, before the expiry of that period, the European Parliament and the Council have both informed the Commission that they will not object. That period shall be extended by two months at the initiative of the European Parliament or of the Council. [Am. 180]
Article 46
Duration
1. The Competence Centre shall be established for the period from 1 January 2021 to 31 December 2029.
2. At the end of this period, unless decided otherwise through a review of this Regulation, the winding-up procedure shall be triggered. The winding-up procedure shall be automatically triggered if the Union or all participating Member States withdraw from the Competence Centre.
3. For the purpose of conducting the proceedings to wind up the Competence Centre, the Governing Board shall appoint one or more liquidators, who shall comply with the decisions of the Governing Board.
4. When the Competence Centre is being wound up, its assets shall be used to cover its liabilities and the expenditure relating to its winding-up. Any surplus shall be distributed among the Union and the participating Member States in proportion to their financial contribution to the Competence Centre. Any such surplus distributed to the Union shall be returned to the Union budget.
Article 47
Entry into force
This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at …,
For the European Parliament
The President
For the Council
The President
(1) OJ C, p. .
(2) OJ C , , p. .
(3) Position of the European Parliament of 17 April 2019.
(4) Joint Communication to the European Parliament and the Council: Cybersecurity Strategy of the European Union: An Open, Safe and Secure Cyberspace JOIN(2013)0001 final.
(5) Directive (EU) 2016/1148 of the European Parliament and of the Council of 6 July 2016 concerning measures for a high common level of security of network and information systems across the Union (OJ L 194, 19.7.2016, p. 1).
(6) Joint Communication to the European Parliament and the Council ‘Resilience, Deterrence and Defence: Building strong cybersecurity for the EU’, JOIN(2017)0450 final.
(7) Regulation (EU) 2019/… of the European Parliament and of the Council of … setting up a Union regime for the control of exports, transfer, brokering, technical assistance and transit of dual-use items (OJ L …, …, p. …).
(8) Directive (EU) 2016/1148 of the European Parliament and of the Council of 6 July 2016 concerning measures for a high common level of security of network and information systems across the Union (OJ L 194, 19.7.2016, p. 1).
(9) Regulation (EU) 2019/… of the European Parliament and of the Council of … on ENISA (the European Union Agency for Cybersecurity) and on information and communications technology cybersecurity certification and repealing Regulation (EU) No 526/2013 (Cybersecurity Act) (OJ L …) (2017/0225(COD)).
(10) Regulation (EU) 2019/… of the European Parliament and of the Council of … on ENISA (the European Union Agency for Cybersecurity) and on information and communications technology cybersecurity certification and repealing Regulation (EU) No 526/2013 (Cybersecurity Act) (OJ L …) (2017/0225(COD)).
(11) Regulation (EC) No 1049/2001 of the European Parliament and of the Council of 30 May 2001 regarding public access to European Parliament, Council and Commission documents (OJ L 145, 31.5.2001, p. 43).
(12) [add title and OJ reference]
(13) OJ L 123, 12.5.2016, p. 1.
(14) [add full title and OJ reference]
(15) [add full title and OJ reference]
(16) Regulation (EU) 2019/XXX of the European Parliament and of the Council of … establishing the Digital Europe programme for the period 2021-2027 (OJ L …) (2018/0227(COD)).
(17) [add full title and OJ reference]
(18) [add full title and OJ reference]
(19) Commission Delegated Regulation (EU) No 1271/2013 of 30 September 2013 on the framework financial regulation for the bodies referred to in Article 208 of Regulation (EU, Euratom) No 966/2012 of the European Parliament and of the Council (OJ L 328, 7.12.2013, p. 42).
(20) [add full title and OJ reference]
(21) Council Regulation (Euratom, EC) No 2185/96 of 11 November 1996 concerning on-the-spot checks and inspections carried out by the Commission in order to protect the European Communities’ financial interests against fraud and other irregularities (OJ L 292, 15.11.1996, p. 2).
(22) Regulation (EU, Euratom) No 883/2013 of the European Parliament and of the Council of 11 September 2013 concerning investigations conducted by the European Anti-Fraud Office (OLAF) and repealing Regulation (EC) No 1073/1999 of the European Parliament and of the Council and Council Regulation (Euratom) No 1074/1999 (OJ L 248, 18.9.2013, p. 1).
(23) Regulation (EEC, Euratom, ECSC) No 259/68 of the Council of 29 February 1968 laying down the Staff Regulations of Officials and the Conditions of Employment of Other Servants of the European Communities and instituting special measures temporarily applicable to officials of the Commission (OJ L 56, 4.3.1968, p. 1).
(24) Commission Decision (EU, Euratom) 2015/443 of 13 March 2015 on Security in the Commission (OJ L 72, 17.3.2015, p. 41).
(25) Commission Decision (EU, Euratom) 2015/444 of 13 March 2015 on the security rules for protecting EU classified information (OJ L 72, 17.3.2015, p. 53).
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/884 |
P8_TA(2019)0420
Connecting Europe Facility ***I
European Parliament legislative resolution of 17 April 2019 on the proposal for a regulation of the European Parliament and of the Council establishing the Connecting Europe Facility and repealing Regulations (EU) No 1316/2013 and (EU) No 283/2014 (COM(2018)0438 — C8-0255/2018– 2018/0228(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/67)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2018)0438), |
— |
having regard to Article 294(2) and Articles 172 and 194 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0255/2018), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
having regard to the opinion of European Economic and Social Committee of 19 September 2018 (1), |
— |
having regard to the opinion of the Committee of the Regions of 10 October 2018 (2) |
— |
having regard to the letter from its President to the committee chairs of 25 January 2019 outlining the Parliament's approach to the Multiannual Financial Framework (MFF) post-2020 sectorial programmes, |
— |
having regard to the letter from the Council to the President of the European Parliament of 1 April 2019 confirming the common understanding reached between the co-legislators during negotiations, |
— |
having regard to Rule 59 of its Rules of Procedure, |
— |
having regard to the joint deliberations of the Committee on Industry, Research and Energy and the Committee on Transport and Tourism under Rule 55 of the Rules of Procedure, |
— |
having regard to the report of the Committee on Industry, Research and Energy and the Committee on Transport and Tourism and the opinions of the Committee on Foreign Affairs, Committee on Budgets, the Committee on the Environment, Public Health and Food Safety and Committee on Regional Development (A8-0409/2018), |
1. |
Adopts its position at first reading hereinafter set out (3); |
2. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
3. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
(1) OJ C 440, 6.12.2018, p. 191.
(2) OJ C 461, 21.12.2018, p. 173.
(3) This position replaces the amendments adopted on 12 December 2018 (Texts adopted, P8_TA(2018)0517).
P8_TC1-COD(2018)0228
Position of the European Parliament adopted at first reading on 17 April 2019 with a view to the adoption of Regulation (EU) 2019/… of the European Parliament and of the Council establishing the Connecting Europe Facility and repealing Regulations (EU) No 1316/2013 and (EU) No 283/2014
(Text with EEA relevance)
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on the Functioning of the European Union, and in particular Articles 172 and 194 thereof,
Having regard to the proposal from the European Commission,
After transmission of the draft legislative act to the national parliaments,
Having regard to the opinion of the European Economic and Social Committee (1),
Having regard to the opinion of the Committee of the Regions (2),
Acting in accordance with the ordinary legislative procedure (3),
Whereas:
(1) |
In order to achieve smart, sustainable and inclusive growth and to stimulate job creation and to respect the long-term decarbonisation commitments , the Union needs an up-to-date, multimodal high-performance infrastructure to help connect and integrate the Union and all its regions, including remote, outermost, insular, peripheral, mountainous and sparsely populated ones , in the transport, digital and energy sectors. Those connections should help to improve the free movement of persons, goods, capital and services. The trans-European networks should facilitate cross-border connections, foster greater economic, social and territorial cohesion and contribute to a more competitive and sustainable social market economy and to combating climate change. |
(2) |
The aim of the Connecting Europe Facility (the ‘Programme’) is to accelerate investment in the field of trans-European networks and to leverage funding from both the public and the private sectors, while increasing legal certainty and respecting the principle of technological neutrality. The Programme should enable synergies between the transport, energy and digital sectors to be harnessed to the full extent, thus enhancing the effectiveness of Union action and enabling implementing costs to be optimised. |
(3) |
The Programme should contribute also to EU action against climate change, support environmentally and socially sustainable projects and, where appropriate, climate change mitigation and adaptation actions. In particular, the contribution of the Programme to achieving the goals and objectives of the Paris Agreement as well as the proposed 2030 climate and energy targets and long-term decarbonisation objective should be reinforced. |
(3a) |
The Programme should guarantee a high level of transparency and ensure public consultation in compliance with the applicable Union and national legislation. |
(4) |
Reflecting the importance of tackling climate change in line with Union’s commitments to implement the Paris Agreement, and the commitment to the United Nations Sustainable Development Goals, this Regulation should therefore mainstream climate action and lead to the achievement of an overall target of 25% of the EU budget expenditures supporting climate objectives (4). Actions under this Programme should contribute 60 % of the overall financial envelope of the Programme to climate objectives, based inter alia on the following Rio markers: (i) 100 % for the expenditures relating to railway infrastructure, charging infrastructure alternative and sustainable fuels, clean urban transport, electricity transmission, electricity storage, smart grids, CO2 transportation and renewable energy; (ii) 40 % for inland waterways and multimodal transport, and gas infrastructure — if enabling increased use of renewable hydrogen or bio-methane. Relevant actions will be identified during the Programme's preparation and implementation, and reassessed in the context of the relevant evaluations and review processes. In order to prevent that infrastructure is vulnerable to potential long term climate change impacts and to ensure that the cost of greenhouse gas emissions arising from the project is included in the project's economic evaluation, projects supported by the Programme should be subject to climate proofing in accordance with guidance that should be developed by the Commission coherently with the guidance developed for other programmes of the Union where relevant. |
(5) |
In order to comply with the reporting obligations set in Article 11(c) of Directive 2016/2284/EU on the reduction of national emissions of certain atmospheric pollutants, amending Directive 2003/35/EC and repealing Directive 2001/81/EC, regarding the uptake of Union funds to support the measures taken with a view to complying with the objectives of this Directive, expenditure related to the reduction of emissions or air pollutants under this Directive shall be tracked. |
(6) |
An important objective of this Programme is to deliver increased synergies and complementarity between the transport, energy and digital sectors . For that purpose, the Programme should provide for the adoption of work programmes that could address specific intervention areas, for instance as regards connected and automated mobility or sustainable alternative fuels. Enabling digital communication could constitute an integral part of a project of common interest in the field of energy and transport . In addition, the Programme should allow, within each sector, the possibility to consider eligible some synergetic components pertaining to another sector, where such an approach improves the socio-economic benefit of the investment. Synergies between sectors should be incentivized through the award criteria for the selection of actions, as well as in terms of increased co-financing. |
(7) |
The trans-European transport network (TEN-T) guidelines as laid down in Regulation (EU) No 1315/2013 of the European Parliament and of the Council (5) (hereafter ‘TEN-T guidelines) identify the infrastructure of the TEN-T, specify the requirements to be fulfilled by it and provide for measures for their implementation. Those guidelines envisage in particular, the completion of the core network by 2030 through the creation of new infrastructure as well as the substantial upgrading and rehabilitation of existing infrastructure in order to ensure network continuity . |
(7a) |
Actions contributing to the development of projects of common interest in the transport sector, financed by the Programme, should build on the complementarity of all transport modes to provide for efficient, interconnected and multimodal networks, in order to ensure connectivity throughout the Union. This should include roads in Member States still facing important investment needs for the completion of their core road network. |
(8) |
In order to achieve the objectives laid down in the TEN-T guidelines, it is necessary to support with priority the ongoing TEN-T projects as well as cross-border links and the missing links and to ensure, where applicable, that the supported actions are consistent with the corridor work plans established pursuant to Article 47 of Regulation (EU) No 1315/2013 and to the overall network development regarding performance and interoperability. |
(8a) |
In particular, the full deployment of ERTMS on the core network by 2030 as foreseen by Regulation (EU) No 1315/2013 requires to scale-up support at European level and to incentivize the participation of private investors. |
(8b) |
An important precondition for successful completion of the core TEN-T network and ensuring effective intermodality is also connection of airports to the TEN-T network. It is, therefore necessary to give priority to the connection of airports with the core TEN-T network, where these are missing. |
(8c) |
For the implementation of cross-border actions a high degree of integration in the planning and implementation is needed. Without prioritising any of the following examples, this integration could be demonstrated through the establishment of a single project company, a joint governance structure, a joint venture, a bilateral legal framework, an implementing act pursuant to Article 47 of Regulation (EU) No 1315/2013, or any other form of cooperation. Integrated management structures, including joint ventures should be encouraged, including through a higher level of co-financing. |
(8d) |
Streamlining measures to advance the realisation of the TEN-T, which are currently under development, should support the more efficient implementation of projects of common interest in the field of transport. |
(9) |
In order to reflect growing transport flows and the evolution of the network, the alignment of the core network corridors and their pre-identified sections should be adapted. These adaptations to the core network corridors should not affect the completion of the core network by 2030, should improve the corridors’ coverage of the Member States territory and should be proportionate in order to preserve the consistency and the efficiency of the corridor development and coordination. For that reason the length of the core network corridors should not increase by more than 15 %. In due course, the alignment of the core network corridors should take into account the results of the review of the implementation of the core network as foreseen in Article 54 of Regulation (EU) No 1315/2013. The review should take into account regional cross-border rail connections on the TEN-T that were abandoned or dismantled as well as evolutions on the comprehensive network and the impact of the United Kingdom’s withdrawal from the European Union. |
(10) |
It is necessary to promote public, and private investments in favour of smart, interoperable , sustainable, multimodal , inclusive, accessible , safe and secure mobility throughout the Union for all transport modes . In 2017, the Commission presented (6)‘Europe on the move’, a wide-ranging set of initiatives to make traffic safer, encourage smart road charging, reduce CO2 emissions, air pollution and congestion, promote connected and autonomous mobility and ensure proper conditions and rest times for workers. These initiatives should be accompanied by Union financial support, where relevant through this Programme. |
(11) |
The TEN-T guidelines require, with regard to new technologies and innovation, that the TEN-T enables the decarbonisation of all transport modes by stimulating energy efficiency and the use of alternative fuels while respecting the principle of technological neutrality . Directive 2014/94/EU of the European Parliament and of the Council (7) establishes a common framework of measures for the deployment of alternative fuels infrastructure for all modes of transport in the Union in order to reduce as far as possible the dependence on fossil fuels and to mitigate the environmental and climate impact of transport and requires Member States to ensure that recharging or refuelling points accessible to the public are made available by 31 December 2025. As outlined in the Commission proposals (8) of November 2017, a comprehensive set of measures to promote low-emission mobility is necessary including financial support where the market conditions do not provide a sufficient incentive. |
(12) |
In the context of its Communication ‘Sustainable Mobility for Europe: safe, connected, and clean’ (9), the Commission highlighted that automated vehicles and advanced connectivity systems will make vehicles safer, easier to share and more accessible for all citizens, including those who may be cut-off from mobility services today, such as the elderly and people with reduced mobility . In this context, the Commission also proposed an ‘EU Strategic Action Plan on Road safety’ and a revision of Directive 2008/96/EC on Road Safety infrastructure management. |
(13) |
In order to improve the completion of transport projects in less developed parts of the network, a Cohesion Fund allocation should be transferred to the Programme to finance transport projects in the Member States eligible for financing from the Cohesion Fund. In an initial phase ▌ the selection of projects eligible for financing should respect the national allocations under the Cohesion Fund. At the end of the initial phase, resources transferred to the Programme which have not been committed to a transport infrastructure project should be allocated on a competitive basis to projects located in the Member States eligible for financing from the Cohesion Fund with priority to cross-border links and missing links. The Commission should support Member States eligible for financing from the Cohesion Fund in their efforts to develop an appropriate pipeline of projects, in particular by strengthening the institutional capacity of the public administrations concerned. |
(14) |
Following the Joint Communication of 10 November 2017 (10), the Action Plan on Military Mobility adopted on 28 March 2018 by the Commission and the High Representative of the Union for Foreign Affairs and Security Policy (11) highlighted that transport infrastructure policy offers a clear opportunity to increase synergies between defence needs and TEN-T with the overall aim of improving military mobility across the Union, taking into account geographical balance and considering the potential benefits for civil protection. In accordance with the Action Plan, in 2018 the Council consider ed and validate d the military requirements in relation to transport infrastructure (12) and in 2019 the Commission services identif ied the parts of the trans-European transport network suitable for dual use , including necessary upgrades of existing infrastructure. Union funding for the implementation of the dual-use projects should be implemented through the Programme on the basis of work programmes specifying the applicable requirements as defined in the context of the Action Plan and of any further indicative list of priority projects that may be identified by Member States in accordance with the Military Mobility Action Plan . |
(15) |
The TEN-T Guidelines recognise the comprehensive network as ensuring the accessibility and connectivity of all regions in the Union including the remote, insular and outermost regions. Further, in its Communication ‘A stronger and renewed strategic partnership with the EU's outermost regions’ (13), the Commission highlighted the outermost regions' specific transport energy and digital needs and the necessity to provide adequate Union funding to match these needs, including through the Programme by applying co-financing rates up to a maximum of 70 %. |
(16) |
Considering the significant investment needs to progress towards completing the TEN-T core network by 2030 (estimated at EUR 350 billion during 2021-2027), the TEN-T comprehensive network by 2050 and decarbonisation-digitalisation-urban investments (estimated at EUR 700 billion during 2021-2027), it is appropriate to make the most efficient use of the various Union financing programmes and instruments and thus maximise the value-added of investments supported by the Union. This would be achieved via a streamlined investment process, enabling visibility on the transport pipeline and consistency across relevant Union programmes, notably the Connecting Europe Facility, the European Regional Development Fund (ERDF), the Cohesion Fund and InvestEU. In particular, the enabling conditions as detailed under Annex of Regulation (EU) XXX [Regulation of the European Parliament and of the Council laying down common provisions on the European Regional Development Fund, the European Social Fund Plus, the Cohesion Fund, and the European Maritime and Fisheries Fund and financial rules for those and for the Asylum and Migration Fund, the Internal Security Fund and the Border Management and Visa Instrument (‘CPR’)] should be taken into account where relevant. |
(17) |
Regulation (EU) No 347/2013 of the European Parliament and of the Council (14) identifies the trans-European energy infrastructure priorities which need to be implemented in order to meet the Union's energy and climate policy objectives, identifies projects of common interest necessary to implement those priorities, and lays down measures in the field of the granting of permits, public involvement and regulation to speed up and/or facilitate the implementation of those projects, including criteria for the eligibility of such projects for Union financial assistance. The identification of projects of common interest in accordance with that Regulation will continue to follow the ‘energy efficiency first’ principle by assessing projects against energy demand scenarios that are fully consistent with EU energy and climate targets. |
(18) |
Directive [recast Renewables Directive] stresses the need to set up an enabling framework comprising the enhanced use of Union funds, with explicit reference to enabling actions to support cross-border cooperation in the field of renewable energy. |
(19) |
While completion of network infrastructure remains the priority to achieve the development of renewable energy, integrating cross-border cooperation on renewable energy and developing a smart and efficient energy system including storage and demand response solutions that help balance the grid, reflects the approach adopted under the Clean Energy for all Europeans initiative with a collective responsibility to reach an ambitious target for renewable energy in 2030 and the changed policy context, ensuring a fair and adequate social transition, with ambitious long-term decarbonisation objectives. |
(20) |
Innovative infrastructure technologies that enable the transition to a low emission energy and mobility systems and improve security of supply, seeking greater energy independence for the Union , are essential in view of the Union's decarbonisation agenda. In particular, in its Communication of 23 November 2017‘Communication on strengthening Europe's energy networks’ (15), the Commission emphasised that the role of electricity, where renewable energy will constitute half of the electricity generation by 2030, will increasingly be driving the decarbonisation of sectors so far dominated by fossil fuels, such as transport, industry and heating and cooling and that accordingly, the focus under the trans-European energy infrastructure policy must be on electricity interconnections, electricity storages smart grids projects, and gas infrastructure investments . To support the Union's decarbonisation objectives, internal market integration and security of supply, due consideration and priority should be given to technologies and projects contributing to the transition to a low emission economy. The Commission will aim at increasing the number of cross-border smart grid, innovative storage as well as carbon dioxide transportation projects to be supported under the Programme. |
(20a) |
Cross-border projects in the field of renewable energy shall enable cost-effective deployment for renewables in the Union, achievement of the Union's binding target of at least 32 % renewable energy in 2030 as referred to in Article 3 of Directive (EU) 2018/2001 of the European Parliament and of the Council (16) and contribute to the strategic uptake of innovative renewables technologies. Illustrative examples for eligible technologies include renewables generation from on- and offshore wind, solar energy, sustainable biomass, ocean energy, geothermal energy or combinations thereof; their grid connection and additional elements such as storage or conversion facilities. Eligible action is not limited to the electricity sector and can cover other energy carriers and potential sector coupling for example with heating and cooling, power to gas, storage and transport. This listing is non-exhaustive in order to keep flexibility with regard to technological advances and developments. Such projects do not necessarily entail a physical link between the cooperating Member States. These projects can be located on the territory of only one involved Member State provided that the general criteria of Annex part IV apply. |
(20b) |
In order to support cross border cooperation in the area of renewable energy and the market uptake of projects, the European Commission should facilitate the development of cross border projects in the field of renewable energy. In the energy sector, in the absence of sufficient market uptake of cross border renewable energy projects, unused budget envisaged for cross border renewables projects should be used to meet the objectives of the trans-European energy networks defined in article 3.2b for actions provided by Article 9(3), before considering a possible use for Union renewable energy financing mechanism pursuant to article 7(6). |
(20c) |
Support to smart grid projects, where such projects integrate electricity generation, distribution or consumption using real time system management and influencing cross-border energy flows, is needed. The energy projects should further reflect the central role of smart grids in the energy transition and support from the Programme should help to overcome the funding gaps, which are currently hampering investments in the large-scale deployment of smart grid technology. |
( 20d) |
Special consideration in the EU support should be given to energy cross-border interconnections, including those necessary to reach the 10 % electricity interconnection target for 2020 and the 15 % target for 2030 as established in the Regulation (EU) 2018/1999 (17) . Deployment of electricity interconnectors is crucial for integrating markets, enabling more renewables in the system and benefiting from their different demand and renewable supply portfolio, off-shore wind networks and smart grids, integrating all countries into a liquid and competitive energy markets. |
(21) |
The achievement of the digital single market relies on the underlying digital connectivity infrastructure. The digitalisation of European industry and the modernisation of sectors like transport, energy, healthcare and public administration depend on universal access to reliable, affordable, high and very high capacity networks. Digital connectivity has become one of the decisive factors to close economic, social and territorial divides, supporting the modernisation of local economies and underpinning the diversification of economic activities. The scope of intervention of the Programme in the area of digital connectivity infrastructure should be adjusted to reflect its increasing importance for the economy and the society at large. Therefore, it is necessary to set out the digital connectivity infrastructure projects of common interest needed to meet Union's digital single market objectives, and to repeal Regulation (EU) No 283/2014 of the European Parliament and of the Council (18). |
(22) |
The Communication on ‘Connectivity for a Competitive Digital Single Market — Towards a European Gigabit Society’ (19) (the Gigabit Society Strategy) sets out strategic objectives for 2025, in view of optimising investment in digital connectivity infrastructure. Directive (EU) 2018/1972 of the European Parliament and of the Council (20) aims inter alia at creating a regulatory environment which incentivises private investments in digital connectivity networks. It is nevertheless clear that network deployments will remain commercially non-viable in many areas throughout the Union, due to various factors such as remoteness and territorial or geographical specificities, low population density, various socio-economic factors and as such urgently require closer attention . The Programme should therefore be adjusted to contribute to the achievement of these strategic objectives set out in the Gigabit Society Strategy aiming also to contribute to a balance between rural and urban developments, and, complementing the support provided for the deployment of very high capacity networks by other programmes, in particular the European Regional Development Fund (ERDF) and Cohesion Fund and the InvestEU fund. |
(23) |
While all digital connectivity networks which are connected to the Internet are intrinsically trans-European, due mainly to the functioning of the applications and services which they enable, priority for support via the Programme should be given to actions with the highest expected impact on the Digital Single Market, inter alia through their alignment with the objectives of the Gigabit Society Strategy Communication, as well as on the digital transformation of the economy and society, having regard to market failures and implementation obstacles observed. |
(24) |
Schools, universities, libraries, local, regional or national administrations, main providers of public services, hospitals and medical centres, transport hubs and digitally intensive enterprises are entities and places that can influence important socio-economic developments in the area where they are located , including rural and sparsely populated areas . Such socio-economic drivers need to be at the cutting edge of Gigabit connectivity in order to provide access to the best services and applications for European citizens, business and local communities. The Programme should support access to very high capacity networks, including 5G and other state-of-the-art connectivity systems capable of providing Gigabit connectivity for these socio-economic drivers with a view to maximising their positive effects on the wider economy and society within their areas , including by generating wider user demand for connectivity and services. |
(24a) |
Unconnected territories in all areas of the Union represent bottlenecks and unexploited potential to the digital single market. In most rural and remote areas, high quality Internet connectivity can play an essential role in preventing digital divide, isolation and depopulation by reducing the costs of delivery of both goods and services and partially compensating for remoteness. High quality Internet connectivity is necessary for new economic opportunities such as precision farming or the development of a bio-economy in rural areas. The Programme should contribute to providing all European households, rural or urban, with very high capacity fixed or wireless connectivity, focusing on those deployments for which a degree of market failure is observed and which can be addressed using low intensity grants. In view of maximising synergies of the actions supported by the Programme, due regard should be given to the level of concentration of socio-economic drivers in a given area and the level of funding needed to generate coverage. Moreover, the Programme should aim at achieving a comprehensive coverage of households and territories, as gaps in an already covered area are uneconomic to address at a later stage. |
(25) |
In addition, building on the success of the WiFi4EU initiative, the Programme should continue to support the provision of free, secure, high quality, local wireless connectivity in the centres of local public life, including entities with a public mission such as public authorities and providers of public services as well as outdoor spaces accessible to the general public, in order to promote the Union's digital vision in local communities. |
(25a) |
Digital infrastructure is an important basis for innovation. In order for the programme to maximise its impact it should focus on funding the infrastructure. Individual digital services and applications, such as those involving various distributed ledger technologies or applying artificial intelligence, should therefore be out of scope of the Programme and instead, as appropriate, be addressed through other instruments such as the Digital Europe. It is also important to maximize the synergies between different programmes. |
(26) |
The viability of the anticipated next generation digital services, such as Internet of Things services and applications which are expected to bring significant benefits across various sectors and for society as a whole, will require uninterrupted cross-border coverage with 5G systems , in particular in view of allowing users and objects to remain connected while on the move. However, the cost sharing scenarios for 5G deployment across these sectors remain unclear and the perceived risks of commercial deployment in some key areas are very high. Road corridors and train connections are expected to be key areas for the first phase of new applications in the area of connected mobility and therefore constitute vital cross-border projects for funding under this Programme. |
▌ |
|
(28) |
The deployment of backbone electronic communications networks, including submarine cables connecting European territories to third countries on other continents or connecting European islands , outermost regions or overseas countries and territories , including via Union territorial waters and the Exclusive Economic Zone of the Member States, is needed in order to provide necessary redundancy for such vital infrastructure and to increase the capacity and resilience of the Union's digital networks , also contributing to territorial cohesion. However, such projects are often commercially non-viable without public support. In addition, support should be available to complement European high-performance computing resources with adequate terabit-capacity connections. |
(29) |
Actions contributing to projects of common interest in the area of digital connectivity infrastructure shall deploy the best available and suited technology for the specific project, which proposes the best balance between state-of-the-art technologies in terms of data flow capacity, transmission security, network resilience and cost efficiency, and should be prioritised by way of work programmes taking into account criteria set out in this Regulation. Deployments of very high capacity networks can include passive infrastructure, in view of maximising socio-economic as well as environmental benefits. Finally, when prioritising actions, the potential positive spill-overs in terms of connectivity shall be taken into account, for example when a project deployed can improve the business case for future deployments leading to further coverage of territories and population in areas which have remained uncovered so far. |
(30) |
The Union has developed its own satellite Positioning, Navigation and Timing (PNT) technology (EGNOS/Galileo) and its own Earth observation system (Copernicus). Both EGNOS/Galileo and Copernicus offer advanced services which provide important economic benefits to public and private users. Therefore any transport, energy or digital infrastructure funded by the Programme — that makes use of PNT or Earth observations services — should be technically compatible with EGNOS/Galileo and Copernicus. |
(31) |
The positive results of the first Blending Call for proposals launched under the current programme in 2017, confirmed the relevance and added value of using EU grants for blending with financing from the European Investment Bank or National Promotional Banks or other development and public financial institutions as well as from private-sector finance institutions and private-sector investors, including through public private partnerships. Blending should contribute to attract private investment and to provide leverage of the overall public sector contribution in line with the goals of the Invest EU programme. The Programme should therefore continue to support actions enabling combination between EU grants and other sources of financing. In the transport sector, blending operations shall not exceed 10 % of the dedicated envelope in Article 4(2)(a)(i). |
(31a) |
In the transport sector, blending operations may be used for actions relating to smart, interoperable, sustainable, inclusive, accessible, safe and secure mobility as listed in Article 9(2)(b). |
(32) |
The policy objectives of this Programme will be also addressed through financial instruments and budgetary guarantee under the policy window(s) of the InvestEU Fund. The Programme's actions should be used to boost investment by addressing market failures or sub-optimal investment situations , in particular where actions are not commercially viable , in a proportionate manner, without duplicating or crowding out private financing and have a clear European added value. |
(33) |
In order to favour an integrated development of the innovation cycle, it is necessary to ensure complementarity between the innovative solutions developed in the context of the Union Research and Innovation framework programmes and the innovative solutions deployed with support from the Connecting Europe Facility. For this purpose, synergies with Horizon Europe will ensure that: (a) research and innovation needs in the areas of transport, energy and in the digital sector within the EU are identified and established during Horizon Europe’s strategic planning process; (b) the Connecting Europe Facility supports large-scale roll-out and deployment of innovative technologies and solutions in the fields of transport, energy and digital infrastructure, in particular those resulting from Horizon Europe; (c) the exchange of information and data between Horizon Europe and the Connecting Europe Facility will be facilitated, for example by highlighting technologies from Horizon Europe with a high market readiness that could be further deployed through the Connecting Europe Facility. |
(34) |
This Regulation lays down a financial envelope for the entire period 2021-2027 which is to constitute the prime reference amount, within the meaning of [reference to be updated as appropriate according to the new inter-institutional agreement: point 17 of the Interinstitutional Agreement of 2 December 2013 between the European Parliament, the Council and the Commission on budgetary discipline, on cooperation in budgetary matters and on sound financial management (21) for the European Parliament and the Council during the annual budgetary procedure]. |
(35) |
At Union level, the European Semester of economic policy coordination is the framework to identify national reform priorities and monitor their implementation. Member States develop their own national multiannual investment strategies in support of these reform priorities. These strategies should be presented alongside the yearly National Reform Programmes as a way to outline and coordinate priority investment projects to be supported by national and/or Union funding. They should also serve to use Union funding in a coherent manner and to maximise the added value of the financial support to be received notably from the European Regional Development Fund (ERDF) and Cohesion Fund, the European Investment Stabilisation Function, InvestEU and the Connecting Europe Facility, where relevant. Financial support should also be used in a manner consistent with Union and national energy and climate plans where relevant. |
(36) |
Horizontal financial rules adopted by the European Parliament and the Council on the basis of Article 322 of the Treaty on the Functioning of the European Union apply to this Regulation. These rules are laid down in the Financial Regulation and determine in particular the procedure for establishing and implementing the budget through grants, procurement, prizes, indirect implementation, and provide for checks on the responsibility of financial actors. Rules adopted on the basis of Article 322 TFEU also concern the protection of the Union's budget in case of generalised deficiencies as regards the rule of law in the Member States, as the respect for the rule of law is an essential precondition for sound financial management and effective EU funding. |
(37) |
The types of financing and the methods of implementation under this Regulation should be chosen on the basis of their ability to achieve the specific objectives of the actions and to deliver results, taking into account, in particular, the costs of controls, the administrative burden, and the expected risk of non-compliance. This should include consideration of the use of lump sums, flat rates and unit costs, as well as financing not linked to costs as referred to in Article 125(1) of the Financial Regulation. |
(38) |
Third countries which are members of the European Economic Area (EEA) may participate in Union programmes in the framework of the cooperation established under the EEA agreement, which provides for the implementation of the programmes by a decision under that agreement. Third countries may also participate on the basis of other legal instruments. A specific provision should be introduced in this Regulation to grant the necessary rights for and access to the authorizing officer responsible, the European Anti-Fraud Office (OLAF) as well as the European Court of Auditors to comprehensively exert their respective competences. |
(39) |
The Financial Regulation establishes the rules concerning the award of grants. In order to take into account the specificity of the actions supported by the Programme and to ensure a consistent implementation among the sectors covered by the Programme, it is necessary to provide additional indications as regards eligibility and award criteria. The selection of operations and their financing should respect only the conditions provided for in this Regulation and the Financial Regulation. Without derogating from the Financial Regulation, the work programmes may provide for simplified procedures. |
(39a) |
In accordance with the Financial Regulation, selection and award criteria are defined in the work programmes. In the transport sector, the quality and relevance of a project should be assessed also taking into account its expected impact on the EU connectivity, its compliance with accessibility requirements and its strategy as regards future maintenance needs. |
(40) |
In accordance with the Financial Regulation, Regulation (EU, Euratom) No 883/2013 of the European Parliament and of the Council (22), Council Regulation (Euratom, EC) No 2988/95 (23),Council Regulation (Euratom, EC) No 2185/96 (24) and Council Regulation (EU) 2017/193 (25), the financial interests of the Union are to be protected through proportionate measures, including the prevention, detection, correction and investigation of irregularities and fraud, the recovery of funds lost, wrongly paid or incorrectly used and, where appropriate, the imposition of administrative sanctions. In particular, in accordance with Regulation (EU, Euratom) No 883/2013 and Regulation (Euratom, EC) No 2185/96 the European Anti-Fraud Office (OLAF) may carry out administrative investigations, including on-the-spot checks and inspections, with a view to establishing whether there has been fraud, corruption or any other illegal activity affecting the financial interests of the Union. In accordance with Regulation (EU) 2017/1939, the European Public Prosecutor's Office (EPPO) may investigate and prosecute fraud and other criminal offences affecting the financial interests of the Union as provided for in Directive (EU) 2017/1371 of the European Parliament and of the Council (26). In accordance with the Financial Regulation, any person or entity receiving Union funds is to fully cooperate in the protection of the Union’s financial interests, to grant the necessary rights and access to the Commission, OLAF, the European Public Prosecutor’s Office (EPPO) and the European Court of Auditors (ECA) and to ensure that any third parties involved in the implementation of Union funds grant equivalent rights. |
(41) |
Pursuant to reference to be updated as appropriate according to the new decision on OCTs: Article 94 of Council Decision 2013/755/EU (27) persons and entities established in overseas countries and Territories (OCTs) are eligible for funding subject to the rules and objectives of the Programme and possible arrangements applicable to the Member State to which the relevant overseas country or territory is linked. |
(42) |
The Union should seek coherence and synergies with the Union programmes for external policies, including pre-accession assistance following the engagements taken in the context of the Communication ‘A credible enlargement perspective for and enhanced EU engagement with the Western Balkans’ (28). |
(43) |
When third countries or entities established in third countries participate in actions contributing to projects of common interest or to cross-border projects in the field of renewable energy, financial assistance should only be available if it is indispensable to the achievement of the objectives of these projects. With regard to the part on cross-border projects in the field of renewables, the cooperation between one or several Member States and a third country (including Energy Community) should respect the conditions set out in Article 11 of Directive (EU) 2018/XXX of the European Parliament and of the Council [Renewable Energy Directive] on the need for a physical link to the EU. |
(43a) |
The Commission’s Communication of 3 October 2017‘Making Public Procurement work in and for Europe’ (29) , notes that the EU is the world’s most open market for procurement, but access for our companies in other countries is not always reciprocal. Beneficiaries of CEF should therefore make full use of the strategic procurement possibilities offered by Directive 2014/25/EU. |
(44) |
Pursuant to points 22 and 23 of the Inter-institutional agreement for Better Law-Making of 13 April 2016 (30), there is a need to evaluate this Programme on the basis of information collected through specific monitoring requirements, such as on climate tracking, while avoiding overregulation and administrative burdens, in particular on Member States. Evaluations should be carried out by the Commission and communicated to the European Parliament, the Council, the European Economic and Social Committee and the Committee of Regions in order to assess the effectiveness and efficiency of the funding and its impact on the overall goals of the Programme and make any adjustments necessary . |
(45) |
Transparent, accountable and adequate monitoring and reporting measures including measurable indicators should be implemented in order to assess and report on the progress of the Programme towards the achievement of the general and specific objectives set out in this Regulation, as well as to promote its achievements . This performance reporting system should ensure that data for monitoring the implementation of the Programme and its results are suitable for an in-depth analysis of the progress achieved and of the difficulties encountered and that those data and results are collected efficiently, effectively and in a timely manner. It is necessary to impose proportionate reporting requirements on recipients of Union funds in order to collect relevant data for the Programme. |
(45a) |
The Programme should be implemented through work programmes. The Commission should adopt by 31 December 2020 the first multiannual work programmes that will include the timetable of the calls for proposals for the first three years of the programme, their topics and indicative budget as well as a prospective framework covering the entire programming period. |
(46) |
In order to ensure uniform conditions for the implementation of this Regulation, implementing powers should be conferred on the Commission as regards adoption of work programmes. Those powers should be exercised in accordance with Regulation (EU) No 182/2011 of the European Parliament and of the Council (31). |
(47) |
In order to adapt, where necessary, the indicators used for the monitoring of the Programme, the indicative percentages of budgetary resources allocated to each specific objective in the transport sector and the definition of the transport core network corridors, the power to adopt acts in accordance with Article 290 of the Treaty on the Functioning of the European Union should be delegated to the Commission in respect of amendments to Parts I, II and III of the Annex to this Regulation. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. |
(48) |
Regulations (EU) No 1316/2013 and (EU) No 283/2014 should, for reasons of clarity, be repealed. However, the effects of Article 29 of Regulation (EU) No 1316/2013, which amends the Annex to Regulation (EU) No 913/2010 of the European Parliament and of the Council (32) as regards the list of freight corridors, should be preserved. |
(49) |
In order to allow for the timely adoption of the implementing acts provided for by this Regulation, it is necessary that it enters into force immediately upon its publication, |
HAVE ADOPTED THIS REGULATION:
CHAPTER I
GENERAL PROVISIONS
Article 1
Subject matter
This Regulation establishes the Connecting Europe Facility (the ‘Programme’).
It lays down the objectives of the Programme, the budget for the period 2021-2027, the forms of Union funding and the rules for providing such funding.
Article 2
Definitions
For the purposes of this Regulation, the following definitions shall apply:
(a) |
‘action’ means any activity which has been identified as financially and technically independent, has a set time-frame and is necessary for the implementation of a project; |
(b) |
‘alternative fuels’ means alternative fuels for all modes of transport as defined in Article 2(1) of Directive 2014/94/EU; |
(ca) |
‘beneficiary’ means an entity with legal personality with whom a grant agreement has been signed; |
(d) |
‘blending operation’ means actions supported by the EU budget, including within blending facilities pursuant to Article 2(6) of the Regulation (EU, Euratom) 2018/XXX (the ‘Financial Regulation’), combining non-repayable forms of support and/or financial instruments and/or budgetary guarantees from the EU budget with repayable forms of support from development or other public finance institutions, as well as from commercial finance institutions and investors; |
(e) |
‘comprehensive network’ means the transport infrastructure identified in accordance with Chapter II of Regulation (EU) No 1315/2013; |
(f) |
‘core network’ means the transport infrastructure identified in accordance with Chapter III of Regulation (EU) No 1315/2013; |
(g) |
‘core network corridors’ means an instrument to facilitate the coordinated implementation of the core network as provided for in Chapter IV of Regulation (EU) No 1315/2013 and listed in Part III of the Annex to this Regulation; |
(ga) |
‘cross border link’ in the transport sector means a project of common interest which ensures the continuity of the TEN-T network between Member States or between a Member State and a third country; |
(gb) |
‘missing link’ is an all modes transport missing section of the TEN-T network or a transport section that is providing the connection of core or comprehensive networks with the TEN-T corridors which hampers the continuity of the TEN-T network or containing one or more bottleneck affecting the continuity of the TEN-T network; |
(gc) |
‘dual-use infrastructure’ means a transport network infrastructure that addresses both civilian and defence needs; |
(h) |
‘cross-border project in the field of renewable energy’ means a project selected or eligible to be selected under a cooperation agreement or any other kind of arrangements between at least two Member States or arrangements between at least one Member State and a third country or countries as defined in Articles 8, 9, 11 and 13 of Directive (EU) 2018/2001 in the planning or deployment of renewable energy, in accordance with the criteria set out in Part IV of the Annex to this Regulation; |
(ha) |
‘energy efficiency first’ means energy efficiency first as referred to in Article 2(18) of Regulation (EU) 2018/1999; |
(i) |
‘digital connectivity infrastructure’ means very high capacity networks, 5G systems, very high quality local wireless connectivity, backbone networks, as well as operational digital platforms directly associated with transport and energy infrastructure; |
(j) |
‘5G systems’ means a set of digital infrastructure elements based on globally agreed standards for mobile and wireless communications technology used for connectivity and value-added services with advanced performance characteristics such as very high data rates and capacity, low latency communications, ultra-high reliability, or supporting a high number of connected devices; |
(k) |
‘5G corridor’ means a transport path, road, railway or inland waterway , fully covered with digital connectivity infrastructure and in particular 5G systems, enabling the uninterrupted provision of synergy digital services such as connected and automated mobility, similar smart mobility services for railways or digital connectivity on inland waterways ; |
(l) |
‘operational digital platforms directly associated with transport and energy infrastructure’ means physical and virtual information communication technology (‘ICT’) resources, operating on top of the communication infrastructure, which support the flow, storage, processing and analysis of transport and/or energy infrastructure data; |
(m) |
‘project of common interest’ means a project identified in Regulation (EU) No 1315/2013 or Regulation (EU) No 347/2013 or in Article 8 of this Regulation; |
(n) |
‘studies’ means activities needed to prepare project implementation, such as preparatory, mapping, feasibility, evaluation, testing and validation studies, including in the form of software, and any other technical support measure, including prior action to define and develop a project and decide on its financing, such as reconnaissance of the sites concerned and preparation of the financial package; |
(o) |
‘socio-economic drivers’ means entities which by their mission, nature or location can directly or indirectly generate important socio-economic benefits to citizens, business and local communities located in their surrounding territory or in their area of influence ; |
(p) |
‘third country’ means a country that is not member of the European Union; |
(q) |
‘very high capacity networks’ means very high capacity networks as defined in Article 2 (2 ) of Directive (EU) 2018/172; |
(r) |
‘works’ means the purchase, supply and deployment of components, systems and services including software, the carrying-out of development and construction and installation activities relating to a project, the acceptance of installations and the launching of a project. |
Article 3
Objectives
1. The Programme has the general objective to build, develop, modernise and complete the trans-European networks in the fields of transport, energy and digital and to facilitate cross-border cooperation in the field of renewable energy, taking into account the long-term decarbonisation commitments, increasing European competitiveness, smart, sustainable and inclusive growth, territorial , social and economic cohesion, access to and integration of the internal market and with emphasis on synergies among transport, energy and digital sectors.
2. The Programme has the following specific objectives:
(a) |
In the transport sector:
|
(b) |
In the energy sector, to contribute to the development of projects of common interest relating to further integration of an efficient and competitive internal energy market, interoperability of networks across borders and sectors, facilitating decarbonisation of the economy, promoting energy efficiency and ensuring security of supply, and to facilitate cross-border cooperation in the area of energy, including renewable energy; |
(c) |
In the digital sector, to contribute to the development of projects of common interest relating to the deployment of safe and secure very high capacity digital networks and 5G systems, to the increased resilience and capacity of digital backbone networks on EU territories by linking them to neighbouring territories, as well to the digitalization of transport and energy networks. |
Article 4
Budget
1. The financial envelope for the implementation of the Programme for the period 2021-2027 is set at EUR 43 850 768 000 in constant prices ( EUR XXX in current prices).
2. The distribution of this amount shall be as follows:
(a) |
EUR 33 513 524 000 in constant prices (EUR XXX in current prices) for the specific objectives referred to in Article 3(2)(a), of which:
|
(b) |
EUR 8 650 000 000 for the specific objectives referred to in Article 3(2)(b), out of which 15 %, subject to market uptake, for cross border projects in the field of renewable energy. If the 15 % threshold is reached, the European Commission shall increase this amount up to 20 %, subject to market uptake. |
(c) |
EUR 2 662 000 000 in constant prices (EUR 3 000 000 000 in current prices) for the specific objectives referred to in Article 3(2)(c). |
3. The Commission shall not depart from the amount referred to in paragraph 2 (a)(ii).
4. Up to 1 % of the amount referred to in paragraph 1 may be used for technical and administrative assistance for the implementation of the Programme and the sector-specific guidelines, such as preparatory, monitoring, control, audit and evaluation activities including corporate information and technology systems. This amount may also be used to finance accompanying measures to support the preparation of projects in particular to provide advisory to project promoters on funding opportunities in order to assist in the structuring of their project finance.
5. Budgetary commitments for actions extending over more than one financial year may be broken down over several years into annual instalments.
6. Without prejudice to the Financial Regulation, expenditure for actions resulting from projects included in the first work programme may be eligible as from 1 January 2021.
7. The amount transferred from the Cohesion Fund shall be implemented in accordance with this Regulation, subject to paragraph 8 and without prejudice to Article 14(2)(b).
8. As regards the amounts transferred from the Cohesion Fund, ▌ until 31 December ▌ 2022 , the selection of projects eligible for financing shall respect the national allocations under the Cohesion Fund ▌. As of 1 January ▌ 2023 , resources transferred to the Programme which have not been committed to a transport infrastructure project shall be made available , on a competitive basis, to all Member States eligible for funding from the Cohesion Fund to finance transport infrastructure projects in accordance with this Regulation.
8a. The amount transferred from the Cohesion Fund shall not be used to finance cross-sectoral work programmes and blending operations.
9. Resources allocated to Member States under shared management may, at their request, be transferred to the Programme. The Commission shall implement those resources directly in accordance with [point (a) of Article 62(1)] of the Financial Regulation or indirectly in accordance with point (c) of that Article. Those resources shall be used for the benefit of the Member State concerned.
9a. Without prejudice to Article 4 paragraph 9, in the digital sector, resources allocated to Member States under shared management may, at their request, be transferred to the Programme, including to complement the funding of eligible actions under Article 9 paragraph 4 up to 100 % of the total eligible cost where possible, without prejudice to the co-financing principle laid in Article 190 of the Financial Regulation and to the State Aid Rules. Those resources shall be used for the benefit of the Member State concerned only.
Article 5
Third countries associated to the Programme
1. The Programme shall be open to the following third countries:
(a) |
European Free Trade Association (EFTA) members which are members of the European Economic Area (EEA), in accordance with the conditions laid down in the EEA agreement; |
(b) |
acceding countries, candidates and potential candidates, in accordance with the general principles and general terms and conditions for their participation in Union programmes established in the respective framework agreements and association council decisions, or similar agreements, and in accordance with the specific conditions laid down in agreements between the Union and them; |
(c) |
countries covered by the European Neighbourhood Policy, in accordance with the general principles and general terms and conditions for the participation of those countries in Union programmes established in the respective framework agreements and association council decisions, or similar agreements, and in accordance with the specific conditions laid down in agreements between the Union and those countries; |
(d) |
other third countries, in accordance with the conditions laid down in a specific agreement covering the participation of the third country to any Union programme, provided that the agreement:
|
2. The third countries referred to in paragraph 1, and entities established in these countries, may not receive financial assistance under this Regulation except where it is indispensable to the achievement of the objectives of a given project of common interest and under the conditions set in the work programmes referred to in Article 19 and according to the provisions set by Article 8 of Regulation (EU) No 1315/2013 .
Article 6
Implementation and forms of EU funding
1. The Programme shall be implemented in direct management in accordance with the Financial Regulation or, in indirect management with bodies referred to in Article [ 62 (1)(c)] of the Financial Regulation.
2. The Programme may provide funding in the forms of grants and procurement as laid down in the Financial Regulation. It may also contribute to blending operations in accordance with the InvestEU Regulation and Title X of the Financial Regulation. In the transport sector the Union contribution to blending operations shall not exceed 10 % of the budgetary amount indicated in Article 4(2)(a)(i). In the transport sector, blending operations may be used for actions relating to smart, interoperable, sustainable, inclusive, accessible, safe and secure mobility as listed at Article 9(2)(b).
3. The Commission may delegate power to implement part of the Programme to executive agencies in accordance with Article [69] of the Financial Regulation with a view to the optimum management and efficiency requirements of the Programme in the transport, energy and digital sectors.
4. Contributions to a mutual insurance mechanism may cover the risk associated with the recovery of funds due by recipients and shall be considered a sufficient guarantee under the Financial Regulation. The provisions laid down in [Article X of] Regulation XXX [successor of the Regulation on the Guarantee Fund] shall apply.
Article 7
Cross-border projects in the field of renewable energy
1. Cross-border projects in the field of renewable energy shall contribute to decarbonisation, completing the internal energy market and enhancing the security of supply. These projects shall be included in a cooperation agreement or any other kind of arrangements between at least two Member States or arrangements between at least one Member State and a third country or countries as set out in Article in Articles 8, 9, 11 and 13 of Directive (EU) 2018/2001 . These projects shall be identified in accordance with the general criteria and process laid down in Part IV of the Annex to this Regulation.
2. By 31 December 2019, the Commission shall adopt a delegated act in accordance with Article 23(d) of this Regulation to further specify , without prejudice to the award criteria laid down in Article 13, the specific selection criteria and lay down details of the selection process of the projects and shall publish the methodologies for assessing the contribution of the projects to the general criteria and for producing the cost-benefit analysis specified in Part IV of the Annex.
3. Studies aiming at the development and identification of cross-border projects in the field of renewable energy shall be eligible for funding under this Regulation.
4. Cross-border projects in the field of renewable energy shall be eligible for Union funding for works if they meet the following additional criteria:
(a) |
the project specific cost-benefit analysis pursuant to point 3 of Part IV of the Annex shall be compulsory for all supported projects, shall be performed in a transparent, comprehensive and complete manner and shall provide evidence concerning the existence of significant cost savings and/or benefits in terms of system integration, environmental sustainability , security of supply or innovation, and; |
(b) |
the applicant demonstrates, that the project would not materialise in the absence of the grant, or that the project cannot be commercially viable in the absence of the grant. This analysis shall take into account any revenues resulting from support schemes. |
5. The amount of the grant for works shall be proportionate to the cost savings and/or benefits referred to in point 2(b) of Part IV of the Annex, shall not exceed the amount required to ensure that the project materialises or becomes commercially viable and shall respect the provisions of Article 14(3).
6. The Programme shall provide for the possibility of coordinated funding with the enabling framework for renewable energy deployment referred to in Article 3(5) of Directive (EU) 2018/2001 and the co-funding with the Union renewable energy financing mechanism referred to in Article 33 of Regulation (EU) 2018/1999.
The Commission shall assess regularly the uptake of funds with regard to the reference amount in Article 4(2)(b) for cross-border projects in the field of renewable energy. Following this assessment, in the absence of sufficient market uptake of cross border renewables projects, the unused budget envisaged for cross border renewables projects shall be used to meet the objectives of the trans-European energy networks defined in Article 3(2)(b) for eligible actions referred in article 9.3 and also as of 2024, may be used to co-fund the Union renewable energy financing mechanism established under Regulation (EU) 2018/1999.
The Commission shall lay down, by means of implementing act, specific rules on co-funding between the parts on cross border projects in the field of renewable energy under CEF and the financing mechanism established under article 33 of Regulation (EU) 2018/1999. The examination procedure referred to in article 22 shall apply.
Article 8
Projects of common interest in the area of digital connectivity infrastructure
1. Projects of common interest in the area of digital connectivity infrastructure are those projects that are expected to make an important contribution to the Union's strategic connectivity objectives and/or provide the network infrastructure supporting the digital transformation of the economy and society as well as the European Digital Single Market.
1a. Projects of common interest in the area of digital connectivity infrastructure shall comply with the criteria below:
(a) |
contribute to the specific objective provided for in point (c) of Article 3(2); |
(b) |
deploy the best available and suited technology for the specific project, which proposes the best balance in terms of data flow capacity, transmission security, network resilience, cyber security and cost efficiency . |
2. Studies aiming at the development and identification of projects of common interest in the area of digital connectivity infrastructure shall be eligible for funding under this Regulation.
3. Without prejudice to the award criteria laid down in Article 13, priority for funding shall be determined taking into account the following criteria:
(a) |
actions contributing to deployment of and access to very high capacity networks, including 5G and other state-of-the-art connectivity, in line with EU strategic connectivity targets in areas where socioeconomic drivers are located shall be prioritized taking into account their connectivity needs and the additional area coverage generated, including households, in accordance with Part V of the Annex. Stand-alone deployments to socio-economic drivers can be supported except in economically disproportionate or physically impracticable cases; |
(b) |
actions contributing to the provision of very high-quality local wireless connectivity in local communities, in accordance with Part V of the Annex; |
(c) |
▌ actions contributing to the deployment of 5G corridors along major transport paths , including on the trans-European transport networks , shall be prioritized to ensure coverage along major transport paths, enabling the uninterrupted provision of synergy digital services, taking into account its socio-economic relevance relative to any currently installed technological solutions in a forward looking approach. An indicative list of projects that could benefit from support is included in Part V of the Annex; |
(d) |
projects aiming at the deployment or significant upgrade of cross-border backbone networks linking the Union to third countries and reinforcing links between electronic communications networks within the Union territory, including submarine cables, shall be prioritised according to the extent to which they significantly contribute to the increase d performance, resilience and very high capacity of those electronic communications networks; |
▌
(f) |
with regard to projects deploying operational digital platforms, priority shall be given to actions based on state-of-the-art technologies, taking into account aspects such as interoperability, cybersecurity, data privacy and re-use. |
CHAPTER III
ELIGIBILITY
Article 9
Eligible actions
1. Only actions contributing to the achievement of the objectives referred to in Article 3 , taking into account long-term decarbonisation commitments, are eligible for funding. Such actions include studies, works and other accompanying measures necessary for the management and implementation of the Programme and the sector-specific guidelines. Studies are eligible only when relating to projects eligible under this Programme.
2. In the transport sector only the following actions shall be eligible to receive Union financial assistance under this Regulation:
(a) |
Actions relating to efficient, interconnected, interoperable and multimodal networks for the development of railway, road, inland waterway and maritime infrastructure :
|
(b) |
Actions relating to smart, interoperable, sustainable, multimodal , inclusive, accessible , safe and secure mobility:
|
(c) |
Under the specific objective referred to in Article 3(2)(a)(ii) and in accordance with Article 11a, actions or specific activities within an action, supporting parts, new or existing, of the trans-European transport network suitable for military transport, in order to adapt it to dual use infrastructure requirements. |
3. In the energy sector only the following actions shall be eligible to receive Union financial assistance under this Regulation:
(a) |
actions relating to projects of common interest as set out at Article 14 of Regulation (EU) No 347/2013; |
(b) |
actions supporting cross-border projects in the field of renewable energy including innovative solutions as well as storage of renewable energy, and their conception, as defined in Part IV of the Annex to this Regulation, subject to the fulfilment of the conditions laid down in Article 7 of this Regulation. |
4. In the digital sector the following actions shall only be eligible to receive Union financial assistance under this Regulation:
(a) |
actions supporting the deployment of and access to very high-capacity networks, including 5G systems, capable of providing Gigabit connectivity in areas where socioeconomic drivers are located ; |
(b) |
actions supporting the provision of very high-quality local wireless connectivity in local communities that is free of charge and without discriminatory conditions; |
(c) |
actions implementing uninterrupted coverage with 5G systems of all major transport paths, including the trans-European transport networks; |
(d) |
actions supporting deployment of new or significant upgrade of existing backbone networks including submarine cables, within and between Member States and between the Union and third countries; |
(f) |
actions implementing digital connectivity infrastructure requirements related to cross-border projects in the areas of transport or energy and/or supporting operational digital platforms directly associated to transport or energy infrastructures. |
An indicative list of eligible projects in the digital sector is provided for in Part V of the Annex.
Article 10
Synergies between the transport, energy and digital sectors
1. Actions contributing simultaneously to the achievement of one or more objectives of at least two sectors, as provided for in Article 3(2)(a), (b) and (c) shall be eligible to receive Union financial assistance under this Regulation and to benefit from a higher co-funding rate, in accordance with Article 14 . Such actions shall be implemented through work programmes addressing at least two sectors, including specific award criteria and financed with budget contributions from the sectors involved.
2. Within each of the transport, energy or digital sectors, actions eligible in accordance with Article 9 may include synergetic elements relating with any of the other sectors , which are not related to eligible actions as provided for in Article 9(2), (3) or (4) respectively, provided that they comply with all of the following requirements:
(a) |
the cost of these synergetic elements does not exceed 20 % of the total eligible costs of the action; and |
(b) |
these synergetic elements relate to the transport, energy or digital sector; and |
(c) |
these synergetic elements allow to significantly improve the socio-economic, climate or environmental benefits of the action. |
Article 11
Eligible entities
1. The eligibility criteria set out in this Article shall apply in addition to the criteria set out in Article [197] of the Financial Regulation.
2. The following entities are eligible:
(a) |
legal entities established in a Member State including joint ventures ; |
(b) |
legal entities established in a third country associated to the Programme or overseas countries and territories ; |
(c) |
legal entities created under Union law and international organisations where provided for in the work programmes. |
3. Natural persons are not eligible.
4. Legal entities established in a third country which is not associated to the Programme are exceptionally eligible to receive support under the Programme where this is indispensable for the achievement of the objectives of a given project of common interest in the field of transport, energy and digital or of a cross-border project in the field of renewable energy.
5. Only proposals submitted by one or more Member States or, with the agreement of the Member States concerned, by international organisations, joint undertakings, or public or private undertakings or bodies , including regional or local authorities, are eligible. In case a Member State does not agree with the submission, it shall inform accordingly.
A Member State may decide that, for a specific work programme or for specific categories of applications, proposals can be submitted without its agreement. In such case, upon the request of the Member State concerned, this is indicated in the relevant work programme and call for such proposals.
Article 11a
Specific eligibility requirements concerning actions relating to the adaptation of TEN-T networks to civilian-defence dual-use
1. Actions contributing to the adaptation of the TEN-T core or comprehensive networks as defined by Regulation (EU) No 1315/2013, with the purpose of enabling a civilian-defence dual use of the infrastructure shall be subject to the following additional eligibility requirements:
(a) |
proposals shall be submitted by one or more Member States or, with the agreement of the Member States concerned, by legal entities established in Member States; |
(b) |
the actions shall relate to the sections or nodes identified by Member States in the Annexes to the Military Requirements for Military Mobility within and beyond the EU as adopted by the Council on 20 November 2018 (33) or any subsequent list adopted thereafter and to any further indicative list of priorit projects that may be identified by Member States in accordance with the Military Mobility Action Plan; |
(c) |
the actions may relate both to the upgrading of existing infrastructure components or to the construction of new infrastructure components taking into account the infrastructure requirements mentioned at paragraph 2; |
(d) |
actions implementing a level of infrastructure requirement going beyond the level required for dual-use are eligible; however, their cost shall only be eligible up to the level of costs corresponding to the level of requirements necessary for dual-use. Actions relating to infrastructure used only for military purposes shall not be eligible; |
(e) |
actions under this article shall only be funded from the amount in accordance with Article 4(2)(a)(iii). |
2. The Commission shall adopt an implementing act specifying, where necessary, the infrastructure requirements applicable to certain categories of dual-use infrastructure actions and the evaluation procedure regarding the actions connected with civilian-defence dual-use infrastructure actions.
Following the interim evaluation of the Programme foreseen in Article 21(2), the Commission may propose to the budgetary authority to transfer the money that has not been committed from Article 4(2)(a)(iii) to Article 4(2)(a)(i).
CHAPTER III
GRANTS
Article 12
Grants
Grants under the Programme shall be awarded and managed in accordance with Title VIII of the Financial Regulation.
Article 13
Award criteria
1. Transparent award criteria shall be defined in the work programmes referred to in Article 19 and in the calls for proposals taking into account, to the extent applicable, only the following elements:
(a) |
economic, social and environmental impact , including climate impact ( project life cycle benefits and costs), soundness, comprehensiveness and transparency of the analysis ; |
(b) |
innovation and digitalisation , safety, interoperability and accessibility aspects, including persons with reduced mobility ; |
(c) |
cross-border dimension, network integration and territorial accessibility, including for outermost regions and islands ; |
(ca) |
European added value; |
(d) |
synergies between the transport, energy and digital sectors; |
(e) |
maturity of the action in the project development; |
(ea) |
soundness of the maintenance strategy proposed for the completed project; |
(f) |
soundness of the implementation plan proposed; |
(g) |
catalytic effect of Union financial assistance on investment; |
(h) |
need to overcome financial obstacles such as those generated by insufficient commercial viability , high upfront costs or the lack of market finance; |
(ha) |
potential of dual-use in the context of military mobility; |
(i) |
consistency with Union and national energy and climate plans, including the energy efficiency first principle. |
2. The assessment of proposals against the award criteria shall take into account, where relevant, the resilience to the adverse impacts of climate change through a climate vulnerability and risk assessment including the relevant adaptation measures.
3. The assessment of proposals against the award criteria shall ensure that where relevant, as specified in the work programmes, actions supported by the Programme that include Positioning, Navigation and Timing (PNT) technology are technically compatible with EGNOS/Galileo and Copernicus.
4. In the transport sector, the assessment of proposals against the award criteria referred to in paragraph 1 shall, where applicable, ensure that proposed actions are consistent with the corridor work plans and implementing acts pursuant to Article 47 of Regulation (EU) No 1315/2013 and take into account the consultative opinion of the responsible European Coordinator pursuant to Article 45(8) thereof. The assessment shall also evaluate whether the implementation of actions financed by the CEF risks causing disruption to freight and passenger flows on the section of the line concerned by the project and whether these risks have been mitigated.
5. As regards actions relating to cross-border projects in the field of renewable energy, the award criteria defined in the work programmes and the calls for proposals shall take into account the conditions laid down in paragraph 4 of Article 7.
6. As regards actions relating to digital connectivity projects of common interest, the award criteria defined in the work programmes and the calls for proposals shall take into account the conditions laid down in paragraph 3 of Article 8.
Article 14
Co-financing rates
1. For studies, the amount of Union financial assistance shall not exceed 50 % of the total eligible cost. For studies financed with the amounts transferred from the Cohesion Fund, the maximum co-financing rates shall be those applicable to the Cohesion Fund as specified in paragraph 2(b).
2. For works in the transport sector, the following maximum co-financing rates shall apply:
(a) |
for works relating to the specific objectives referred to in Article 3(2)(a )(i ), the amount of Union financial assistance shall not exceed 30 % of the total eligible cost. The co-financing rates may be increased to a maximum of 50 % for actions relating to cross-border links under the conditions specified in point (c) of this paragraph, for actions supporting telematic applications systems, for actions supporting inland waterways , railway interoperability, for actions supporting new technologies and innovation, for actions supporting improvements of infrastructure for safety and for actions adapting the transport infrastructure for Union external border checks purposes, in line with relevant Union legislation. For actions located in outermost regions the co-financing rates shall be set to a maximum of 70 % ; |
(aa) |
for works relating to the specific objectives referred to in Article 3(2)(a)(ii), the amount of Union financial assistance shall not exceed 50 % of the total eligible cost. The co-financing rates may be increased to a maximum of 85 % if the necessary resources are transferred to the Programme pursuant to paragraph 9 of Article 4; |
(b) |
as regards the amounts transferred from the Cohesion Fund, the maximum co-financing rates shall be those applicable to the Cohesion Fund as referred to in the Regulation (EU) XXX [CPR]. These co-financing rates may be increased to a maximum of 85 % for actions relating to cross-border links under the conditions specified in point (c) of this paragraph and actions relating to missing links ; |
(c) |
as regards actions relating to cross-border links, the increased maximum co-financing rates as provided for in points (a) and (b) may only apply to actions that demonstrate a high degree of integration in the planning and implementation of the action for the purpose of the award criterion referred to in Article 13(1)(c), for instance through the establishment of a single project company, a joint governance structure, a bilateral legal framework or an implementing act pursuant to Article 47 of Regulation (EU) No 1315/2013; in addition, the co-financing rate applicable to projects carried out by integrated management structures, including joint ventures, in accordance with point (a) of Article 11(2), may be increased by 5 %. |
3. For works in the energy sector, the following maximum co-financing rates shall apply:
(a) |
for works relating to the specific objectives referred to in Article 3(2)(b), the amount of Union financial assistance shall not exceed 50 % of the total eligible cost for works in outermost regions the co-financing rates shall be to a maximum of 70 % ; |
(b) |
The co-financing rates may be increased to a maximum of 75 % for actions contributing to the development of projects of common interest which, based on the evidence referred to in Article 14(2) of Regulation (EU) No 347/2013, provide a high degree of regional or Union-wide security of supply, strengthen the solidarity of the Union or comprise highly innovative solutions. |
4. For works in the digital sector, the following maximum co-financing rates shall apply: for works relating to the specific objectives referred to in Article 3(2)(c), the amount of Union financial assistance shall not exceed 30 % of the total eligible cost. For works in outermost regions the co-financing rates shall be set to a maximum of 70 %. The co-financing rates may be increased up to 50 % for actions with a strong cross-border dimension, such as uninterrupted coverage with 5G systems along major transport paths or deployment of backbone networks between Member States and between the Union and third countries, and up to 75 % for actions implementing the Gigabit connectivity of socio-economic drivers. Actions in the field of providing local wireless connectivity in local communities , when implemented via low value grants may be funded by Union financial assistance covering up to 100 % of the eligible costs, without prejudice to the principle of co-financing.
5. The maximum co-funding rate applicable to actions referred to in Article 10 (1) shall be the highest maximum co-funding rate applicable to the sectors concerned. In addition, the co-financing rate applicable to these actions may be increased by 10 %.
Article 15
Eligible costs
The following cost-eligibility criteria shall apply, in addition to the criteria set out in Article [186] of the Financial Regulation:
(a) |
only expenditure incurred in Member States may be eligible, except where the project of common interest or cross-border projects in the field of renewable energy involves the territory of one or more third countries as referred to in Article 5 or Article 11 paragraph 4 of this Regulation or international waters and where the action is indispensable to the achievement of the objectives of the project concerned; |
(b) |
the cost of equipment, facilities and infrastructure which is treated as capital expenditure by the beneficiary may be eligible up to its entirety; |
(c) |
expenditure related to the purchase of land shall not be an eligible cost , except for funds transferred from the Cohesion Fund in the transport sector in accordance with Article 58 of Regulation (EU) XXX laying down common provisions on the European Regional Development Fund, the European Social Fund Plus, the Cohesion Fund, and the European Maritime and Fisheries Fund and financial rules for those and for the Asylum and Migration Fund, the Internal Security Fund and the Border Management and Visa Instrument ; |
(d) |
eligible costs shall not include value added tax (‘VAT’). |
Article 16
Combination of grants with other sources of financing
1. Grants may be used for combination with financing from the European Investment Bank or National Promotional Banks or other development and public financial institutions as well as from private-sector finance institutions and private-sector investors, including through Public Private Partnerships.
2. The use of grants referred to in paragraph 1 may be implemented through dedicated calls for proposals.
Article 17
Reduction or termination of the grants
1. In addition to the grounds specified in [Article 131(4)] of the Financial Regulation, the amount of the grant , except in duly justified cases, may be reduced on the following grounds
(a) |
the action has not started within one year for studies, or two years for works, following the starting date indicated in the grant agreement; |
(b) |
following a review of the progress of the action, it is established that the implementation of the action has suffered such major delays that the objectives of the action are likely not to be achieved; |
2. The grant agreement may be amended or terminated on the basis of the grounds specified in paragraph 1.
3. Before any decision regarding the reduction or termination of a grant is taken, the case shall be examined comprehensively and the beneficiaries concerned shall be provided with the possibility to present their observations within a reasonable time-frame.
3a. Available commitment appropriations resulting from the application of paragraph 1 or paragraph 2 shall be distributed to other work programmes proposed under the corresponding financial envelope as laid out in Article 4 (2).
Article 18
Cumulative, complementary and combined funding
1. An action that has received a contribution under the Programme may also receive a contribution from any other Union programme, including Funds under shared management, provided that the contributions do not cover the same costs. The implementation shall respect the rules provided in Article 62 of the Financial Regulation. The cumulative funding shall not exceed the total eligible costs of the action and the support from the different Union programmes may be calculated on a pro-rata basis in accordance with the documents setting out the conditions for support.
2. Actions which comply with the following cumulative conditions:
(a) |
they have been assessed in a call for proposals under the Programme; |
(b) |
they comply with the minimum quality requirements of that call for proposals; |
(c) |
they may not be financed under that call for proposals due to budgetary constraints; |
may receive support from the European Regional Development Fund or the Cohesion Fund in accordance with [Article 67(5)] of Regulation (EU) XXX [CPR], without any further assessment, and provided that such actions are consistent with the objectives of the programme concerned. The rules of the Fund providing support shall apply.
CHAPTER IV
PROGRAMMING, MONITORING, EVALUATION AND CONTROL
Article 19
Work programmes
1. The Programme shall be implemented by work programmes referred to in Article 110 of the Financial Regulation. ▌
1a. In order to provide transparency and predictability and to enhance the quality of the projects, the Commission shall adopt by 31 December 2020 the first multiannual work programmes that will include the timetable of the calls for proposals for the first three years of the programme, their topics and indicative budget as well as a prospective framework covering the entire programming period.
2. The work programmes shall be adopted by the Commission by means of an implementing act. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 22 of this Regulation.
3. In the energy sector, particular consideration shall be given to projects of common interest and related actions aimed at further integrating the internal market for energy, ending energy isolation and eliminating electricity interconnection bottlenecks with emphasis on those projects contributing to the achievement of the interconnection target of at least 10 % by 2020 and 15 % by 2030 and projects contributing to synchronisation of electricity systems with the EU networks.
3a. In accordance with the Article 200(2) of the Regulation (EU, Euratom) 2018/1046 , the authorising officer responsible may, where appropriate, organise the selection procedure in two stages as follows:
(a) |
Applicants shall submit a simplified dossier containing relatively brief information for the purposes of project preselection based on a limited set of criteria; |
(b) |
Applicants short-listed at the first stage shall submit a complete dossier after closure of the first stage. |
Article 19a
Granting of Union financial assistance
1. Following every call for proposals based on work programme referred to in Article 19, the Commission, acting in accordance with the examination procedure referred to in Article 22 by means of an implementing act, shall decide on the amount of financial assistance to be granted to the projects selected or to parts thereof. The Commission shall specify the conditions and methods for their implementation.
2. During the implementation of the grant agreements the beneficiaries and the Member States concerned shall be informed by the Commission regarding changes to the grant amounts and the final amounts paid.
3. The beneficiaries shall submit reports as defined in the respective grant agreements without prior approval of the Member States. The Commission shall provide Member States with access to the reports regarding actions located on their territories.
Article 20
Monitoring and reporting
1. Indicators to report progress of the Programme towards the achievement of the general and specific objectives set out in Article 3 are set in Part I of the Annex.
2. To ensure effective assessment of progress of the Programme towards the achievement of its objectives, the Commission shall be empowered to adopt delegated acts, in accordance with Article 24, to amend Part I of the Annex to review or complement the indicators where considered necessary and to supplement this Regulation with provisions on the establishment of a monitoring and evaluation framework.
3. The performance reporting system shall ensure that data for monitoring programme implementation and results are suitable for an in-depth analysis of the progress achieved, including for climate tracking , collected efficiently, effectively and in a timely manner. To that end, proportionate reporting requirements shall be imposed on recipients of Union funds and, where relevant, Member States.
3a. The Commission shall improve the dedicated internet site to publish in real time a map with the projects in implementation together with relevant data (impact assessments, value, beneficiary, implementing entity, state of play) and shall present biennial progress reports. Those progress reports shall mention the implementation of the Programme, according to its general and sectorial objectives as laid out in Article 3, clarifying whether the different sectors are on the track, if the total budgetary commitment is in line with the total amount allocated, if the on-going projects reached a sufficient degree of completeness, if they are still feasible and convenient to be delivered.
Article 21
Evaluation
1. Evaluations shall be carried out in a timely manner to feed into the decision-making process.
2. The interim evaluation of the Programme shall be performed once there is sufficient information available about the implementation of the Programme, but no later than four years after the start of the programme implementation.
3. At the end of the implementation of the Programme, but no later than four years after the end of the period specified in Article 1, a final evaluation of the Programme shall be carried out by the Commission.
4. The Commission shall communicate the conclusions of the evaluations accompanied by its observations, to the European Parliament, the Council, the European Economic and Social Committee and the Committee of the Regions.
Article 22
Committee procedure
1. The Commission shall be assisted by the CEF Coordination Committee , which can meet in different formations depending on the respective topic. The Committee shall be a committee within the meaning of Regulation (EU) No 182/2011.
2. Where reference is made to this paragraph, Article 5 of Regulation (EU) No 182/2011 shall apply.
Article 23
Delegated acts
1. The Commission shall be empowered to adopt delegated acts in accordance with Article 24 of this Regulation:
(a) |
▌ to establish a monitoring and evaluation framework based on the indicators as set out in ▌ Part I of the Annex ; |
▌
(d) |
to supplement Part IV of the Annex regarding the identification of cross-border projects in the field of renewable energy; to establish and update the list of selected cross–border projects in the field of renewable energy. |
2. Subject to the second paragraph of Article 172 TFEU, the Commission shall be empowered to adopt delegated acts in accordance with Article 24 of this Regulation:
(a) |
to amend Part III of the Annex regarding the definition of the transport core network corridors; and pre-identified sections on the comprehensive network; |
(b) |
to amend Part V of the Annex regarding the identification of digital connectivity projects of common interest. |
Article 24
Exercise of the delegation
1. The power to adopt delegated acts is conferred on the Commission subject to the conditions laid down in this Article.
2. The power to adopt delegated acts referred to in Article 23 shall be conferred on the Commission until 31 December 2028.
3. The delegation of power referred to in Article 23 may be revoked at any time by the European Parliament or by the Council. A decision to revoke shall put an end to the delegation of the power specified in that decision. It shall take effect the day following the publication of the decision in the Official Journal of the European Union or at a later date specified therein. It shall not affect the validity of any delegated acts already in force.
4. Before adopting a delegated act, the Commission shall consult experts designated by each Member State in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016.
5. As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the European Parliament and to the Council.
6. A delegated act adopted pursuant to Article 23 shall enter into force only if no objection has been expressed either by the European Parliament or by the Council within a period of two months of notification of that act to the European Parliament and the Council or if, before the expiry of that period, the European Parliament and the Council have both informed the Commission that they will not object. That period shall be extended by two months at the initiative of the European Parliament or of the Council.
Article 25
Information, communication and publicity
1. The recipients of Union funding shall acknowledge the origin and ensure the visibility of the Union funding (in particular when promoting the actions and their results), by providing coherent, effective and proportionate targeted information to multiple audiences, including the media and the public.
2. The Commission shall implement information and communication actions relating to the Programme, and its actions and results. Financial resources allocated to the Programme shall also contribute to the corporate communication of the political priorities of the Union, as far as they are related to the objectives referred to in Article 3.
2a. Transparency and public consultation shall be ensured in compliance with the applicable Union and national legislation.
Article 26
Protection of the financial interest of the Union
Where a third country participates in the programme by a decision under an international agreement or by virtue of any other legal instrument, the third country shall grant the necessary rights and access required for the authorizing officer responsible, the European Anti-Fraud Office (OLAF), the European Court of Auditors to comprehensively exert their respective competences. In the case of OLAF, such rights shall include the right to carry out investigations, including on-the-spot checks and inspections, provided for in Regulation (EU, Euratom) No 883/2013 of the European Parliament and of the Council concerning investigations conducted by the European Anti-Fraud Office (OLAF).
CHAPTER VI
TRANSITIONAL AND FINAL PROVISIONS
Article 27
Repeal and transitional provisions
1. Regulations (EU) No 1316/2013 and (EU) No 283/2014 shall be repealed.
2. Without prejudice to paragraph 1, this Regulation shall not affect the continuation or modification of the actions concerned, until their closure, pursuant to Regulation (EU) No 1316/2013, which shall continue to apply to the actions concerned until their closure.
The Commission shall evaluate the effectiveness and policy coherence of Regulation (EU) No 347/2013 and submit an evaluation to the European Parliament and to the Council with the result of this review by 31 December 2020. In that evaluation the Commission shall consider, inter alia, the Union energy and climate targets for 2030, the EU long-term decarbonisation commitment, and the energy efficiency first principle. The evaluation may, where appropriate, be accompanied by a legislative proposal to revise that Regulation.
3. The financial envelope for the Programme may also cover technical and administrative assistance expenses necessary to ensure the transition between the Programme and the measures adopted under its predecessor, the Connecting Europe Facility under Regulation (EU) No 1316/2013.
4. If necessary, appropriations may be entered in the budget beyond 2027 to cover the expenses provided for in Article 4(5) of this Regulation, to enable the management of actions not completed by 31 December 2027.
Article 28
Entry into force
This Regulation shall enter into force on the day following that of its publication in the Official Journal of the European Union.
It shall apply from 1 January 2021.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at …,
For the European Parliament
The President
For the Council
The President
(1) OJ C 440, 6.12.2018, p. 191.
(2) OJ C 461, 21.12.2018, p. 173.
(3) Position of the European Parliament of 17 April 2019. The underlined text has not been agreed in the framework of interinstitutional negotiations.
(4) COM(2018)0321, p. 13.
(5) Regulation (EU) No 1315/2013 of the European Parliament and of the Council of 11 December 2013 on Union guidelines for the development of the trans-European transport network and repealing Decision No 661/2010/EU (OJ L 348, 20.12.2013, p. 1).
(6) Commission Communication ‘Europe on the move: An agenda for a socially fair transition towards clean, competitive and connected mobility for all’ (COM(2017)0283).
(7) Directive 2014/94/EU of the European Parliament and of the Council of 22 October 2014 on the deployment of alternative fuels infrastructure (OJ L 307, 28.10.2014, p. 1).
(8) Commission Communication ‘Delivering on low-emission mobility A European Union that protects the planet, empowers its consumers and defends its industry and workers’ (COM(2017)0675).
(9) COM(2018)0293.
(10) JOIN(2017)0041.
(11) JOIN(2018)0005.
(12) Military Requirements for Military Mobility within and beyond the EU (ST 14770/18).
(13) COM(2017)0623.
(14) Regulation (EU) No 347/2013 of the European Parliament and of the Council of 17 April 2013 on guidelines for trans-European energy infrastructure and repealing Decision No 1364/2006/EC and amending Regulations (EC) No 713/2009, (EC) No 714/2009 and (EC) No 715/2009 (OJ L 115, 25.4.2013, p. 39).
(15) COM(2017)0718.
(16) Directive (EU) 2018/2001 of the European Parliament and of the Council of 11 December 2018 on the promotion of the use of energy from renewable sources (OJ L 328, 21.12.2018, p. 82).
(17) Regulation (EU) 2018/1999 of the European Parliament and of the Council of 11 December 2018 on the Governance of the Energy Union and Climate Action, amending Regulations (EC) No 663/2009 and (EC) No 715/2009 of the European Parliament and of the Council, Directives 94/22/EC, 98/70/EC, 2009/31/EC, 2009/73/EC, 2010/31/EU, 2012/27/EU and 2013/30/EU of the European Parliament and of the Council, Council Directives 2009/119/EC and (EU) 2015/652 and repealing Regulation (EU) No 525/2013 of the European Parliament and of the Council (OJ L 328, 21.12.2018, p. 1).
(18) Regulation (EU) No 283/2014 of the European Parliament and of the Council of 11 March 2014 on guidelines for trans-European networks in the area of telecommunications infrastructure and repealing Decision No 1336/97/EC (OJ L 86, 21.3.2014, p. 14).
(19) COM(2016)0587.
(20) Directive (EU) 2018/1972 of the European Parliament and of the Council of 11 December 2018 establishing the European Electronic Communications Code (OJ L 321, 17.12.2018, p. 36).
(21) OJ C 373, 20.12.2013, p. 1.
(22) Regulation (EU, Euratom) No 883/2013 of the European Parliament and of the Council of 11 September 2013 concerning investigations conducted by the European Anti-Fraud Office (OLAF) and repealing Regulation (EC) No 1073/1999 of the European Parliament and of the Council and Council Regulation (Euratom) No 1074/1999 (OJ L 248, 18.9.2013, p. 1).
(23) Council Regulation (EC, Euratom) No 2988/95 of 18 December 1995 on the protection of the European Communities financial interests (OJ L 312, 23.12.1995, p. 1).
(24) Council Regulation (Euratom, EC) No 2185/96 of 11 November 1996 concerning on-the-spot checks and inspections carried out by the Commission in order to protect the European Communities' financial interests against fraud and other irregularities (OJ L 292, 15.11.1996, p. 2).
(25) Council Regulation (EU) 2017/1939 of 12 October 2017 implementing enhanced cooperation on the establishment of the European Public Prosecutor’s Office (‘the EPPO’) (OJ L 283, 31.10.2017, p. 1).
(26) Directive (EU) 2017/1371 of the European Parliament and of the Council of 5 July 2017 on the fight against fraud to the Union's financial interests by means of criminal law (OJ L 198, 28.7.2017, p. 29).
(27) Council Decision 2013/755/EU of 25 November 2013 on the association of the overseas countries and territories with the European Union (‘Overseas Association Decision’) (OJ L 344, 19.12.2013, p. 1).
(28) COM(2018)0065.
(29) Communication from the Commission to the European Parliament, the Council, the European Economic and Social Committee and the Committee of the Regions — Making Public Procurement work in and for Europe (COM(2017)0572).
(30) Interinstitutional Agreement of 13 April 2016 between the European Parliament, the Council of the European Union and the European Commission on Better Law-Making (OJ L 123, 12.5.2016, p. 1).
(31) Regulation (EU) No 182/2011 of the European Parliament and of the Council of 16 February 2011 laying down the rules and general principles concerning mechanisms for control by the Member States of the Commission's exercise of implementing powers (OJ L 55, 28.2.2011, p. 13).
(32) Regulation (EU) No 913/2010 of the European Parliament and of the Council of 22 September 2010 concerning a European rail network for competitive freight (OJ L 276, 20.10.2010, p. 22).
(33) ST 13674/18.
ANNEX
PART I — INDICATORS
The Programme will be monitored closely on the basis of a set of indicators intended to measure the extent to which the general and specific objectives of the Programme have been achieved and with a view to minimising administrative burdens and costs. To that end, data will be collected as regards the following set of key indicators:
Sectors |
Specific Objectives |
Indicators |
Transport |
Efficient, interconnected and mutlimodal networks and infrastructure for smart, interoperable, sustainable, inclusive, accessible, safe and secure mobility |
Number of cross-border and missing links addressed with the support of CEF (including actions relating to urban nodes, regional cross-border rail connections, multimodal platforms, maritime ports, inland ports, connections to airports and rail-road terminals of the TEN-T core and comprehensive network) |
Number of CEF supported actions contributing to the digitalisation of transport , in particular through the deployment of ERTMS, RIS, ITS, VTMIS/e-Maritime services and SESAR |
||
Number of alternative fuel supply points built or upgraded with the support of CEF |
||
Number of CEF supported actions contributing to the safety of transport |
||
Number of CEF actions contributing to transport accessibility for persons with reduced mobility |
||
Number of CEF supported actions contributing to reduce rail freight noise |
||
Adaptation to civilian-military dual use transport infrastructure |
Number of transport infrastructure components adapted to civilian -military dual -use requirements |
|
Energy |
Contribution to interconnectivity and integration of markets |
Number of CEF actions contributing to projects interconnecting MS networks and removing internal constraints |
Security of energy supply |
Number of CEF actions contributing to projects ensuring resilient gas network |
|
Number of CEF actions contributing to the smartening and digitalisation of grids and increasing energy storage capacity |
||
Sustainable development through enabling decarbonisation |
Number of CEF actions contributing to projects enabling increased penetration of renewable energy in the energy systems |
|
Number of CEF actions contributing to cross-border cooperation in the area of renewables |
||
Digital |
Contribution to the deployment of digital connectivity infrastructure throughout the European Union |
New connections to very high capacity networks for socio-economic drivers and very high quality connections for local communities |
Number of CEF actions enabling 5G connectivity along transport paths |
||
Number of CEF actions enabling new connections to very high capacity networks |
||
Number of CEF actions contributing to the digitalisation of energy and transport sectors |
PART II: INDICATIVE PERCENTAGES FOR THE TRANSPORT SECTOR
The budgetary resources referred to in Article 4(2)(a)(i) shall be distributed as follows:
|
60 % for the actions listed at Article 9(2)(a): ‘Actions relating to efficient, interconnected and multimodal networks’; |
|
40 % for the actions listed at Article 9(2)(b): ‘Actions relating to smart, sustainable, inclusive, safe and secure mobility’. |
The budgetary resources referred to in Article 4(2)(a)(ii) shall be distributed as follows:
|
85 % for the actions listed at Article 9(2)(a): ‘Actions relating to efficient, interconnected and multimodal networks’; |
|
15 % for the actions listed at Article 9(2)(b): ‘Actions relating to smart, sustainable, inclusive, safe and secure mobility’. |
For the actions listed at Article 9(2)(a), 85 % of the budgetary resources should be allocated to actions on the core network ▌and 15 % to actions on the comprehensive network.
PART III: TRANSPORT CORE NETWORK CORRIDORS AND CROSS-BORDER LINKS ON THE COMPREHENSIVE NETWORK
1. Core network corridors and indicative list of pre-identified cross-border links and missing links
Core network corridor ‘Atlantic’ |
||
Alignment |
Gijón — León — Valladolid A Coruña — Vigo — Orense — León Zaragoza — Pamplona/Logroño — Bilbao Tenerife/Gran Canaria — Huelva/Sanlúcar de Barrameda — Sevilla — Córdoba Algeciras — Bobadilla — Madrid Sines/Lisboa — Madrid — Valladolid Lisboa — Aveiro — Leixões/Porto — Douro river Shannon Foynes/Dublin/Cork — Le Havre — Rouen — Paris Aveiro — Valladolid — Vitoria-Gasteiz — Bergara — Bilbao/Bordeaux — Toulouse/Tours — Paris — Metz — Mannheim/Strasbourg Shannon Foynes/Dublin/Cork – Saint Nazaire — Nantes — Tours — Dijon |
|
Cross-border links |
Evora — Merida |
Rail |
Vitoria-Gasteiz — San Sebastián — Bayonne — Bordeaux |
||
Aveiro — Salamanca |
||
Douro river (Via Navegável do Douro) |
Inland waterways |
|
Missing links |
Non-UIC gauge interoperable lines on the Iberian Peninsula |
Rail |
Core network corridor ‘Baltic — Adriatic’ |
||
Alignment |
Gdynia — Gdańsk — Katowice/Sławków Gdańsk — Warszawa — Katowice/ Kraków Katowice — Ostrava — Brno — Wien Szczecin/Świnoujście — Poznań — Wrocław — Ostrava Katowice — Bielsko-Biała — Žilina — Bratislava — Wien Wien — Graz– Villach — Udine — Trieste Udine — Venezia — Padova — Bologna — Ravenna — Ancona Graz — Maribor –Ljubljana — Koper/Trieste |
|
Cross-border links |
Katowice/Opole — Ostrava — Brno Katowice — Žilina Bratislava — Wien Graz — Maribor Venezia — Trieste — Divaca — Ljubljana |
Rail |
Katowice — Žilina Brno — Wien |
Road |
|
Missing link s |
Gloggnitz — Mürzzuschlag: Semmering Base tunnel Graz — Klagenfurt: Koralm railway line and tunnel Koper — Divača |
Rail |
Core network corridor ‘Mediterranean’ |
||
Alignment |
Algeciras — Bobadilla –Madrid — Zaragoza — Tarragona Madrid — Valencia — Sagunto — Teruel — Zaragoza Sevilla — Bobadilla — Murcia Cartagena — Murcia — Valencia — Tarragona/Palma de Mallorca — Barcelona Tarragona — Barcelona — Perpignan — Narbonne — Toulouse/Marseille — Genova/Lyon — La Spezia /Torino — Novara — Milano — Bologna/Verona — Padova — Venezia — Ravenna/Trieste/Koper — Ljubljana — Budapest Ljubljana/Rijeka — Zagreb — Budapest — UA border |
|
Cross-border links |
Barcelona — Perpignan |
Rail |
Lyon — Torino: base tunnel and access routes |
||
Nice — Ventimiglia |
||
Venezia — Trieste — Divača — Ljubljana |
||
Ljubljana — Zagreb |
||
Zagreb — Budapest |
||
Budapest — Miskolc — UA border |
||
Lendava — Letenye |
Road |
|
Vásárosnamény — UA border |
||
Missing link s |
Almería — Murcia |
Rail |
Non-UIC gauge interoperable lines on the Iberian Peninsula |
||
Perpignan — Montpellier |
||
Koper — Divača |
||
Rijeka — Zagreb |
||
Milano — Cremona — Mantova — Porto Levante/Venezia — Ravenna/Trieste |
Inland Waterways |
|
Core network corridor ‘North Sea — Baltic’ |
||
Alignment |
Luleå — Helsinki — Tallinn — Riga Ventspils — Riga Riga — Kaunas Klaipeda — Kaunas — Vilnius Kaunas — Warszawa BY border — Warszawa — Łódź/Poznań — Frankfurt/Oder — Berlin — Hamburg — Kiel Łódź — Katowice/Wrocław UA border — Rzeszów — Katowice — Wrocław — Falkenberg — Magdeburg Szczecin/Świnoujście — Berlin — Magdeburg — Braunschweig — Hannover Hannover — Bremen — Bremerhaven/Wilhelmshaven Hannover — Osnabrück — Hengelo — Almelo — Deventer — Utrecht Utrecht — Amsterdam Utrecht — Rotterdam — Antwerpen Hannover/Osnabrück — Köln — Antwerpen |
|
Cross-border links |
Tallinn — Rīga — Kaunas — Warszawa: Rail Baltic new UIC gauge fully interoperable line |
Rail |
Świnoujście/Szczecin — Berlin |
Rail/Inland Waterways |
|
Via Baltica Corridor EE-LV-LT-PL |
Road |
|
Missing link s |
Kaunas — Vilnius : part of Rail Baltic new UIC gauge fully interoperable line |
Rail |
Warszawa/Idzikowice — Poznań/Wrocław, incl. connections to the planned Central Transport Hub |
||
Kiel Kanal |
Inland waterways |
|
Berlin — Magdeburg — Hannover; Mittellandkanal; western German canals |
||
Rhine, Waal |
||
Noordzeekanaal, IJssel, Twentekanaal |
||
Core network corridor ‘North Sea — Mediterranean’ |
||
Alignment |
UK border — Dublin — Shannon Foynes/Cork Shannon Foynes/Dublin/Cork — Le Havre/Calais/ Dunkerque/Zeebrugge/Terneuzen/Gent/ Antwerpen/Rotterdam/Amsterdam ▌ ▌ UK border — Lille — Brussel/Bruxelles Amsterdam — Rotterdam — Antwerp — Brussel/Bruxelles — Luxembourg Luxembourg — Metz — Dijon — Macon — Lyon — Marseille Luxembourg — Metz — Strasbourg — Basel Antwerpen/Zeebrugge — Gent — Calais/Dunkerque/Lille — Paris– Rouen — Le Havre |
|
Cross-border links |
Brussel/Bruxelles — Luxembourg — Strasbourg |
Rail |
Terneuzen — Gent |
Inland waterways |
|
Seine — Escaut Network and the related Seine, Escaut and Meuse river basins |
||
Rhine-Scheldt corridor |
||
Missing link s |
Albertkanaal/ Canal Albert and Canal Bocholt-Herentals ▌ |
Inland waterways |
Core network corridor ‘Orient/East-Med’ |
||
Alignment |
Hamburg — Berlin Rostock — Berlin — Dresden Bremerhaven/Wilhelmshaven — Magdeburg — Dresden Dresden — Ústí nad Labem — Mělník/Praha — Lysá nad Labem/Poříčany — Kolín Kolín — Pardubice — Brno — Wien/Bratislava — Budapest — Arad — Timişoara — Craiova — Calafat — Vidin — Sofia Sofia — RS border/North Macedonia border Sofia — Plovdiv — Burgas/ TR border ▌TR border — Alexandropouli — Kavala — Thessaloniki — Ioannina — Kakavia/Igoumenitsa North Macedonia border — Thessaloniki Sofia — Thessaloniki — Athina — Piraeus/Ikonio — Heraklion — Lemesos (Vasiliko) — Lefkosia/ Larnaka Athina — Patras/Igoumenitsa |
|
Cross-border links |
Dresden — Praha/ Kolín |
Rail |
Wien/Bratislava — Budapest |
||
Békéscsaba — Arad — Timişoara |
||
Craiova — Calafat — Vidin — Sofia — Thessaloniki |
||
Sofia — RS border/ North Macedonia border |
||
TR border — Alexandropouli |
||
North Macedonia border — Thessaloniki |
||
Ioannina — Kakavia (AL border) |
Road |
|
Drobeta Turnu Severin/Craiova — Vidin — Montana |
||
Sofia — RS border |
||
Hamburg — Dresden — Praha — Pardubice |
Inland waterways |
|
▌ |
▌ |
|
Core network corridor ‘Rhine — Alpine’ |
||
Alignment |
Genova — Milano — Lugano — Basel Genova — Novara — Brig — Bern — Basel — Karlsruhe — Mannheim — Mainz — Koblenz — Köln Köln — Düsseldorf — Duisburg — Nijmegen/Arnhem — Utrecht — Amsterdam Nijmegen — Rotterdam — Vlissingen Köln — Liège — Bruxelles/Brussel — Gent Liège — Antwerpen — Gent — Zeebrugge |
|
Cross-border links |
Zevenaar — Emmerich — Oberhausen |
Rail |
Karlsruhe — Basel |
||
Milano/Novara — CH border |
||
Basel — Antwerpen/Rotterdam — Amsterdam |
Inland waterways |
|
Missing link s |
Genova — Tortona/Novi Ligure |
Rail |
|
Zeebrugge — Gent |
|
Core network corridor ‘Rhine — Danube’ |
||
Alignment |
Strasbourg — Stuttgart — München — Wels/Linz Strasbourg — Mannheim — Frankfurt — Würzburg — Nürnberg — Regensburg — Passau — Wels/Linz München/Nürnberg — Praha — Ostrava/Přerov — Žilina — Košice — UA border Wels/Linz — Wien — Bratislava — Budapest — Vukovar Wien/Bratislava — Budapest — Arad — Moravita/ Brašov/Craiova — Bucurešti — Giurgiu/ Constanta — Sulina |
|
Cross-border links |
München — Praha |
Rail |
Nürnberg — Plzeň |
||
München — Mühldorf — Freilassing — Salzburg |
||
Strasbourg — Kehl Appenweier |
||
Hranice — Žilina |
||
Košice — UA border |
||
Wien — Bratislava/Budapest |
||
Bratislava — Budapest |
||
Békéscsaba — Arad – Timişoara — RS border |
||
Bucurešti — Giurgiu — Rousse |
||
Danube (Kehlheim — Constanța/Midia/Sulina) and the related Váh, Sava and Tisza river basins |
Inland Waterways |
|
Zlín — Žilina |
Road |
|
|
Timişoara — RS border |
Road |
Missing link s |
Stuttgart — Ulm |
Rail |
Salzburg — Linz |
||
▌Craiova — București |
||
Arad — Sighişoara — Brasov — Predeal |
||
Core network corridor ‘Scandinavian — Mediterranean’ |
||
Alignment |
RU border — Hamina/Kotka — Helsinki — Turku/Naantali — Stockholm — Örebro (Hallsberg)/Linköping — Malmö Narvik/Oulu — Luleå — Umeå — Stockholm /Örebro(Hallsberg) Oslo — Goteburg — Malmö — Trelleborg Malmö — København — Fredericia — Aarhus — Aalborg — Hirtshals/Frederikshavn København — Kolding/Lübeck — Hamburg — Hannover Bremerhaven — Bremen — Hannover — Nürnberg Rostock — Berlin — Halle /Leipzig — Erfurt – München Nürnberg — München — Innsbruck — Verona — Bologna — Ancona/Firenze Livorno/La Spezia — Firenze — Roma — Napoli — Bari — Taranto — Valletta /Marsaxlokk Cagliari – Napoli — Gioia Tauro — Palermo/Augusta — Valletta /Marsaxlokk |
|
Cross-border links |
RU border — Helsinki |
Rail |
København — Hamburg: Fehmarn belt fixed link access routes |
||
München — Wörgl — Innsbruck — Fortezza — Bolzano — Trento — Verona: Brenner base tunnel and its access routes |
||
Göteborg — Oslo |
||
København — Hamburg: Fehmarn belt fixed link |
Rail/Road |
2. Indicative list of pre-identified cross-border links on the comprehensive network
The cross-border sections of the comprehensive network referred to at Article 9(2)(a)(ii) of this Regulation include notably the following sections:
Dublin/Letterkenny – UK border |
Road |
Pau — Huesca |
Rail |
Lyon — CH border |
Rail |
Athus — Mont-Saint-Martin |
Rail |
Breda — Venlo — Viersen — Duisburg |
Rail |
Antwerpen — Duisburg |
Rail |
Mons — Valenciennes |
Rail |
Gent — Terneuzen |
Rail |
Heerlen — Aachen |
Rail |
Groningen — Bremen |
Rail |
Stuttgart — CH border |
Rail |
Gallarate/Sesto Calende — CH border |
Rail |
Berlin — Rzepin/Horka — Wrocław |
Rail |
Praha — Linz |
Rail |
Villach — Ljubljana |
Rail |
Pivka — Rijeka |
Rail |
Plzeň — České Budějovice — Wien |
Rail |
Wien — Győr |
Rail |
Graz — Celldömölk — Győr |
Rail |
Neumarkt-Kallham — Mühldorf |
Rail |
Amber Corridor PL–SK–HU |
Rail |
Via Carpathia Corridor BY/UA border-PL–SK–HU–RO |
Road |
Focșani — MD border |
Road |
Budapest — Osijek — Svilaj (BiH border) |
Road |
Faro — Huelva |
Rail |
Porto — Vigo |
Rail |
Giurgiu — Varna ▌ |
Rail |
Svilengrad — Pithio |
Rail |
3. |
Components of the comprehensive network located in Member States which do not have a land border with another Member State. |
PART IV: IDENTIFICATION OF CROSS-BORDER PROJECTS IN THE FIELD OF RENEWABLE ENERGY
1. Objective of cross-border projects in the field of renewable energy
Cross-border projects in the field of renewable energy shall promote the cross-border cooperation between Member States in the field of planning, development and cost-effective exploitation of renewable energy sources , as well as facilitate their integration through energy storage facilities and with the aim of contributing to the Union’s long term decarbonisation strategy.
2. General criteria
In order to qualify as a cross-border project in the field of renewable energy, a project shall meet all of the following general criteria:
(a) |
it shall be included in a cooperation agreement or any other kind of arrangement between at least two Member States and/or between at least one Member State and a third country or countries as set out in Articles 8, 9, 11 and 13 of Directive (EU) 2018/2001 ; |
(b) |
it shall provide cost savings in the deployment of renewables and/or benefits for system integration, security of supply or innovation in comparison to a similar project or renewable energy project implemented by one of the participating Member States alone; |
(c) |
the potential overall benefits of cooperation outweigh its costs, including in the longer term, as assessed on the basis of the cost-benefit analysis as referred to in point 3 and applying the methodology referred to in Article [7]. |
3. Cost-benefit analysis
(a) |
costs of electricity generation; |
(b) |
system integration costs; |
(c) |
cost of support; |
(d) |
greenhouse gas emissions; |
(e) |
security of supply; |
(f) |
air and other local pollution , such as effects on local nature and the environment; |
(g) |
innovation. |
4. Process
(1) |
Promoters of a project, including Member States, potentially eligible for selection as a cross-border project in the field of renewable energy under a cooperation agreement or any other kind of arrangement between at least two Member States and/or between at least one Member State and a third country or countries as set out in Articles 8, 9, 11 and 13 of Directive (EU) 2018/2001 and seeking to obtain the status of cross-border projects in the field of renewable energy, shall submit an application for selection as a cross-border projects in the field of renewable energy to the Commission. The application shall include the relevant information to allow the Commission to evaluate the project against the criteria laid down in points 2 and 3, in line with the methodologies referred to in Article 7. The Commission shall ensure that promoters are given the opportunity to apply for the status of cross-border projects in the field of renewable energy at least once a year. |
(2) |
The Commission shall set up and chair a group for cross-border-projects in the field of renewables, composed of one representative of each Member State and one from the Commission. The group shall adopt its own rules of procedure. |
(3) |
At least once a year, the Commission shall organise the process for selection as cross-border projects and, following evaluation, and submit to the group mentioned in paragraph 3 a list of eligible projects in the field of renewable energy that comply with the criteria set out in Article 7 and paragraph 5 to the group. |
(4) |
The group referred to in paragraph 3 shall be given relevant information, unless commercially sensitive, on the eligible projects included in the list submitted by the Commission regarding the following criteria:
|
(5) |
The group may invite to its meetings, as appropriate, promoters of eligible projects, third countries involved in eligible projects and any other relevant stakeholders. |
(6) |
On the basis of the evaluation results, the group shall agree on a draft list of projects to become cross-border projects in the field of renewable energy to be adopted in accordance with paragraph 8. |
(7) |
The Commission shall adopt the final list of selected cross-border projects in the field of renewable energy by delegated act on the basis of a draft list referred to in paragraph (7) and taking into account paragraph (10), and shall publish on its website the list of selected cross-border projects in the field of renewable energy. This list shall be reviewed as necessary at least every two years. |
(8) |
The group shall monitor the implementation of the projects on the final list and make recommendations on how to overcome possible delays in their implementation. For this purpose, project promoters of the selected projects shall provide information on the implementation of their projects. |
(9) |
The Commission shall, when selecting the cross-border projects in the field of renewable energy, aim ▌ to ensure an appropriate geographical balance in the identification of such projects ▌. Regional groupings may be used for the identification of projects. |
(10) |
A project shall not be selected as a cross-border projects in the field of renewable energy, or have the status withdrawn, if its evaluation was based on incorrect information which was a determining factor in the evaluation, or if the project does not comply with Union law. |
▌
PART V — DIGITAL CONNECTIVITY INFRASTRUCTURE PROJECTS OF COMMON INTEREST
1. Gigabit connectivity including 5G and other state-of-the-art to socio-economic drivers.
Actions shall be prioritised taking into account the function of the socio-economic drivers, the relevance of the digital services and applications enabled by providing the underlying connectivity, and the potential socio-economic benefits to citizens, business and local communities, including the additional area coverage generated, including households . The available budget shall be allocated in a geographically balanced manner across Member States.
Priority shall be given to actions contributing to Gigabit including 5G and other state-of-art connectivity for :
— |
▌hospitals and medicals centres, in line with the efforts to digitalise the healthcare system, with a view to increasing the well-being of EU citizens and changing the way health and care services are delivered to patients (1); |
— |
▌education and research centres, in the context of the efforts to facilitate the use of inter alia high-speed computing, cloud applications and big data, close digital divides and to innovate in education systems, to improve learning outcomes, enhance equity and improve efficiency (2); |
— |
uninterrupted 5G wireless broadband coverage to all urban areas by 2025. |
2. Wireless connectivity in local communities
Actions aiming at the provision of local wireless connectivity that is free of charge and without discriminatory conditions in centres of local public life, including outdoor spaces accessible to the general public that play a major role in the public life of local communities shall be subject to the following conditions in order to receive funding:
— |
are implemented by a public sector body as referred to in the paragraph below which is capable of planning and supervising the installation, as well as ensuring for a minimum of three years the financing of operating costs, of indoor or outdoor local wireless access points in public spaces; |
— |
build on very high capacity digital networks enabling delivery of very high quality internet experience to users that: |
— |
is free of charge and without discriminatory conditions, easy to access, secured, and uses most recent and best available equipment, capable of delivering high-speed connectivity to its users; and |
— |
supports widespread and non-discriminatory access to innovative digital services; |
— |
use the common visual identity to be provided by the Commission and link to the associated multi-lingual online tools; |
— |
in view of achieving synergies and increasing capacity and improving user experience, these actions shall facilitate the deployment of 5G ready small-area wireless access points, as defined in Directive EU/2018/1972; |
— |
commit to procure the necessary equipment and/or related installation services in accordance with applicable law to ensure that projects do not unduly distort competition. |
Financial assistance shall be available to public sector bodies as defined in point (1) of Article 3 of Directive (EU) 2016/2102 of the European Parliament and of the Council (3) undertaking to provide, in accordance with national law, local wireless connectivity that is free of charge and without discriminatory conditions through the installation of local wireless access points.
Funded actions shall not duplicate existing free private or public offers of similar characteristics, including quality, in the same public space.
The available budget shall be allocated in a geographically balanced manner across Member States.
Wherever relevant, coordination and coherence will be ensured with CEF actions supporting access of socio-economic drivers to very high capacity networks capable of providing Gigabit including 5G and other state-of-the-art connectivity.
3. Indicative list of 5G corridors and cross-border backbone connections eligible for funding
In line with the Gigabit society objectives set out by the Commission to ensure that major terrestrial transport paths have uninterrupted 5G coverage by 2025 (4), actions implementing uninterrupted coverage with 5G systems pursuant to Article 9(4)(c) include, as a first step, actions on the cross-border sections for CAM (5) experimentation, and, as a second step, actions on more extensive sections in view of a larger scale deployment of CAM along the corridors, as indicated in the table below (indicative list). The TEN-T corridors are used as a basis for this purpose but the deployment of 5G is not necessarily confined to those corridors (6).
Furthermore, actions supporting deployment of backbone networks, including with submarine cables across Member States and between the Union and thrid countries or connecting European islands, pursuant to Article 9(4)(d), are also supported in order to provide necessary redundancy for such vital infrastructure, and to increase the capacity and resilience of the Union's digital networks.
Core network corridor ‘Atlantic’ |
|
Cross-border sections for CAM experimentation |
Porto — Vigo |
Merida — Evora |
|
Paris — Amsterdam — Frankfurt |
|
Aveiro — Salamanca |
|
San Sebastian — Biarritz |
|
More extensive section for larger scale deployment of CAM |
Metz — Paris — Bordeaux — Bilbao — Vigo — Porto — Lisbon |
Bilbao — Madrid — Lisbon |
|
Madrid — Merida — Sevilla — Tarifa |
|
Deployment of backbone networks, including with submarine cables |
Azores/Madeira Islands — Lisbon |
Core network corridor ‘Baltic — Adriatic’ |
|
Cross-border sections for CAM experimentation |
|
More extensive section for larger scale deployment of CAM |
Gdansk — Warsaw — Brno — Vienna — Graz — Ljubljana — Koper/ Trieste |
Core network corridor ‘Mediterranean’ |
|
Cross-border sections for CAM experimentation |
|
More extensive section for larger scale deployment of CAM |
Budapest — Zagreb — Ljubljana — Rijeka — Split - Dubrovnik |
Ljubljana — Zagreb — Slavonski Brod — Bajakovo (border with Serbia) |
|
Slavonski Brod — Đakovo — Osijek |
|
Montpellier — Narbonne — Perpignan — Barcelona — Valencia — Malaga — Tarifa with an extension to Narbonne — Toulouse |
|
Deployment of backbone networks, including with submarine cables |
Submarine cable networks Lisbon — Marseille — Milan |
Core network corridor ‘North Sea — Baltic’ |
|
Cross-border sections for CAM experimentation |
Warsaw — Kaunas — Vilnius |
Kaunas — Klaipėda |
|
More extensive section for larger scale deployment of CAM |
Tallinn — Riga – Kaunas – LT/PL border — Warsaw |
BY/LT border — Vilnius — Kaunas — Klaipėda |
|
Via Carpathia: Klaipėda — Kaunas — Ełk — Białystok — Lublin — Rzeszów — Barwinek — Košice |
|
Core network corridor ‘North Sea — Mediterranean’ |
|
Cross-border sections for CAM experimentation |
Metz — Merzig — Luxembourg |
Rotterdam — Antwerp — Eindhoven |
|
More extensive section for larger scale deployment of CAM |
Amsterdam — Rotterdam — Breda — Lille — Paris |
Brussels — Metz — Basel |
|
Mulhouse — Lyon — Marseille |
|
Core network corridor ‘Orient/East-Med’ |
|
Cross-border sections for CAM experimentation |
Sofia — Thessaloniki — Belgrade |
More extensive section for larger scale deployment of CAM |
Berlin — Prague — Brno — Bratislava — Timisoara — Sofia — TR border |
Bratislava – Košice |
|
Sofia — Thessaloniki — Athens |
|
Core network corridor ‘Rhine — Alpine’ |
|
Cross-border sections for CAM experimentation |
Bologna — Innsbrück — München (Brenner corridor) |
More extensive section for larger scale deployment of CAM |
Rotterdam — Oberhausen — Frankfurt (M) |
Basel — Milan — Genova |
|
Core network corridor ‘Rhine — Danube’ |
|
Cross-border sections for CAM experimentation |
|
More extensive section for larger scale deployment of CAM |
Frankfurt (M) — Passau — Wien — Bratislava – Budapest — Osijek — Vukovar – Bucharest — Constanta |
Bucharest — Iasi |
|
Karlsruhe — München — Salzburg — Wels |
|
Frankfurt (M) — Strasbourg |
|
Core network corridor ‘Scandinavian — Mediterranean’ |
|
Cross-border sections for CAM experimentation |
Oulu — Tromsø Oslo — Stockholm — Helsinki |
More extensive section for larger scale deployment of CAM |
Turku — Helsinki — Russian border |
Oslo — Malmo — Copenhagen — Hamburg — Würzburg — Nürnberg — München — Rosenheim — Verona — Bologna — Napoli — Catania — Palermo |
|
Stockholm — Malmo |
|
Napoli — Bari — Taranto |
|
Aarhus — Esbjerg — Padborg |
(1) See also: Commission Communication on enabling the digital transformation of health and care in the Digital Single Market; empowering citizens and building a healthier society (COM(2018)0233).
(2) See also: Commission Communication on the Digital Education Action Plan (COM(2018)0022).
(3) Directive (EU) 2016/2102 of the European Parliament and of the Council of 26 October 2016 on the accessibility of websites and mobile applications of public sector bodies (OJ L 327, 2.12.2016, p. 1).
(4) Connectivity for a Competitive Digital Single Market — Towards a European Gigabit Society (COM(2016)0587).
(5) Connected and Automated Mobility.
(6) Sections in italics are located outside of the TEN-T core network corridors but included in the 5G corridors.
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/932 |
P8_TA(2019)0421
Tackling the dissemination of terrorist content online ***I
European Parliament legislative resolution of 17 April 2019 on the proposal for a regulation of the European Parliament and of the Council on preventing the dissemination of terrorist content online (COM(2018)0640 — C8-0405/2018 — 2018/0331(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/68)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2018)0640), |
— |
having regard to Article 294(2) and Article 114 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0405/2018), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
having regard to the reasoned opinion submitted, within the framework of Protocol No 2 on the application of the principles of subsidiarity and proportionality, by the Czech Chamber of Deputies, asserting that the draft legislative act does not comply with the principle of subsidiarity, |
— |
having regard to the opinion of the European Economic and Social Committee of 12 December 2018 (1), |
— |
having regard to Rule 59 of its Rules of Procedure, |
— |
having regard to the report of the Committee on Civil Liberties, Justice and Home Affairs and also the opinions of the Committee on Culture and Education and the Committee on the Internal Market and Consumer Protection (A8-0193/2019), |
1. |
Adopts its position at first reading hereinafter set out; |
2. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
3. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
P8_TC1-COD(2018)0331
Position of the European Parliament adopted at first reading on 17 April 2019 with a view to the adoption of Regulation (EU) 2019/… of the European Parliament and of the Council on preventing tackling the dissemination of terrorist content online [Am. 1]
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on the Functioning of the European Union, and in particular Article 114 thereof,
Having regard to the proposal from the European Commission,
After transmission of the draft legislative act to the national parliaments,
Having regard to the opinion of the European Economic and Social Committee (1),
Acting in accordance with the ordinary legislative procedure (2),
Whereas:
(1) |
This Regulation aims at ensuring the smooth functioning of the digital single market in an open and democratic society, by preventing tackling the misuse of hosting services for terrorist purposes and contributing to public security in European societies . The functioning of the digital single market should be improved by reinforcing legal certainty for hosting service providers, reinforcing users' trust in the online environment, and by strengthening safeguards to the freedom of expression and , the freedom to receive and impart information and ideas in an open and democratic society and the freedom and pluralism of the media . [Am. 2] |
(1a) |
Regulation of hosting service providers can only complement Member States’ strategies to address terrorism, which must emphasise offline measures such as investment in social work, de-radicalisation initiatives and engagement with affected communities to achieve a sustainable prevention of radicalisation in society. [Am. 3] |
(1b) |
Terrorist content is part of a broader problem of illegal content online, which includes other forms of content such as child sexual exploitation, illegal commercial practises and breaches of intellectual property. Trafficking in illegal content is often undertaken by terrorist and other criminal organisations to launder and raise seed money to finance their operations. This problem requires a combination of legislative, non-legislative and voluntary measures based on collaboration between authorities and providers, in the full respect for fundamental rights. Though the threat of illegal content has been mitigated by successful initiatives such as the industry-led Code of Conduct on countering illegal hate speech online and the WePROTECT Global Alliance to end child sexual abuse online, it is necessary to establish a legislative framework for cross-border cooperation between national regulatory authorities to take down illegal content. [Am. 4] |
(2) |
Hosting service providers active on the internet play an essential role in the digital economy by connecting business and citizens , providing learning opportunities and by facilitating public debate and the distribution and receipt of information, opinions and ideas, contributing significantly to innovation, economic growth and job creation in the Union. However, their services are in certain cases abused by third parties to carry out illegal activities online. Of particular concern is the misuse of hosting service providers by terrorist groups and their supporters to disseminate terrorist content online in order to spread their message, to radicalise and recruit and to facilitate and direct terrorist activity. [Am. 5] |
(3) |
While not the only factor, the presence of terrorist content online has proven to be a catalyst for the radicalisation of individuals who have committed terrorist acts, and therefore has serious negative consequences for users, for citizens and society at large as well as for the online service providers hosting such content, since it undermines the trust of their users and damages their business models. In light of their central role and proportionate to the technological means and capabilities associated with the services they provide, online service providers have particular societal responsibilities to protect their services from misuse by terrorists and to help competent authorities to tackle terrorist content disseminated through their services , whilst taking into account the fundamental importance of the freedom of expression and freedom to receive and impart information and ideas in an open and democratic society . [Am. 6] |
(4) |
Efforts at Union level to counter terrorist content online commenced in 2015 through a framework of voluntary cooperation between Member States and hosting service providers need to be complemented by a clear legislative framework in order to further reduce accessibility to terrorist content online and adequately address a rapidly evolving problem. This legislative framework seeks to build on voluntary efforts, which were reinforced by the Commission Recommendation (EU) 2018/334 (3) and responds to calls made by the European Parliament to strengthen measures to tackle illegal and harmful content in line with the horizontal framework established by Directive 2000/31/EC and by the European Council to improve the automatic detection and removal of content that incites to terrorist acts. [Am. 7] |
(5) |
The application of this Regulation should not affect the application of Article 14 of Directive 2000/31/EC (4). In particular, any measures taken by the hosting service provider in compliance with this Regulation, including any proactive measures, should not in themselves lead to that service provider losing the benefit of the liability exemption provided for in that provision. This Regulation leaves unaffected the powers of national authorities and courts to establish liability of hosting service providers in specific cases where the conditions under Article 14 of Directive 2000/31/EC for liability exemption are not met. [Am. 8] |
(6) |
Rules to prevent tackle the misuse of hosting services for the dissemination of terrorist content online in order to guarantee the smooth functioning of the internal market are set out in this Regulation in full and should fully respect of the fundamental rights protected in the Union's legal order and notably those guaranteed in the Charter of Fundamental Rights of the European Union. [Am. 9] |
(7) |
This Regulation contributes seeks to contribute to the protection of public security while establishing and should establish appropriate and robust safeguards to ensure protection of the fundamental rights at stake. This includes the rights to respect for private life and to the protection of personal data, the right to effective judicial protection, the right to freedom of expression, including the freedom to receive and impart information, the freedom to conduct a business, and the principle of non-discrimination. Competent authorities and hosting service providers should only adopt measures which are necessary, appropriate and proportionate within a democratic society, taking into account the particular importance accorded to the freedom of expression and , the freedom to receive and impart information and ideas , the rights to respect for private and family life and the protection of personal data which constitute one of the essential foundations of a pluralist, democratic society, and is one of are the values on which the Union is founded. Any Measures measures constituting should avoid interference in the freedom of expression and information and insofar as possible should be strictly targeted, in the sense that they must serve to prevent tackle the dissemination of terrorist content through a strictly targeted approach , but without thereby affecting the right to lawfully receive and impart information, taking into account the central role of hosting service providers in facilitating public debate and the distribution and receipt of facts, opinions and ideas in accordance with the law. Effective online counterterrorism measures and the protection of freedom of expression are not conflicting, but complementary and mutually reinforcing goals. [Am. 10] |
(8) |
The right to an effective remedy is enshrined in Article 19 TEU and Article 47 of the Charter of Fundamental Rights of the European Union. Each natural or legal person has the right to an effective judicial remedy before the competent national court against any of the measures taken pursuant to this Regulation, which can adversely affect the rights of that person. The right includes, in particular the possibility for hosting service providers and content providers to effectively contest the removal orders before the court of the Member State whose authorities issued the removal order and the possibilities for content providers to contest the specific measures taken by the hosting provider . [Am. 11] |
(9) |
In order to provide clarity about the actions that both hosting service providers and competent authorities should take to prevent tackle the dissemination of terrorist content online, this Regulation should establish a definition of terrorist content for preventative purposes drawing on the definition of terrorist offences under Directive (EU) 2017/541 of the European Parliament and of the Council (5). Given the need to address tackle the most harmful terrorist propaganda content online, the definition should capture material and information that incites, encourages or solicits advocates the commission or contribution to of terrorist offences, provides instructions for the commission of such offences or promotes the participation in activities of a terrorist group thereby causing danger that one or more such offences may be committed intentionally . The definition should also cover content that provides guidance for the making and the use of explosives, firearms, any other weapons, noxious or hazardous substances as well as Chemical, Biological, Radiological and Nuclear (CBRN) substances and any guidance on other methods and techniques, including the selection of targets, for the purpose of committing terrorist offences . Such information includes in particular text, images, sound recordings and videos. When assessing whether content constitutes terrorist content within the meaning of this Regulation, competent authorities as well as hosting service providers should take into account factors such as the nature and wording of the statements, the context in which the statements were made and their potential to lead to harmful consequences, thereby affecting the security and safety of persons. The fact that the material was produced by, is attributable to or disseminated on behalf of an EU-listed terrorist organisation or person constitutes an important factor in the assessment. Content disseminated for educational, journalistic or research purposes or for awareness-raising purposes against terrorist activity should be adequately protected. Especially in cases where the content provider holds an editorial responsibility, any decision as to the removal of the disseminated material should take into account the journalistic standards established by press or media regulation consistent with the law of the Union and the Charter of Fundamental Rights. Furthermore, the expression of radical, polemic or controversial views in the public debate on sensitive political questions should not be considered terrorist content. [Am. 12] |
(10) |
In order to cover those online hosting services where terrorist content is disseminated, this Regulation should apply to information society services which store information provided by a recipient of the service at his or her request and in making the information stored available to third parties the public , irrespective of whether this activity is of a mere technical, automatic and passive nature. By way of example such providers of information society services include social media platforms, video streaming services, video, image and audio sharing services, file sharing and other cloud services to the extent they make the information available to third parties the public and websites where users can make comments or post reviews. The Regulation should also apply to hosting service providers established outside the Union but offering services within the Union, since a significant proportion of hosting service providers exposed to terrorist content on their services are established in third countries. This should ensure that all companies operating in the Digital Single Market comply with the same requirements, irrespective of their country of establishment. The determination as to whether a service provider offers services in the Union requires an assessment whether the service provider enables legal or natural persons in one or more Member States to use its services. However, the mere accessibility of a service provider’s website or of an email address and of other contact details in one or more Member States taken in isolation should not be a sufficient condition for the application of this Regulation. It should not apply to cloud services, including business-to-business cloud services, with respect to which the service provider has no contractual rights concerning what content is stored or how it is processed or made publicly available by its customers or by the end-users of such customers, and where the service provider has no technical capability to remove specific content stored by their customers or the end-users of their services. [Am. 13] |
(11) |
A substantial connection to the Union should be relevant to determine the scope of this Regulation. Such a substantial connection to the Union should be considered to exist where the service provider has an establishment in the Union or, in its absence, on the basis of the existence of a significant number of users in one or more Member States, or the targeting of activities towards one or more Member States. The targeting of activities towards one or more Member States can be determined on the basis of all relevant circumstances, including factors such as the use of a language or a currency generally used in that Member State, or the possibility of ordering goods or services. The targeting of activities towards a Member State could also be derived from the availability of an application in the relevant national application store, from providing local advertising or advertising in the language used in that Member State, or from the handling of customer relations such as by providing customer service in the language generally used in that Member State. A substantial connection should also be assumed where a service provider directs its activities towards one or more Member State as set out in Article 17(1)(c) of Regulation (EU) No 1215/2012 of the European Parliament and of the Council (6). On the other hand, provision of the service in view of mere compliance with the prohibition to discriminate laid down in Regulation (EU) 2018/302 of the European Parliament and of the Council (7) cannot, on that ground alone, be considered as directing or targeting activities towards a given territory within the Union. [Am. 14] |
(12) |
Hosting service providers should apply certain duties of care, in order to prevent tackle the dissemination of terrorist content on their services to the public . These duties of care should not amount to a general monitoring obligation on hosting service providers to monitor the information which they store, nor to a general obligation to actively seek facts or circumstances indicating illegal activity . Duties of care should include that, when applying this Regulation, hosting services providers act in a transparent, diligent, proportionate and non-discriminatory manner in respect of content that they store, in particular when implementing their own terms and conditions, with a view to avoiding removal of content which is not terrorist. The removal or disabling of access has to be undertaken in the observance of freedom of expression and , the freedom to receive and impart information and ideas in an open and democratic society and the freedom and pluralism of the media . [Am. 15]. |
(13) |
The procedure and obligations resulting from legal removal orders requesting hosting service providers to remove terrorist content or disable access to it, following an assessment by the competent authorities, should be harmonised. Member States should remain free as to the choice of the competent authorities allowing them to designate a judicial authority or a functionally independent administrative, or law enforcement or judicial authorities authority with that task. Given the speed at which terrorist content is disseminated across online services, this provision imposes obligations on hosting service providers to ensure that terrorist content identified in the removal order is removed or access to it is disabled within one hour from receiving the removal order. It is for the hosting service providers to decide whether to remove the content in question or disable access to the content for users in the Union. [Am. 16] |
(14) |
The competent authority should transmit the removal order directly to the addressee and contact point of contact of the hosting service provider and where the hosting service provider’s main establishment is in another Member State, to the competent authority of that Member State by any electronic means capable of producing a written record under conditions that allow the service provider to establish authenticity, including the accuracy of the date and the time of sending and receipt of the order, such as by secured email and platforms or other secured channels, including those made available by the service provider, in line with the rules protecting personal data. This requirement may notably be met by the use of qualified electronic registered delivery services as provided for by Regulation (EU) No 910/2014 of the European Parliament and of the Council (8). [Am. 17] |
(15) |
Referrals by the competent authorities or Europol constitute an effective and swift means of making hosting service providers aware of specific content on their services. This mechanism of alerting hosting service providers to information that may be considered terrorist content, for the provider’s voluntary consideration of the compatibility its own terms and conditions, should remain available in addition to removal orders. It is important that hosting service providers assess such referrals as a matter of priority and provide swift feedback about action taken. The ultimate decision about whether or not to remove the content because it is not compatible with their terms and conditions remains with the hosting service provider. In implementing this Regulation related to referrals, Europol’s mandate as laid down in Regulation (EU) 2016/794 (9) remains unaffected. [Am. 18] |
(16) |
Given the scale and speed necessary for effectively identifying and removing terrorist content, proportionate proactive specific measures, including by using automated means in certain cases, are an essential element in tackling terrorist content online. With a view to reducing the accessibility of terrorist content on their services, hosting service providers should assess whether it is appropriate to take proactive specific measures depending on the risks and level of exposure to terrorist content as well as to the effects on the rights of third parties and the public interest of to receive and impart information , in particular where there is a substantial level of exposure to terrorist content and receipt of removal orders . Consequently, hosting service providers should determine what appropriate , targeted , effective and proportionate proactive specific measure should be put in place. This requirement should not imply a general monitoring obligation. Those specific measures may include regular reporting to the competent authorities, increase of human resources dealing with measures to protect the services against public dissemination of terrorist content, and exchange of best practices. In the context of this assessment, the absence of removal orders and referrals addressed to a hosting provider, is an indication of a low level of exposure to terrorist content. [Am. 19] |
(17) |
When putting in place proactive specific measures, hosting service providers should ensure that users’ right to freedom of expression and information — including to freely freedom to receive and impart information — and ideas in an open and democratic society is preserved. In addition to any requirement laid down in the law, including the legislation on protection of personal data, hosting service providers should act with due diligence and implement safeguards, including notably human oversight and verifications, where appropriate, to avoid any unintended and erroneous decision leading to removal of content that is not terrorist content. This is of particular relevance when hosting service providers use automated means to detect terrorist content. Any decision to use automated means, whether taken by the hosting service provider itself or pursuant to a request by the competent authority, should be assessed with regard to the reliability of the underlying technology and the ensuing impact on fundamental rights. [Am. 20] |
(18) |
In order to ensure that hosting service providers exposed to terrorist content take appropriate measures to prevent the misuse of their services, the competent authorities authority should request hosting service providers having received a substantial number of final removal order, which has become final orders , to report on the proactive specific measures taken. These could consist of measures to prevent the re-upload of terrorist content, removed or access to it disabled as a result of a removal order or referrals they received, checking against publicly or privately-held tools containing known terrorist content. They may also employ the use of reliable technical tools to identify new terrorist content, either using those available on the market or those developed by the hosting service provider. The service provider should report on the specific proactive measures in place in order to allow the competent authority to judge whether the measures are necessary, effective and proportionate and whether, if automated means are used, the hosting service provider has the necessary abilities for human oversight and verification. In assessing the effectiveness , necessity and proportionality of the measures, competent authorities should take into account relevant parameters including the number of removal orders and referrals issued to the provider, their size and economic capacity and the impact of its service in disseminating terrorist content (for example, taking into account the number of users in the Union) , as well as the safeguards put in place to protect the freedom of expression and information and the number of incidents of restrictions on legal content . [Am. 21] |
(19) |
Following the request, the competent authority should enter into a dialogue with the hosting service provider about the necessary proactive specific measures to be put in place. If necessary, the competent authority should impose request the hosting provider to re-evaluate the measures needed or request the adoption of appropriate, effective and proportionate proactive specific measures where it considers that the measures taken do not respect the principles of necessity and proportionality or are insufficient to meet the risks. A decision to impose The competent authority should only request specific measures that the hosting service provider can reasonably be expected to implement, taking into account, among other factors, the hosting service provider’s financial and other resources. A request to implement such specific proactive measures should not, in principle, lead to the imposition of a general obligation to monitor, as provided in Article 15(1) of Directive 2000/31/EC. Considering the particularly grave risks associated with the dissemination of terrorist content, the decisions adopted by the competent authorities on the basis of this Regulation could derogate from the approach established in Article 15(1) of Directive 2000/31/EC, as regards certain specific, targeted measures, the adoption of which is necessary for overriding public security reasons. Before adopting such decisions, the competent authority should strike a fair balance between the public interest objectives and the fundamental rights involved, in particular, the freedom of expression and information and the freedom to conduct a business, and provide appropriate justification. [Am. 22] |
(20) |
The obligation on hosting service providers to preserve removed content and related data, should be laid down for specific purposes and limited in time to what is necessary. There is need to extend the preservation requirement to related data to the extent that any such data would otherwise be lost as a consequence of the removal of the content in question. Related data can include data such as ‘subscriber data’, including in particular data pertaining to the identity of the content provider as well as ‘access data’, including for instance data about the date and time of use by the content provider, or the log-in to and log-off from the service, together with the IP address allocated by the internet access service provider to the content provider. [Am. 23] |
(21) |
The obligation to preserve the content for proceedings of administrative or judicial review or remedy is necessary and justified in view of ensuring the effective measures of redress for the content provider whose content was removed or access to it disabled as well as for ensuring the reinstatement of that content as it was prior to its removal depending on the outcome of the review procedure. The obligation to preserve content for investigative and prosecutorial purposes is justified and necessary in view of the value this material could bring for the purpose of disrupting or preventing terrorist activity. Where companies remove material or disable access to it, in particular through their own proactive specific measures, and do not they should inform the relevant authority because they assess that it does not fall in the scope of Article 13(4) of this Regulation, competent law enforcement may be unaware of the existence of the content. Therefore, authorities promptly. the The preservation of content for purposes of prevention, detection, investigation and prosecution of terrorist offences is also justified. For these purposes , the terrorist content and the related data should be stored only for a specific period allowing the law enforcement authorities to check the content and decide whether it would be needed for those specific purposes. This period should not exceed six months. For the purposes of prevention, detection, investigation and prosecution of terrorist offences , the required preservation of data is limited to data that is likely to have a link with terrorist offences, and can therefore contribute to prosecuting terrorist offences or to preventing serious risks to public security. [Am. 24] |
(22) |
To ensure proportionality, the period of preservation should be limited to six months to allow the content providers sufficient time to initiate the review process and or to enable law enforcement authorities’ access to relevant data for the investigation and prosecution of terrorist offences. However, this period may be prolonged for the period that is necessary in case the review or remedy proceedings are initiated but not finalised within the six months period upon request by the authority carrying out the review. This duration should also be sufficient to allow law enforcement authorities to preserve the necessary evidence material in relation to investigations and prosecutions , while ensuring the balance with the fundamental rights concerned. [Am. 25] |
(23) |
This Regulation does not affect the procedural guarantees and procedural investigation measures related to the access to content and related data preserved for the purposes of the investigation and prosecution of terrorist offences, as regulated under the national law of the Member States, and under Union legislation. |
(24) |
Transparency of hosting service providers' policies in relation to terrorist content is essential to enhance their accountability towards their users and to reinforce trust of citizens in the Digital Single Market. Hosting Only hosting service providers which are subject to removal orders for that year should be obliged to publish annual transparency reports containing meaningful information about action taken in relation to the detection, identification and removal of terrorist content. [Am. 26] |
(24a) |
The authorities competent to issue removal order should also publish transparency reports containing information on the number of removal orders, the number of refusals, the number of identified terrorist content which led to investigation and prosecution of terrorist offences and the number of cases of content wrongly identified as terrorist. [Am. 27] |
(25) |
Complaint procedures constitute a necessary safeguard against erroneous removal of content protected under the freedom of expression and freedom to receive and impart information and ideas in an open and democratic society . Hosting service providers should therefore establish user-friendly complaint mechanisms and ensure that complaints are dealt with promptly and in full transparency towards the content provider. The requirement for the hosting service provider to reinstate the content where it has been removed in error, does not affect the possibility of hosting service providers to enforce their own terms and conditions on other grounds. [Am. 28] |
(26) |
Effective legal protection according to Article 19 TEU and Article 47 of the Charter of Fundamental Rights of the European Union requires that persons are able to ascertain the reasons upon which the content uploaded by them has been removed or access to it disabled. For that purpose, the hosting service provider should make available to the content provider meaningful information such as the reasons for the removal or disabling of access, the legal basis for the action enabling the content provider to contest the decision. However, this does not necessarily require a notification to the content provider. Depending on the circumstances, hosting service providers may replace content which is considered terrorist content, with a message that it has been removed or disabled in accordance with this Regulation. Further information about the reasons as well as possibilities for the content provider to contest the decision should be given upon request. Where competent authorities decide that for reasons of public security including in the context of an investigation, it is considered inappropriate or counter-productive to directly notify the content provider of the removal or disabling of content, they should inform the hosting service provider. [Am. 29] |
(27) |
In order to avoid duplication and possible interferences with investigations and to minimise the expenses of the affected service providers , the competent authorities should inform, coordinate and cooperate with each other and where appropriate with Europol when issuing removal orders or sending referrals to hosting service providers. In implementing the provisions of this Regulation, Europol could provide support in line with its current mandate and existing legal framework. [Am. 30] |
(27a) |
Referrals by Europol constitute an effective and swift means of making hosting service providers aware of specific content on their services. This mechanism of alerting hosting service providers to information that may be considered terrorist content, for the provider’s voluntary consideration of the compatibility with its own terms and conditions, should remain available in addition to removal orders. For that reason it is important that hosting service providers cooperate with Europol and assess Europol's referrals as a matter of priority and provide swift feedback about action taken. The ultimate decision about whether or not to remove the content because it is not compatible with their terms and conditions remains with the hosting service provider. In implementing this Regulation, Europol’s mandate as laid down in Regulation (EU) 2016/794 (10) remains unaffected. [Am. 31] |
(28) |
In order to ensure the effective and sufficiently coherent implementation of proactive measures by hosting service providers , competent authorities in Member States should liaise with each other with regard to the discussions they have with hosting service providers as to removal orders and the identification, implementation and assessment of specific proactive measures. Similarly, such Such cooperation is also needed in relation to the adoption of rules on penalties, as well as the implementation and the enforcement of penalties. [Am. 32] |
(29) |
It is essential that the competent authority within the Member State responsible for imposing penalties is fully informed about the issuing of removal orders and referrals and subsequent exchanges between the hosting service provider and the relevant competent authority authorities in other Member States . For that purpose, Member States should ensure appropriate and secure communication channels and mechanisms allowing the sharing of relevant information in a timely manner. [Am. 33] |
(30) |
To facilitate the swift exchanges between competent authorities as well as with hosting service providers, and to avoid duplication of effort, Member States may make use of tools developed by Europol, such as the current Internet Referral Management application (IRMa) or successor tools. |
(31) |
Given the particular serious consequences of certain terrorist content, hosting service providers should promptly inform the authorities in the Member State concerned or the competent authorities where they are established or have a legal representative, about the existence of any evidence of terrorist offences that they become aware of. In order to ensure proportionality, this obligation is limited to terrorist offences as defined in Article 3(1) of Directive (EU) 2017/541. The obligation to inform does not imply an obligation on hosting service providers to actively seek any such evidence. The Member State concerned is the Member State which has jurisdiction over the investigation and prosecution of the terrorist offences pursuant to Directive (EU) 2017/541 based on the nationality of the offender or of the potential victim of the offence or the target location of the terrorist act. In case of doubt, hosting service providers may transmit the information to Europol which should follow up according to its mandate, including forwarding to the relevant national authorities. |
(32) |
The competent authorities in the Member States should be allowed to use such information to take investigatory measures available under Member State or Union law, including issuing a European Production Order under Regulation on European Production and Preservation Orders for electronic evidence in criminal matters (11). |
(33) |
Both hosting service providers and Member States should establish points of contact to facilitate the swift expeditious handling of removal orders and referrals. In contrast to the legal representative, the point of contact serves operational purposes. The hosting service provider’s point of contact should consist of any dedicated means allowing for the electronic submission of removal orders and referrals and of technical and personal means allowing for the swift expeditious processing thereof. The point of contact for the hosting service provider does not have to be located in the Union and the hosting service provider is free to nominate an existing point of contact, provided that this point of contact is able to fulfil the functions provided for in this Regulation. With a view to ensure that terrorist content is removed or access to it is disabled within one hour from the receipt of a removal order, hosting service providers should ensure that the point of contact is reachable 24/7. The information on the point of contact should include information about the language in which the point of contact can be addressed. In order to facilitate the communication between the hosting service providers and the competent authorities, hosting service providers are encouraged to allow for communication in one of the official languages of the Union in which their terms and conditions are available. [Am. 34] |
(34) |
In the absence of a general requirement for service providers to ensure a physical presence within the territory of the Union, there is a need to ensure clarity under which Member State's jurisdiction the hosting service provider offering services within the Union falls. As a general rule, the hosting service provider falls under the jurisdiction of the Member State in which it has its main establishment or in which it has designated a legal representative. Nevertheless, where another Member State issues a removal order, its authorities should be able to enforce their orders by taking coercive measures of a non-punitive nature, such as penalty payments. With regards to a hosting service provider which has no establishment in the Union and does not designate a legal representative, any Member State should, nevertheless, be able to issue penalties, provided that the principle of ne bis in idem is respected. [Am. 35] |
(35) |
Those hosting service providers which are not established in the Union, should designate in writing a legal representative in order to ensure the compliance with and enforcement of the obligations under this Regulation. Hosting service providers may make use of an existing legal representative, provided that this legal representative is able to fulfil the functions as set out in this Regulation. [Am. 36] |
(36) |
The legal representative should be legally empowered to act on behalf of the hosting service provider. |
(37) |
For the purposes of this Regulation, Member States should designate competent authorities. The a single judicial or functionally independent administrative authority. This requirement to designate competent authorities does not necessarily require necessitate the establishment of new authorities a new authority but can be an existing bodies body tasked with the functions set out in this Regulation. This Regulation requires designating authorities an authority competent for issuing removal orders, referrals and for overseeing proactive specific measures and for imposing penalties. It is for Member States to decide how many authorities they wish to designate for these tasks should communicate the competent authority designated under this Regulation to the Commission, which should publish online a compilation of the competent authority of each Member State. The online registry should be easily accessible to facilitate the swift verification of the authenticity of removal orders by the hosting service providers . [Am. 37] |
(38) |
Penalties are necessary to ensure the effective implementation by hosting service providers of the obligations pursuant to this Regulation. Member States should adopt rules on penalties, including, where appropriate, fining guidelines. Particularly severe penalties shall Penalties should be ascertained in the event that the hosting service provider providers systematically fails and persistently fail to remove terrorist content or disable access to it within one hour from receipt of a removal order. Non-compliance in individual cases could be sanctioned while respecting the principles of ne bis in idem and of proportionality and ensuring that such sanctions take account of systematic failure. In order to ensure legal certainty, the regulation should set out to what extent the relevant comply with their obligations can be subject to penalties under this Regulation . Penalties for non-compliance with Article 6 should only be adopted in relation to obligations arising from a request to report pursuant to Article 6(2) or a decision imposing for the implementation of additional proactive specific measures pursuant to Article 6(4). When determining whether or not financial penalties should be imposed, due account should be taken of the financial resources of the provider. Moreover, the competent authority should take into account whether the hosting service provider is a start-up or a small and medium sized business and should determine on a case-by-case basis if it had the ability to adequately comply with the issued order. Member States shall should ensure that penalties do not encourage the removal of content which is not terrorist content. [Am. 38] |
(39) |
The use of standardised templates facilitates cooperation and the exchange of information between competent authorities and service providers, allowing them to communicate more quickly and effectively. It is particularly important to ensure swift action following the receipt of a removal order. Templates reduce translation costs and contribute to a high quality standard. Response forms similarly should allow for a standardised exchange of information, and this will be particularly important where service providers are unable to comply. Authenticated submission channels can guarantee the authenticity of the removal order, including the accuracy of the date and the time of sending and receipt of the order. |
(40) |
In order to allow for a swift amendment, where necessary, of the content of the templates to be used for the purposes of this Regulation the power to adopt acts in accordance with Article 290 of the Treaty on the Functioning of the European Union should be delegated to the Commission to amend Annexes I, II and III of this Regulation. In order to be able to take into account the development of technology and of the related legal framework, the Commission should also be empowered to adopt delegated acts to supplement this Regulation with technical requirements for the electronic means to be used by competent authorities for the transmission of removal orders. It is of particular importance that the Commission carries out appropriate consultations during its preparatory work, including at expert level, and that those consultations are conducted in accordance with the principles laid down in the Interinstitutional Agreement of 13 April 2016 on Better Law-Making (12). In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. |
(41) |
Member States should collect information on the implementation of the legislation including information on the number of cases of successful detection, investigation and prosecution of terrorist offences as a consequence of this Regulation . A detailed programme for monitoring the outputs, results and impacts of this Regulation should be established in order to inform an evaluation of the legislation. [Am. 39] |
(42) |
Based on the findings and conclusions in the implementation report and the outcome of the monitoring exercise, the Commission should carry out an evaluation of this Regulation no sooner than three years one year after its entry into force. The evaluation should be based on the five seven criteria of efficiency, necessity, proportionality, effectiveness, relevance, coherence and EU added value. It will should assess the functioning of the different operational and technical measures foreseen under the Regulation, including the effectiveness of measures to enhance the detection, identification and removal of terrorist content, the effectiveness of safeguard mechanisms as well as the impacts on potentially affected fundamental rights, including the freedom of expression and freedom to receive and impart information, the freedom and pluralism of the media, the freedom to conduct a business and the rights and to privacy and the protection of personal data. The Commission should also assess the impact on potentially affected interests of third parties, including a review of the requirement to inform content providers. [Am. 40] |
(43) |
Since the objective of this Regulation, namely ensuring the smooth functioning of the digital single market by preventing the dissemination of terrorist content online, cannot be sufficiently achieved by the Member States and can therefore, by reason of the scale and effects of the limitation, be better achieved at Union level, the Union may adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty on European Union. In accordance with the principle of proportionality, as set out in that Article, this Regulation does not go beyond what is necessary in order to achieve that objective, |
HAVE ADOPTED THIS REGULATION:
SECTION I
GENERAL PROVISIONS
Article 1
Subject matter and scope
1. This Regulation lays down targeted uniform rules to prevent tackle the misuse of hosting services for the public dissemination of terrorist content online. It lays down in particular: [Am. 41]
(a) |
rules on reasonable and proportionate duties of care to be applied by hosting service providers in order to prevent tackle the public dissemination of terrorist content through their services and ensure, where necessary, its swift removal; [Am. 42] |
(b) |
a set of measures to be put in place by Member States to identify terrorist content, to enable its swift removal by hosting service providers in accordance with Union law providing suitable safeguards for freedom of expression and the freedom to receive and impart information and ideas in an open and democratic society and to facilitate cooperation with the competent authorities in other Member States, hosting service providers and where appropriate relevant Union bodies. [Am. 43] |
2. This Regulation shall apply to hosting service providers offering services in the Union to the public , irrespective of their place of main establishment. [Am. 44]
2a. This Regulation shall not apply to content which is disseminated for educational, artistic, journalistic or research purposes, or for awareness raising purposes against terrorist activity, nor to content which represents an expression of polemic or controversial views in the course of public debate. [Am. 45]
2b. This Regulation shall not have the effect of modifying the obligation to respect the rights, freedoms and principles as referred to in Article 6 of the Treaty on the European Union, and shall apply without prejudice to fundamental principles in Union and national law relating to freedom of speech, freedom of the press and the freedom and pluralism of the media. [Am. 46]
2c. This Regulation is without prejudice to Directive 2000/31/EC. [Am. 47]
Article 2
Definitions
For the purposes of this Regulation, the following definitions shall apply:
(-1) |
‘information society services’ means the services as referred to in point (a) of Article 2 of Directive 2000/31/EC; [Am. 48] |
(1) |
‘hosting service provider’ means a provider of information society services consisting in the storage of information provided by and at the request of the content provider and in making the information stored available to third parties the public. This applies only to services provided to the public at the application layer. Cloud infrastructure providers and cloud providers are not considered hosting service providers. It does not apply either to electronic communications services as defined in Directive (EU) 2018/1972 ; [Am. 49] |
(2) |
‘content provider’ means a user who has provided information that is, or that has been, stored and made available to the public at the request of the user by a hosting service provider; [Am. 50] |
(3) |
‘to offer services in the Union’ means: enabling legal or natural persons in one or more Member States to use the services of the hosting service provider which has a substantial connection to that Member State or Member States, such as
|
(4) |
‘terrorist offences’ means offences as defined in Article 3(1) of Directive (EU) 2017/541; [Am. 51] |
(5) |
‘terrorist content’ means one or more of the following information material : [Am. 52]
|
(6) |
‘dissemination of terrorist content’ means making terrorist content available to third parties the public on the hosting service providers’ services; [Am. 58] |
(7) |
‘terms and conditions’ means all terms, conditions and clauses, irrespective of their name or form, which govern the contractual relationship between the hosting service provider and their users; |
(8) |
‘referral’ means a notice by a competent authority or, where applicable, a relevant Union body to a hosting service provider about information that may be considered terrorist content, for the provider’s voluntary consideration of the compatibility with its own terms and conditions aimed to prevent dissemination of terrorism content; [Am. 59] |
(9) |
‘main establishment’ means the head office or registered office within which the principal financial functions and operational control are exercised. |
(9a) |
‘competent authority’ means a single designated judicial authority or functionally independent administrative authority in the Member State. [Am. 60] |
SECTION II
MEASURES TO PREVENT THE DISSEMINATION OF TERRORIST CONTENT ONLINE
Article 3
Duties of care
1. Hosting service providers shall take appropriate, reasonable and proportionate actions act in accordance with this Regulation, against the dissemination of terrorist content and to protect users from terrorist content. In doing so, they They shall act do so in a diligent, proportionate and non-discriminatory manner, and with due regard in all circumstances to the fundamental rights of the users and take into account the fundamental importance of the freedom of expression and , the freedom to receive and impart information and ideas in an open and democratic society and with a view to avoiding removal of content which is not terrorist . [Am. 61]
1a. These duties of care shall not amount to a general obligation on hosting service providers to monitor the information they transmit or store, nor to a general duty to actively seek facts or circumstances indicating illegal activity. [Am. 62]
2. Hosting service providers shall include in their terms and conditions, and apply, provisions to prevent the dissemination of terrorist content. [Am. 63]
2a. Where hosting service providers obtain knowledge or awareness of terrorist content on their services, they shall inform the competent authorities of such content and remove it expeditiously. [Am. 64]
2b. Hosting service providers who meet the criteria of the definition of video-sharing platforms providers under Directive (EU) 2018/1808 shall take appropriate measures to tackle the dissemination of terrorist content in accordance with Article 28b, paragraph 1(c) and paragraph 3 of Directive (EU) 2018/1808. [Am. 65]
Article 4
Removal orders
1. The competent authority of the Member State of main establishment of the hosting service provider shall have the power to issue a decision removal order requiring the hosting service provider to remove terrorist content or disable access to it in all Member States . [Am. 66]
1a. The competent authority of a Member State where the hosting service provider does not have its main establishment or does not have a legal representative may request access to be disabled to terrorist content and enforce this request within its own territory. [Am. 67]
1b. If the relevant competent authority has not previously issued a removal order to a hosting service provider it shall contact the hosting service provider, providing information on procedures and applicable deadlines, at least 12 hours before issuing a removal order. [Am. 68]
2. Hosting service providers shall remove terrorist content or disable access to it as soon as possible and within one hour from receipt of the removal order. [Am. 69]
3. Removal orders shall contain the following elements in accordance with the template set out in Annex I:
(a) |
identification of the competent authority via an electronic signature issuing the removal order and authentication of the removal order by the competent authority; [Am. 70] |
(b) |
a detailed statement of reasons explaining why the content is considered terrorist content, at least, by and a specific reference to the categories of terrorist content listed in Article 2(5); [Am. 71] |
(c) |
a an exact Uniform Resource Locator (URL) and, where necessary, additional information enabling the identification of the content referred; [Am. 72] |
(d) |
a reference to this Regulation as the legal basis for the removal order; |
(e) |
date and time stamp of issuing; |
(f) |
easily understandable information about redress available to the hosting service provider and to the content provider , including redress with the competent authority as well as recourse to a court as well as deadlines for appeal ; [Am. 73] |
(g) |
where relevant necessary and proportionate , the decision not to disclose information about the removal of terrorist content or the disabling of access to it referred to in Article 11. [Am. 74] |
4. Upon request by the hosting service provider or by the content provider, the competent authority shall provide a detailed statement of reasons, without prejudice to the obligation of the hosting service provider to comply with the removal order within the deadline set out in paragraph 2. [Am. 75]
5. The competent authorities authority shall address removal orders to the main establishment of the hosting service provider or to the legal representative designated by the hosting service provider pursuant to Article 16 and transmit it to the point of contact referred to in Article 14(1). Such orders shall be sent by electronic means capable of producing a written record under conditions allowing to establish the authentication of the sender, including the accuracy of the date and the time of sending and receipt of the order. [Am. 76]
6. Hosting service providers shall acknowledge receipt and, without undue delay, inform the competent authority about the removal of terrorist content or disabling access to it, indicating, in particular, the time of action, using the template set out in Annex II. [Am. 77]
7. If the hosting service provider cannot comply with the removal order because of force majeure or of de facto impossibility not attributable to the hosting service provider , including for technical or operational reasons , it shall inform, without undue delay, the competent authority, explaining the reasons, using the template set out in Annex III. The deadline set out in paragraph 2 shall apply as soon as the reasons invoked are no longer present. [Am. 78]
8. If the The hosting service provider cannot comply with may refuse to execute the removal order because if the removal order contains manifest errors or does not contain sufficient information to execute the order, it . It shall inform the competent authority without undue delay, asking for the necessary clarification, using the template set out in Annex III. The deadline set out in paragraph 2 shall apply as soon as the clarification is provided. [Am. 79]
9. The competent authority which issued the removal order shall inform the competent authority which oversees the implementation of proactive specific measures, referred to in Article 17(1)(c) when the removal order becomes final. A removal order becomes final where it has not been appealed within the deadline according to the applicable national law or where it has been confirmed following an appeal. [Am. 80]
Article 4a
Consultation procedure for removal orders
1. The competent authority which issues a removal order under Article 4(1a) shall submit a copy of the removal order to the competent authority referred to in Article 17(1)(a) in which the main establishment of the hosting service provider is located at the same time it is transmitted to the hosting service provider in accordance with Article 4(5).
2. In cases where the competent authority of the Member State in which the main establishment of the hosting service provider is located has reasonable grounds to believe that the removal order may impact fundamental interests of that Member State, it shall inform the issuing competent authority. The issuing authority shall take these circumstances into account and shall, where necessary, withdraw or adapt the removal order. [Am. 81]
Article 4b
Cooperation procedure for issuing an additional removal order
1. Where a competent authority has issued a removal order under Article 4(1a), that authority may contact the competent authority of the Member State where the hosting service provider has its main establishment in order to request that the latter competent authority also issue a removal order under Article 4(1).
2. The competent authority in the Member State where the main establishment of the hosting service provider is located shall either issue a removal order or refuse to issue an order as soon as possible but no later than one hour of being contacted under paragraph 1 and shall inform the competent authority that issued the first order of its decision.
3. In cases where the competent authority in the Member State of main establishment needs more than one hour to make its own assessment of the content, it shall send a request to the hosting service provider concerned to disable temporarily the access to the content for up to 24 hours, during which time the competent authority shall make the assessment and send the removal order or withdraw the request to disable the access. [Am. 82]
Article 5
Referrals
1. The competent authority or the relevant Union body may send a referral to a hosting service provider.
2. Hosting service providers shall put in place operational and technical measures facilitating the expeditious assessment of content that has been sent by competent authorities and, where applicable, relevant Union bodies for their voluntary consideration.
3. The referral shall be addressed to the main establishment of the hosting service provider or to the legal representative designated by the service provider pursuant to Article 16 and transmitted to the point of contact referred to in Article 14(1). Such referrals shall be sent by electronic means.
4. The referral shall contain sufficiently detailed information, including the reasons why the content is considered terrorist content, a URL and, where necessary, additional information enabling the identification of the terrorist content referred.
5. The hosting service provider shall, as a matter of priority, assess the content identified in the referral against its own terms and conditions and decide whether to remove that content or to disable access to it.
6. The hosting service provider shall expeditiously inform the competent authority or relevant Union body of the outcome of the assessment and the timing of any action taken as a result of the referral.
7. Where the hosting service provider considers that the referral does not contain sufficient information to assess the referred content, it shall inform without delay the competent authorities or relevant Union body, setting out what further information or clarification is required. [Am. 83]
Article 6
Proactive Specific measures [Am. 84]
1. Without prejudice to Directive (EU) 2018/1808 and Directive 2000/31/EC hosting Hosting service providers shall, where appropriate, may take proactive specific measures to protect their services against the public dissemination of terrorist content. The measures shall be effective , targeted and proportionate, taking into account paying particular attention to the risk and level of exposure to terrorist content, the fundamental rights of the users, and the fundamental importance of the right to freedom of expression and the freedom to receive and impart information and ideas in an open and democratic society. [Am. 85]
2. Where it has been informed according to Article 4(9), the competent authority referred to in Article 17(1)(c) shall request the hosting service provider to submit a report, within three months after receipt of the request and thereafter at least on an annual basis, on the specific proactive measures it has taken, including by using automated tools, with a view to:
(a) |
preventing the re-upload of content which has previously been removed or to which access has been disabled because it is considered to be terrorist content; |
(b) |
detecting, identifying and expeditiously removing or disabling access to terrorist content. |
Such a request shall be sent to the main establishment of the hosting service provider or to the legal representative designated by the service provider.
The reports shall include all relevant information allowing the competent authority referred to in Article 17(1)(c) to assess whether the proactive measures are effective and proportionate, including to evaluate the functioning of any automated tools used as well as the human oversight and verification mechanisms employed. [Am. 86]
3. Where the competent authority referred to in Article 17(1)(c) considers that the proactive measures taken and reported under paragraph 2 are insufficient in mitigating and managing the risk and level of exposure, it may request the hosting service provider to take specific additional proactive measures. For that purpose, the hosting service provider shall cooperate with the competent authority referred to in Article 17(1)(c) with a view to identifying the specific measures that the hosting service provider shall put in place, establishing key objectives and benchmarks as well as timelines for their implementation. [Am. 87]
4. Where no agreement can be reached within the three months from the request pursuant to paragraph 3 After establishing that a hosting service provider has received a substantial number of removal orders , the competent authority referred to in Article 17(1)(c) may issue a decision imposing specific additional send a request for necessary and, proportionate proactive and effective additional specific measures that the hosting service provider will have to implement. The competent authority shall not impose a general monitoring obligation, nor the use of automated tools . The decision request shall take into account, in particular, the technical feasibility of the measures, the size and economic capacity of the hosting service provider and the effect of such measures on the fundamental rights of the users and the fundamental importance of the freedom of expression and the freedom to receive and impart information and ideas in an open and democratic society . Such a decision request shall be sent to the main establishment of the hosting service provider or to the legal representative designated by the service provider. The hosting service provider shall regularly report on the implementation of such measures as specified by the competent authority referred to in Article 17(1)(c). [Am. 88]
5. A hosting service provider may, at any time, request the competent authority referred to in Article 17(1)(c) a review and, where appropriate, to revoke a request or decision pursuant to paragraphs 2, 3, and paragraph 4 respectively . The competent authority shall provide a reasoned decision within a reasonable period of time after receiving the request by the hosting service provider. [Am. 89]
Article 7
Preservation of content and related data
1. Hosting service providers shall preserve terrorist content which has been removed or disabled as a result of a removal order, a referral or as a result of proactive specific measures pursuant to Articles 4, 5 and 6 and related data removed as a consequence of the removal of the terrorist content and which is necessary for: [Am. 90]
(a) |
proceedings of administrative or, judicial review, or remedy ; [Am. 91] |
(b) |
the prevention, detection, investigation and prosecution by law enforcement authorities of terrorist offences. [Am. 92] |
2. The terrorist content and related data referred to in paragraph 1 (a) shall be preserved for six months and deleted after this period . The terrorist content shall, upon request from the competent authority or court, be preserved for a longer further specified period when only if, and for as long as necessary for ongoing proceedings of administrative or, judicial review or remedies referred to in paragraph 1(a). Hosting service providers shall preserve the terrorist content and related data referred to in paragraph 1(b) until the law enforcement authority reacts to the notification made by the hosting service provider in accordance with Article 13(4) but no later than six months. [Am. 93]
3. Hosting service providers shall ensure that the terrorist content and related data preserved pursuant to paragraphs 1 and 2 are subject to appropriate technical and organisational safeguards.
Those technical and organisational safeguards shall ensure that the preserved terrorist content and related data is only accessed and processed for the purposes referred to in paragraph 1, and ensure a high level of security of the personal data concerned. Hosting service providers shall review and update those safeguards where necessary.
SECTION III
SAFEGUARDS AND ACCOUNTABILITY
Article 8
Transparency obligations for hosting service providers [Am. 94]
1. Where applicable, hosting service providers shall set out clearly in their terms and conditions their policy to prevent the dissemination of terrorist content, including, where appropriate applicable , a meaningful explanation of the functioning of proactive specific measures including the use of automated tools. [Am. 95]
2. Hosting service providers which are or have been subject to removal orders in that year, shall publish make publicly available annual transparency reports on action taken against the dissemination of terrorist content. [Am. 96]
3. Transparency reports shall include at least the following information:
(a) |
information about the hosting service provider’s measures in relation to the detection, identification and removal of terrorist content; |
(b) |
information about the hosting service provider’s measures to prevent the re-upload of content which has previously been removed or to which access has been disabled because it is considered to be terrorist content , in particular where automated technology has been used ; [Am. 97] |
(c) |
number of pieces of terrorist content removed or to which access has been disabled, following removal orders, referrals, or proactive specific measures, respectively , and the number of orders where the content has not been removed in accordance with Article 4(7) and (8) together with reasons for refusal ; [Am. 98] |
(d) |
overview number and outcome of complaint procedures and actions for judicial review, including the number of cases in which it was established that content was wrongly identified as terrorist content . [Am. 99] |
Article 8a
Transparency obligations for competent authorities
1. Competent authorities shall publish annual transparency reports that shall include at least the following information:
(a) |
number of removal orders issued, the number of removals and the number of refused or ignored removal orders; |
(b) |
number of identified terrorist content which led to investigation and prosecution and the number of cases of content wrongly identified as terrorist; |
(c) |
a description of measures requested by the competent authorities pursuant to Article 6 (4). [Am. 100] |
Article 9
Safeguards regarding the use and implementation of proactive specific measures [Am. 101]
1. Where hosting service providers use automated tools pursuant to this Regulation in respect of content that they store, they shall provide effective and appropriate safeguards to ensure that decisions taken concerning that content, in particular decisions to remove or disable access to content considered to be terrorist content, are accurate and well-founded. [Am. 102]
2. Safeguards shall consist, in particular, of human oversight and verifications where appropriate and, in any event, where a detailed assessment , of the appropriateness of the relevant context is required in order to determine whether or not the decision to remove or deny access to content is to be considered terrorist content , in particular with regard to the right to freedom of expression and freedom to receive and impart information and ideas in an open and democratic society . [Am. 103]
Article 9a
Effective remedies
1. Content providers, whose content has been removed or access to which has been disabled following a removal order, and hosting service providers that have received a removal order, shall have a right to an effective remedy. Member States shall put in place effective procedures for exercising this right. [Am. 104]
Article 10
Complaint mechanisms
1. Hosting service providers shall establish an effective and accessible mechanisms allowing content providers whose content has been removed or access to it disabled as a result of a referral pursuant to Article 5 or of proactive specific measures pursuant to Article 6, to submit a complaint against the action of the hosting service provider requesting reinstatement of the content. [Am. 105]
2. Hosting service providers shall promptly examine every complaint that they receive and reinstate the content without undue delay where the removal or disabling of access was unjustified. They shall inform the complainant about the outcome of the examination within two weeks of the receipt of the complaint with an explanation in cases where the hosting service provider decides not to reinstate the content . A reinstatement of content shall not preclude further judicial measures against the decision of the hosting service provider or of the competent authority . [Am. 106]
Article 11
Information to content providers
1. Where hosting service providers removed remove terrorist content or disable access to it, they shall make available to the content provider comprehensive and concise information on the removal or disabling of access to terrorist content and the possibilities to contest the decision, and shall provide him or her with a copy of the removal order issued in accordance with Article 4 upon request . [Am. 107]
2. Upon request of the content provider, the hosting service provider shall inform the content provider about the reasons for the removal or disabling of access and possibilities to contest the decision. [Am. 108]
3. The obligation pursuant to paragraphs paragraph 1 and 2 shall not apply where the competent authority decides based on objective evidence and considering the proportionality and necessity of such decision, that there should be no disclosure for reasons of public security, such as the prevention, investigation, detection and prosecution of terrorist offences, for as long as necessary, but not exceeding [four] weeks from that decision. In such a case, the hosting service provider shall not disclose any information on the removal or disabling of access to terrorist content. [Am. 109]
SECTION IV
COOPERATION BETWEEN COMPETENT AUTHORITIES, UNION BODIES AND HOSTING SERVICE PROVIDERS
Article 12
Capabilities of competent authorities
Member States shall ensure that their competent authorities have the necessary capability and sufficient resources to achieve the aims and fulfil their obligations under this Regulation , with strong guarantees of independence . [Am. 110]
Article 13
Cooperation between hosting service providers, competent authorities and where appropriate relevant competent Union bodies [Am. 111]
1. Competent authorities in Member States shall inform, coordinate and cooperate with each other and, where appropriate, with relevant Union bodies such as Europol with regard to removal orders and referrals to avoid duplication, enhance coordination and avoid interference with investigations in different Member States. [Am. 112]
2. Competent authorities in Member States shall inform, coordinate and cooperate with the competent authority referred to in Article 17(1)(c) and (d) with regard to measures taken pursuant to Article 6 and enforcement actions pursuant to Article 18. Member States shall make sure that the competent authority referred to in Article 17(1)(c) and (d) is in possession of all the relevant information. For that purpose, Member States shall provide for the appropriate and secure communication channels or mechanisms to ensure that the relevant information is shared in a timely manner. [Am. 113]
3. Member States and hosting service providers may choose to may make use of dedicated tools, including, where appropriate, those established by relevant Union bodies such as Europol, to facilitate in particular: [Am. 114]
(a) |
the processing and feedback relating to removal orders pursuant to Article 4; |
(b) |
the processing and feedback relating to referrals pursuant to Article 5; [Am. 115] |
(c) |
co-operation with a view to identify and implement proactive specific measures pursuant to Article 6. [Am. 116] |
4. Where hosting service providers become aware of any evidence of terrorist offences, content they shall promptly inform authorities competent for the investigation and prosecution in criminal offences in the concerned Member State or . Where it is impossible to identify the Member State concerned, the hosting service provider shall notify the point of contact in the Member State pursuant to Article 14(2) 17(2) , where they have their main establishment or a legal representative. Hosting service providers may, in case of doubt, and also transmit this information to Europol for appropriate follow up. [Am. 117]
4a. Hosting service providers shall cooperate with competent authorities. [Am. 118]
Article 14
Points of contact
1. Hosting service providers previously in receipt of one or more removal orders shall establish a point of contact allowing for the receipt of removal orders and referrals by electronic means and ensure their swift expeditious processing pursuant to Articles Article 4 and 5. They shall ensure that this information is made publicly available. [Am. 119]
2. The information referred to in paragraph 1 shall specify the official language or languages (s) of the Union, as referred to in Regulation 1/58, in which the contact point can be addressed and in which further exchanges in relation to removal orders and referrals pursuant to Articles Article 4 and 5 shall take place. This shall include at least one of the official languages of the Member State in which the hosting service provider has its main establishment or where its legal representative pursuant to Article 16 resides or is established. [Am. 120]
3. Member States shall establish a point of contact to handle requests for clarification and feedback in relation to removal orders and referrals issued by them. Information about the contact point shall be made publicly available. [Am. 121]
SECTION V
IMPLEMENTATION AND ENFORCEMENT
Article 15
Jurisdiction
1. The Member State in which the main establishment of the hosting service provider is located shall have the jurisdiction for the purposes of Articles 6, 18, and 21. A hosting service provider which does not have its main establishment within one of the Member States shall be deemed to be under the jurisdiction of the Member State where the legal representative referred to in Article 16 resides or is established.
2. Where a hosting service provider which does not have its main establishment within one of the Member States fails to designate a legal representative, all Member States shall have jurisdiction. Where a Member State decides to exercise this jurisdiction, it shall inform all other Member States. [Am. 122]
3. Where an authority of another Member State has issued a removal order according to Article 4(1), that Member State has jurisdiction to take coercive measures according to its national law in order to enforce the removal order. [Am. 123]
Article 16
Legal representative
1. A hosting service provider which does not have an establishment in the Union but offers services in the Union, shall designate, in writing, a legal or natural person as its legal representative in the Union for the receipt of, compliance with and enforcement of removal orders, referrals, and requests and decisions issued by the competent authorities on the basis of this Regulation. The legal representative shall reside or be established in one of the Member States where the hosting service provider offers the services. [Am. 124]
2. The hosting service provider shall entrust the legal representative with the receipt, compliance and enforcement of the removal orders, referrals, and requests and decisions referred to in paragraph 1 on behalf of the hosting service provider concerned. Hosting service providers shall provide their legal representative with the necessary powers and resource resources to cooperate with the competent authorities and comply with these decisions and orders. [Am. 125]
3. The designated legal representative can be held liable for non-compliance with obligations under this Regulation, without prejudice to the liability and legal actions that could be initiated against the hosting service provider.
4. The hosting service provider shall notify the competent authority referred to in Article 17(1)(d) in the Member State where the legal representative resides or is established about the designation. Information about the legal representative shall be publicly available.
SECTION VI
FINAL PROVISIONS
Article 17
Designation of competent authorities
1. Each Member State shall designate the a judicial or a functionally independent administrative authority or authorities competent to [Am. 126]
(a) |
issue removal orders pursuant to Article 4; |
(b) |
detect, identify and refer terrorist content to hosting service providers pursuant to Article 5; [Am. 127] |
(c) |
oversee the implementation of proactive specific measures pursuant to Article 6; [Am. 128] |
(d) |
enforce the obligations under this Regulation through penalties pursuant to Article 18. |
1a. Member States shall designate a point of contact within the competent authorities to handle requests for clarification and feedback in relation to removal orders issued by them. Information on the contact point shall be made publicly available. [Am. 129]
2. By [six months after the entry into force of this Regulation] at the latest Member States shall notify the Commission of the competent authorities referred to in paragraph 1. The Commission shall set up an online register listing all those competent authorities and the designated contact point for each competent authority. The Commission shall publish the notification and any modifications of it in the Official Journal of the European Union. [Am. 130]
Article 18
Penalties
1. Member States shall lay down the rules on penalties applicable to systematic and persistent breaches of the obligations by hosting service providers under this Regulation and shall take all necessary measures to ensure that they are implemented. Such penalties shall be limited to infringement of the obligations pursuant to: [Am. 131]
(a) |
Article 3(2) (hosting service providers' terms and conditions); [Am. 132] |
(b) |
Article 4(2) and (6) (implementation of and feedback on removal orders); |
(c) |
Article 5(5) and (6) (assessment of and feedback on referrals); [Am. 133] |
(d) |
Article 6(2) and (4) 6(4) (reports on proactive specific measures and the adoption of measures following a decision request imposing additional specific proactive measures); [Am. 134] |
(e) |
Article 7 (preservation of data); |
(f) |
Article 8 (transparency for hosting service providers ); [Am. 135] |
(g) |
Article 9 (safeguards in relation to proactive with regard to the implementation of specific measures); [Am. 136] |
(h) |
Article 10 (complaint procedures); |
(i) |
Article 11 (information to content providers); |
(j) |
Article 13 (4) (information on evidence of terrorist offences content ); [Am. 137] |
(k) |
Article 14 (1) (points of contact); |
(l) |
Article 16 (designation of a legal representative). |
2. The penalties provided for pursuant to paragraph 1 shall be effective, proportionate and dissuasive. Member States shall, by [within six months from the entry into force of this Regulation] at the latest, notify the Commission of those rules and of those measures and shall notify it, without delay, of any subsequent amendment affecting them. [Am. 138]
3. Member States shall ensure that, when determining the type and level of penalties, the competent authorities take into account all relevant circumstances, including:
(a) |
the nature, gravity, and duration of the breach; |
(b) |
the intentional or negligent character of the breach; |
(c) |
previous breaches by the legal person held responsible; |
(d) |
the financial strength of the legal person held liable; |
(e) |
the level of cooperation of the hosting service provider with the competent authorities.; [Am. 139] |
(ea) |
the nature and size of the hosting service providers, in particular for microenterprises or small-sized enterprises within the meaning of Commission Recommendation 2003/361/EC (13) . [Am. 140] |
4. Member States shall ensure that a systematic and persistent failure to comply with obligations pursuant to Article 4(2) is subject to financial penalties of up to 4 % of the hosting service provider's global turnover of the last business year. [Am. 141]
Article 19
Technical requirements , criteria for assessing significance, and amendments to the templates for removal orders [Am. 142]
1. The Commission shall be empowered to adopt delegated acts in accordance with Article 20 in order to supplement this Regulation with the necessary technical requirements for the electronic means to be used by competent authorities for the transmission of removal orders. [Am. 143]
1a. The Commission shall be empowered to adopt delegated acts in accordance with Article 20 in order to complement this Regulation with criteria and figures to be used by competent authorities for determining what corresponds to a significant number of uncontested removal orders as referred to in this Regulation. [Am. 144]
2. The Commission shall be empowered to adopt such delegated acts to amend Annexes I, II and III in order to effectively address a possible need for improvements regarding the content of removal order forms and of forms to be used to provide information on the impossibility to execute the removal order.
Article 20
Exercise of delegation
1. The power to adopt delegated acts is conferred on the Commission subject to the conditions laid down in this Article.
2. The power to adopt delegated acts referred to in Article 19 shall be conferred on the Commission for an indeterminate period of time from [date of application of this Regulation].
3. The delegation of power referred to in Article 19 may be revoked at any time by the European Parliament or by the Council. A decision to revoke shall put an end to the delegation of the power specified in that decision. It shall take effect the day after the publication of the decision in the Official Journal of the European Union or at a later date specified therein. It shall not affect the validity of any delegated acts already in force.
4. Before adopting a delegated act, the Commission shall consult experts designated by each Member State in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016.
5. As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the European Parliament and to the Council.
6. A delegated act adopted pursuant to Article 19 shall enter into force only if no objection has been expressed either by the European Parliament or the Council within a period of two months of notification of that act to the European Parliament and the Council or if, before the expiry of that period, the European Parliament and the Council have both informed the Commission that they will not object. That period shall be extended by two months at the initiative of the European Parliament or of the Council.
Article 21
Monitoring
1. Member States shall collect from their competent authorities and the hosting service providers under their jurisdiction and send to the Commission every year by [31 March] information about the actions they have taken in accordance with this Regulation. That information shall include:
(a) |
information about the number of removal orders and referrals issued, the number of pieces of terrorist content which has been removed or access to it disabled, including the corresponding timeframes pursuant to Articles Article 4 and 5 , and information on the number of corresponding cases of successful detection, investigation and prosecution of terrorist offences ; [Am. 145] |
(b) |
information about the specific proactive measures taken pursuant to Article 6, including the amount of terrorist content which has been removed or access to it disabled and the corresponding timeframes; |
(ba) |
information about the number of access requests issued by competent authorities regarding content preserved by hosting service providers pursuant to Article 7; [Am. 146] |
(c) |
information about the number of complaint procedures initiated and actions taken by the hosting service providers pursuant to Article 10; |
(d) |
information about the number of redress procedures initiated and decisions taken by the competent authority in accordance with national law. |
2. By [one year from the date of application of this Regulation] at the latest, the Commission shall establish a detailed programme for monitoring the outputs, results and impacts of this Regulation. The monitoring programme shall set out the indicators and the means by which and the intervals at which the data and other necessary evidence is to be collected. It shall specify the actions to be taken by the Commission and by the Member States in collecting and analysing the data and other evidence to monitor the progress and evaluate this Regulation pursuant to Article 23.
Article 22
Implementation report
By … [two years after the entry into force of this Regulation], the Commission shall report on the application of this Regulation to the European Parliament and the Council. Information on monitoring pursuant to Article 21 and information resulting from the transparency obligations pursuant to Article 8 shall be taken into account in the Commission report. Member States shall provide the Commission with the information necessary for the preparation of the report.
Article 23
Evaluation
No sooner than [ three years One year from the date of application of this Regulation], the Commission shall carry out an evaluation of this Regulation and submit a report to the European Parliament and to the Council on the application of this Regulation including the functioning of and the effectiveness of the safeguard mechanisms, as well as the impact on Fundamental Rights, and in particular on freedom of expression, freedom to receive and impart information and the right to respect for one’s private life. In the context of this evaluation, the Commission shall also report on the necessity, the feasibility and the effectiveness of creating a European Platform on Terrorist Content Online, which would allow all Member States to use one secure communication channel to send removal orders for terrorist content to hosting service providers . Where appropriate, the report shall be accompanied by legislative proposals. Member States shall provide the Commission with the information necessary for the preparation of the report. [Am. 147]
Article 24
Entry into force
This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.
It shall apply from [6 12 months after its entry into force]. [Am. 148]
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at …,
For the European Parliament
The President
For the Council
The President
(1) OJ C 110, 22.3.2019, p. 67.
(2) Position of the European Parliament of 17 April 2019.
(3) Commission Recommendation (EU) 2018/334 of 1 March 2018 on measures to effectively tackle illegal content online (OJ L 63, 6.3.2018, p. 50).
(4) Directive 2000/31/EC of the European Parliament and of the Council of 8 June 2000 on certain legal aspects of information society services, in particular electronic commerce, in the Internal Market (‘Directive on electronic commerce’) (OJ L 178, 17.7.2000, p. 1).
(5) Directive (EU) 2017/541 of the European Parliament and of the Council of 15 March 2017 on combating terrorism and replacing Council Framework Decision 2002/475/JHA and amending Council Decision 2005/671/JHA (OJ L 88, 31.3.2017, p. 6).
(6) Regulation (EU) No 1215/2012 of the European Parliament and of the Council of 12 December 2012 on jurisdiction and the recognition and enforcement of judgments in civil and commercial matters (OJ L 351, 20.12.2012, p. 1).
(7) Regulation (EU) 2018/302 of the European Parliament and of the Council of 28 February 2018 on addressing unjustified geo-blocking and other forms of discrimination based on customers' nationality, place of residence or place of establishment within the internal market and amending Regulations (EC) No 2006/2004 and (EU) 2017/2394 and Directive 2009/22/EC (OJ L 601, 2.3.2018, p. 1).
(8) Regulation (EU) No 910/2014 of the European Parliament and of the Council of 23 July 2014 on electronic identification and trust services for electronic transactions in the internal market and repealing Directive 1999/93/EC (OJ L 257, 28.8.2014, p. 73).
(9) Regulation (EU) 2016/794 of the European Parliament and of the Council of 11 May 2016 on the European Union Agency for Law Enforcement Cooperation (Europol) and replacing and repealing Council Decisions 2009/371/JHA, 2009/934/JHA, 2009/935/JHA, 2009/936/JHA and 2009/968/JHA (OJ L 135, 24.5.2016, p. 53).
(10) Regulation (EU) 2016/794 of the European Parliament and of the Council of 11 May 2016 on the European Union Agency for Law Enforcement Cooperation (Europol) and replacing and repealing Council Decisions 2009/371/JHA, 2009/934/JHA, 2009/935/JHA, 2009/936/JHA and 2009/968/JHA (OJ L 135, 24.5.2016, p. 53).
(11) COM(2018)0225.
(12) OJ L 123, 12.5.2016, p. 1.
(13) Commission Recommendation of 6 May 2003 concerning the definition of micro, small and medium-sized enterprises (OJ L 124, 20.5.2003, p. 36).
ANNEX I
REMOVAL ORDER FOR TERRORIST CONTENT (Article 4 Regulation (EU) xxx)
Under Article 4 of Regulation (EU)… (1) the addressee of the removal order shall remove terrorist content or disable access to it, within one hour from receipt of the removal order from the competent authority. In accordance with Article 7 of Regulation (EU) …. (2), addressees must preserve content and related data, which has been removed or access to it disabled, for six months or longer upon request from the competent authorities or courts. The removal order should be sent in one of the languages designated by the addressee pursuant to Article 14(2) |
SECTION A: Issuing Member State: NB: details of issuing authority to be provided at the end (Sections E and F) Addressee (legal representative) . . . Addressee (contact point) . . . Member State of jurisdiction of addressee: [if different to issuing state] Time and date of issuing the removal order . . . Reference number of the removal order: |
SECTION B: Content to be removed or access to it disabled within one hour without undue delay : [Am. 162] A URL and any additional information enabling the identification and exact location of the content referred: . . . Reason(s) explaining why the content is considered terrorist content, in accordance with Article 2 (5) of the Regulation (EU) xxx. The content (tick the relevant box(es)):
Additional information on the reasons why the content is considered terrorist content (optional): . . . . . . |
SECTION C: Information to content provider Please note that (tick, if applicable):
Otherwise: Details of possibilities to contest the removal order in the issuing Member State (which can be passed to the content provider, if requested) under national law; see Section G below: |
SECTION D: Informing Member State of jurisdiction
|
SECTION E: Details of the authority which issued the removal order The type of authority which issued this removal order (tick the relevant box):
Details of the issuing authority and/or its representative certifying the removal order as accurate and correct: Name of authority: Name of its representative: Post held (title/grade): File No: Address: Tel. No: (country code) (area/city code) Fax No: (country code) (area/city code) Email: Date: . . . Official stamp (if available) and signature (3): |
SECTION F: Contact details for follow-up Contact details where issuing authority can be reached to receive feedback on time of removal or the disabling of access, or to provide further clarification: . . . Contact details of the authority of the state of jurisdiction of the addressee [if different to the issuing Member State] . . . |
SECTION G: Information about redress possibilities Information about competent body or court, deadlines and procedures including formal requirements for contesting the removal order: [Am. 154] Competent body or court to contest the removal order: . . . Deadline for contesting the decision: Xxx months starting from xxxx Link to provisions in national legislation: . . . |
(1) Regulation of the European Parliament and of the Council on preventing the dissemination of terrorist content online (OJ L …).
(2) Regulation of the European Parliament and of the Council on preventing the dissemination of terrorist content online (OJ L …).
(3) A signature may not be necessary if sent through authenticated submission channels.
ANNEX II
FEEDBACK FORM FOLLOWING REMOVAL OR DISABLING OF TERRORIST CONTENT
(Article 4 (5) of Regulation (EU) xxx)
SECTION A: Addressee of the removal order: . . . Authority which issued the removal order: . . . File reference of the issuing authority . . . File reference of the addressee: . . . Time and date of receipt of removal order: . . . |
SECTION B: The terrorist content/access to terrorist content, subject to the removal order has been (tick the relevant box):
Time and date of removal or disabling access |
SECTION C: Details of the addressee Name of the hosting service provider/ legal representative: . . . Member State of main establishment or of establishment of the legal representative: Name of the authorised person: . . . Details of contact point (Email): Date: . . . |
ANNEX III
INFORMATION ON THE IMPOSSIBILITY TO EXECUTE THE REMOVAL ORDER (Article 4 (6) and (7) of Regulation (EU) xxx)
SECTION A: Addressee of the removal order: . . . Authority which issued the removal order: . . . File reference of the issuing authority: File reference of the addressee: Time and date of receipt of removal order: . . . |
SECTION B: Reasons for non-execution
|
SECTION H: Details of the service provider / its legal representative Name of the service provider/ legal representative: . . . Name of the authorised person: . . . Contact details (Email): . . . Signature: . . . Time and date: |
Thursday 18 April 2019
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/963 |
P8_TA(2019)0425
Eurojust-Denmark Agreement on Criminal Justice Cooperation *
European Parliament legislative resolution of 18 April 2019 on the draft Council implementing decision approving the conclusion by Eurojust of the Agreement on Criminal Justice Cooperation between Eurojust and the Kingdom of Denmark (07770/2019 — C8-0152/2019 — 2019/0805(CNS))
(Consultation)
(2021/C 158/69)
The European Parliament,
— |
having regard to the Council draft (07770/2019), |
— |
having regard to Article 39(1) of the Treaty on European Union, as amended by the Treaty of Amsterdam, and Article 9 of Protocol No 36 on transitional provisions, pursuant to which the Council consulted Parliament (C8-0152/2019), |
— |
having regard to Council Decision 2002/187/JHA of 28 February 2002 setting up Eurojust with a view to reinforcing the fight against serious crime (1), and in particular Article 26a(2) thereof, |
— |
having regard to Rule 78c of its Rules of Procedure, |
— |
having regard to the report of the Committee on Civil Liberties, Justice and Home Affairs (A8-0192/2019), |
1. |
Approves the Council draft; |
2. |
Calls on the Council to notify Parliament if it intends to depart from the text approved by Parliament; |
3. |
Asks the Council to consult Parliament again if it intends to substantially amend the text approved by Parliament; |
4. |
Instructs its President to forward its position to the Council and the Commission. |
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/964 |
P8_TA(2019)0426
CO2 emission performance standards for new heavy duty vehicles ***I
European Parliament legislative resolution of 18 April 2019 on the proposal for a regulation of the European Parliament and of the Council setting CO2 emission performance standards for new heavy-duty vehicles (COM(2018)0284 — C8-0197/2018 — 2018/0143(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/70)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2018)0284), |
— |
having regard to Article 294(2) and Article192(1) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0197/2018), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
having regard to the opinion of the European Economic and Social Committee of 17 October 2018 (1), |
— |
after consulting the Committee of the Regions, |
— |
having regard to the provisional agreement approved by the committee responsible under Rule 69f(4) of its Rules of Procedure and the undertaking given by the Council representative by letter of 22 February 2019 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
— |
having regard to Rule 59 of its Rules of Procedure, |
— |
having regard to the report of the Committee on the Environment, Public Health and Food Safety and the opinion of the committee on Transport and Tourism (A8-0354/2018), |
1. |
Adopts its position at first reading hereinafter set out (2); |
2. |
Takes note of the statement by the Commission annexed to this resolution; |
3. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
4. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
(1) OJ C 62, 15.2.2019, p. 286.
(2) This position replaces the amendments adopted on 14 November 2018 (Texts adopted, P8_TA(2018)0455).
P8_TC1-COD(2018)0143
Position of the European Parliament adopted at first reading on 18 April 2019 with a view to the adoption of Regulation (EU) 2019/… of the European Parliament and of the Council setting CO2 emission performance standards for new heavy-duty vehicles and amending Regulations (EC) No 595/2009 and (EU) 2018/956 of the European Parliament and of the Council and Council Directive 96/53/EC
(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) 2019/1242.)
ANNEX TO THE LEGISLATIVE RESOLUTION
Statement by the Commission
The Commission is pursuing the technical development of the Vehicle Energy Consumption Calculation Tool (VECTO) with a view of updating it regularly and in a timely manner, in the light of innovation and to take account of the implementation of new technologies improving the fuel efficiency of heavy-duty vehicles.
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/967 |
P8_TA(2019)0427
Promotion of clean and energy-efficient road transport vehicles ***I
European Parliament legislative resolution of 18 April 2019 on the proposal for a directive of the European Parliament and of the Council amending Directive 2009/33/EC on the promotion of clean and energy-efficient road transport vehicles (COM(2017)0653 — C8-0393/2017 — 2017/0291(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/71)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2017)0653), |
— |
having regard to Article 294(2) and Article 192 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0393/2017), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
having regard to the opinion of the European Economic and Social Committee of 19 April 2018 (1), |
— |
having regard to the opinion of the Committee of the Regions of 5 July 2018 (2), |
— |
having regard to the provisional agreement approved by the committee responsible under Rule 69f(4) of its Rules of Procedure and the undertaking given by the Council representative by letter of 20 February 2019 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
— |
having regard to Rule 59 of its Rules of Procedure, |
— |
having regard to the report of the Committee on the Environment, Public Health and Food Safety and the opinion of the Committee on Transport and Tourism (A8-0321/2018), |
1. |
Adopts its position at first reading hereinafter set out (3); |
2. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
3. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
(1) OJ C 262, 25.7.2018, p. 58.
(2) OJ C 387, 25.10.2018, p. 70.
(3) This position replaces the amendments adopted on 25 October 2018 (Texts adopted, P8_TA(2018)0424).
P8_TC1-COD(2017)0291
Position of the European Parliament adopted at first reading on 18 April 2019 with a view to the adoption of Directive (EU) 2019/… of the European Parliament and of the Council amending Directive 2009/33/EC on the promotion of clean and energy-efficient road transport vehicles
(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Directive (EU) 2019/1161.)
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/968 |
P8_TA(2019)0428
Use of digital tools and processes in company law ***I
European Parliament legislative resolution of 18 April 2019 on the proposal for a directive of the European Parliament and of the Council amending Directive (EU) 2017/1132 as regards the use of digital tools and processes in company law (COM(2018)0239 — C8-0166/2018 — 2018/0113(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/72)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2018)0239), |
— |
having regard to Article 294(2) and Article 50 (1) and points (b), (c), (f) and (g) of Article 50 (2) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0166/2018), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
having regard to the opinion of the European Economic and Social Committee of 17 October 2018 (1), |
— |
having regard to the provisional agreement approved by the committee responsible under Rule 69f(4) of its Rules of Procedure and the undertaking given by the Council representative by letter of 14 February 2019 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
— |
having regard to Rule 59 of its Rules of Procedure, |
— |
having regard to the report of the Committee on Legal Affairs (A8-0422/2018), |
1. |
Adopts its position at first reading hereinafter set out; |
2. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amends its proposal; |
3. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
P8_TC1-COD(2018)0113
Position of the European Parliament adopted at first reading on 18 April 2019 with a view to the adoption of Directive (EU) 2019/… of the European Parliament and of the Council amending Directive (EU) 2017/1132 as regards the use of digital tools and processes in company law
(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Directive (EU) 2019/1151.)
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/969 |
P8_TA(2019)0429
Cross-border conversions, mergers and divisions ***I
European Parliament legislative resolution of 18 April 2019 on the proposal for a directive of the European Parliament and of the Council amending Directive (EU) 2017/1132 as regards cross-border conversions, mergers and divisions (COM(2018)0241 — C8-0167/2018 — 2018/0114(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/73)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2018)0241), |
— |
having regard to Article 294(2) and Article 50(1) and (2), of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0167/2018), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
having regard to the opinion of the European Economic and Social Committee of 17 October 2018 (1), |
— |
having regard to the provisional agreement approved by the committee responsible under Rule 69f(4) of its Rules of Procedure and the undertaking given by the Council representative by letter of 27 March 2019 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
— |
having regard to Rule 59 of its Rules of Procedure, |
— |
having regard to the report of the Committee on Legal Affairs and also the opinions of the Committee on Employment and Social Affairs and the Committee on Economic and Monetary Affairs (A8-0002/2019), |
1. |
Adopts its position at first reading hereinafter set out; |
2. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
3. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
P8_TC1-COD(2018)0114
Position of the European Parliament adopted at first reading on 18 April 2019 with a view to the adoption of Directive (EU) 2019/… of the European Parliament and of the Council amending Directive (EU) 2017/1132 as regards cross-border conversions, mergers and divisions
(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Directive (EU) 2019/2121.)
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/970 |
P8_TA(2019)0430
European Defence Fund ***I
European Parliament legislative resolution of 18 April 2019 on the proposal for a regulation of the European Parliament and of the Council establishing the European Defence Fund (COM(2018)0476 — C8-0268/2018 — 2018/0254(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/74)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2018)0476), |
— |
having regard to Article 294(2), and Article 173(3), Article 182(4), Article 183 and the second paragraph of Article 188, of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0268/2018), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
having regard to the opinion of the European Economic and Social Committee of 12 December 2018 (1), |
— |
having regard to the letter from its President to the committee chairs of 25 January 2019 outlining the Parliament's approach to the Multiannual Financial Framework (MFF) post-2020 sectorial programmes, |
— |
having regard to the letter from the Council to the President of the European Parliament of 1 April 2019 confirming the common understanding reached between the co-legislators during negotiations, |
— |
having regard to Rule 59 of its Rules of Procedure, |
— |
having regard to the report of the Committee on Industry, Research and Energy and the opinions of the Committee on Foreign Affairs, the Committee on Budgets and the Committee on the Internal Market and Consumer Protection (A8-0412/2018), |
1. |
Adopts its position at first reading hereinafter set out (2); |
2. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
3. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
(1) OJ C 110, 22.3.2019, p. 75.
(2) This position replaces the amendments adopted on 12 December 2018 (Texts adopted, P8_TA(2018)0516).
P8_TC1-COD(2018)0254
Position of the European Parliament adopted at first reading on 18 April 2019 with a view to the adoption of Regulation (EU) …/… of the European Parliament and of the Council establishing the European Defence Fund
(Text with EEA relevance)
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on the Functioning of the European Union, and in particular Article 173(3), Article 182(4), Article 183 and the second paragraph of Article 188 thereof,
Having regard to the proposal from the European Commission,
After transmission of the draft legislative act to the national parliaments,
Having regard to the opinion of the European Economic and Social Committee,
Acting in accordance with the ordinary legislative procedure (1),
Whereas:
(-1b) |
The Union’s geopolitical context has changed dramatically in the last decade. The situation in Europe's neighbouring regions is unstable and the Union faces a complex and challenging environment combining the emergence of new threats, like hybrid and cyber-attacks and the return of more conventional challenges. Faced with that context both European citizens and their political leaders share the view that more has to be done collectively in the area of defence. |
(-1c) |
The defence sector is characterised by increasing costs of defence equipment and by high research and development (‘R&D’) costs that limit the launch of new defence programmes and directly impact on the competitiveness and innovation capacity of the European Defence Technological and Industrial Base. In view of this cost escalation, the development of a new generation of major defence systems and of new defence technologies should be supported at the Union level in order to increase cooperation between Member States in defence equipment investments. |
(1) |
In the European Defence Action Plan, adopted on 30 November 2016, the Commission committed to complement, leverage and consolidate collaborative efforts by Member States in developing defence technological and industrial capabilities to respond to security challenges, as well as to foster a competitive, innovative and efficient European defence industry throughout the Union and beyond, thus also supporting the creation of a more integrated defence market in Europe and fostering the internal market uptake of European defence products and technologies, thus increasing the non-dependency on non-EU sources . It proposed in particular to launch a European Defence Fund (the ‘Fund’) to support investments in joint research and the joint development of defence products and technologies, thus fostering synergies and cost-effectiveness, and to promote the Member States’ joint purchase and maintenance of defence equipment. This Fund would complement national funding already used for this purpose and should act as an incentive for Member States to cooperate and invest more in defence. The Fund would support cooperation during the whole cycle of defence products and technologies. |
(2) |
The Fund would contribute to the establishment of a strong, competitive and innovative European defence technological and industrial ▌base and go hand in hand with the Union's initiatives towards a more integrated European Defence Market and in particular, the two Directives (2) on procurement and on EU transfers in the defence sector adopted in 2009. |
(3) |
Following an integrated approach and in order to contribute to the enhancement of the competitiveness and innovation capacity of the Union's defence industry, a European Defence Fund should be established. The Fund should aim at enhancing the competitiveness, innovation, efficiency and technological autonomy of the Union's defence industry thereby contributing to the Union's strategic autonomy by supporting the cross border cooperation between Member States and cooperation between enterprises, research centres, national administrations, international organisations and universities throughout the Union , in the research phase and in the development phase of defence products and technologies. To achieve more innovative solutions and an open internal market, the Fund should support and facilitate the widening of cross-border cooperation of defence small and medium sized enterprises (‘SMEs’) and middle capitalisation companies (‘mid-caps’). Within the Union, common defence capability shortfalls are identified in the Common Security and Defence Policy ▌ framework notably through the Capability Development Plan , while the Overarching Strategic Research Agenda also identifies common defence research objectives . Other Union processes such as the Coordinated Annual Review on Defence and ▌Permanent Structured Cooperation will support the implementation of relevant priorities through identifying and taking forward opportunities for enhanced cooperation with a view to fulfilling the EU level of ambition on security and defence. Where appropriate, regional and international priorities, including those in the North Atlantic Treaty Organisation context, may also be taken into account if they are in line with Union priorities and do not prevent any Member State or an associated country from participating, while also taking into account that unnecessary duplication should be avoided. |
(4) |
The research phase is crucial ▌, as it conditions the capacity ▌ and the autonomy of the European industry to develop products and the independence of Member States as defence end-users. The research phase linked to the development of defence capabilities may include significant risks, in particular related to the low level of maturity and the disruption of technologies. The development phase, which usually follows the research ▌ phase, also entails significant risks and costs that hamper the further exploitation of the results of research and adversely impact the competitiveness and innovation of the Union's defence industry. The Fund should thus foster the link between the research and the development phases. |
(5) |
The Fund should not support basic research, which should instead be supported through other schemes, but may include defence-oriented fundamental research likely to form the basis of the solution to recognised or expected problems or possibilities. |
(6) |
The Fund could support actions pertaining to both new and the upgrade of existing products and technologies . Actions for the upgrade of existing defence products and technologies should be eligible only where pre-existing information needed to carry out the action ▌ is not subject to any restriction by non-associated third countries or non-associated third country entities in such a way that the action cannot be carried out. When applying for the Union funding, legal entities should be required to provide the relevant information to establish the absence of restrictions. In the absence of such information, ▌ Union funding should not be possible. |
(6a) |
The Fund should financially support actions conducive to developing disruptive technologies for defence. As disruptive technologies can be based on concepts or ideas originating from non-traditional defence actors, the Fund should allow for sufficient flexibility in consulting stakeholders and regarding the implementation of such actions. |
(7) |
In order to ensure that the Union's and its Member States' international obligations are respected in the implementation of this Regulation, actions relating to products or technologies the use, development or production of which are prohibited by international law should not be financially supported by the Fund. In this respect, the eligibility of actions related to new defence products or technologies ▌should also be subject to developments in international law. Actions for the development of lethal autonomous weapons without the possibility for meaningful human control over the selection and engagement decisions when carrying out strikes against humans should also not be eligible for financial support by the Fund, without prejudice to the possibility to provide funding for actions for the development of early warning systems and countermeasures for defensive purposes. |
(8) |
The difficulty to agree on consolidated defence capability requirements and common technical specifications or standards hampers cross-border collaboration between Member States and between legal entities based in different Member States. The absence of such requirements, specifications and standards has led to increased fragmentation of the defence sector, technical complexity, delays and inflated costs , unnecessary duplication as well as decreased interoperability. The agreement on common technical specifications should be a prerequisite for actions involving a higher level of technological readiness. Activities ▌ leading to common defence capability requirements ▌ as well as activities aiming at supporting the creation of a common definition of technical specifications or standards should also be eligible for support by the Fund , in particular where they foster interoperability . |
(9) |
As the objective of the Fund is to support the competitiveness , efficiency and innovation of the Union defence industry by leveraging and complementing collaborative defence research and technology activities and de-risking the development phase of cooperative projects, actions related to the research and the development of a defence product or technology should be eligible to benefit from it. This will also apply to the upgrade, including the interoperability thereof, of existing defence products and technologies. |
(10) |
Given that the Fund aims particularly at enhancing cooperation between legal entities and Member States across Europe, an action should be eligible for funding ▌ if it is undertaken by a cooperation within a consortium of at least three legal entities based in at least three different Member States ▌ or associated countries. At least three of these ▌ eligible entities established in at least two different Member States ▌or associated countries should not be ▌controlled, directly or indirectly, by the same entity or should not control each other. In this context, control should be understood as the ability to exercise a decisive influence on a legal entity directly or indirectly through one or more intermediate legal entities. Taking into account the specificities of disruptive technologies for defence, as well as of studies, these activities could be carried out by a single legal entity. In order to boost the cooperation between Member States the Fund may also support joint pre-commercial procurement. |
(11) |
Pursuant to [reference to be updated as appropriate according to a new decision on OCTs: Article 94 of Council Decision 2013/755/EU (3)], entities established in O verseas C ountries and Territories (OCTs ) should be eligible for funding subject to the rules and objectives of the Fund and possible arrangements applicable to the Member State to which the OCTs is linked. |
(12) |
As the Fund aims at enhancing the competitiveness and efficiency ▌ of the Union's defence industry, only entities established in the Union or in associated countries and not subject to control by non-associated third countries or non-associated third country entities should in principle be eligible for support. In this context, control should be understood as the ability to exercise a decisive influence on a legal entity directly or indirectly through one or more intermediate legal entities. Additionally, in order to ensure the protection of essential security and defence interests of the Union and its Member States, the infrastructure, facilities, assets and resources used by the recipients and their subcontractors in actions financially supported by the Fund should not be located on the territory of non-associated third countries , and their executive management structures should be established in the Union or in an associated country. Accordingly, an entity which is established in a non-associated third country or an entity which is established in the Union or in an associated country but which has its executive management structures in a non-associated third country is not eligible to be a recipient or subcontractor involved in the action. In order to safeguard the essential security and defence interests of the Union and its Member States, those eligibility conditions should also apply to funding provided through procurement, by derogation from Article 176 of the Financial Regulation. |
(13) |
In certain circumstances, ▌ it should be possible to derogate from the principle that recipients and their subcontractors involved in an action financially supported by the Fund are not be subject to control by non-associated third countries or non-associated third country entities. In that context , legal entities established in the Union or in an associated country that are controlled by a non-associated third country or a non-associated third country entity should be eligible as recipients or subcontractors involved in the action provided that strict conditions relating to the security and defence interests of the Union and its Member States are fulfilled. The participation of such legal entities should not contravene the objectives of the Fund. Applicants should provide all relevant information about the infrastructure, facilities, assets and resources to be used in the action. Member States' concerns regarding security of supply should also be taken into account in this respect. |
(13-a) |
In the framework of the EU's restrictive measures, adopted on the basis of Article 29 TEU and 215(2) TFEU, no funds or economic resources may be made available, directly or indirectly, to or for the benefit of designated legal persons, entities or bodies. Such designated entities, and entities owned or controlled by them, therefore cannot be financially supported by the Fund. |
(13a) |
Union funding should be granted following competitive calls for proposals issued in accordance with the Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council (the ‘Financial Regulation’) (4) . However, in certain duly justified and exceptional circumstances, Union funding may also be granted in accordance with Article 195(e) of the Financial Regulation. As the award of funding in accordance with Article 195(e) of the Financial Regulation constitutes a derogation from the general rule of following competitive calls for proposals, those exceptional circumstances should be interpreted strictly. In this context, for a grant to be awarded without a call for proposals, the degree to which the proposed action corresponds to the objectives of the Fund with respect to cross-border industrial collaboration and competition throughout the supply chain should be assessed by the Commission assisted by the committee of Member States (the ‘committee’). |
(14) |
If a consortium wishes to participate in an eligible action and the financial assistance of the Union is to take the form of a grant, the consortium should appoint one of its members as a coordinator who will be the principal point of contact. |
(15) |
In case an action financially supported by the Fund is managed by a project manager appointed by Member States or associated countries, the Commission should consult the project manager prior to executing the payment to the recipient s, so that the project manager can ensure that the time-frames are respected by the recipients. ▌ T he project manager should provide the Commission with ▌ observations on the progress of the action so that the Commission can validate whether the conditions to proceed to the payment are fulfilled. |
(15a) |
The Commission should implement the Fund under direct management so as to maximise effectiveness and efficiency of the delivery and ensure full consistency with other Union initiatives. Therefore, the Commission should remain responsible for the selection and award procedures, including as regards ethics assessments. In justified cases, the Commission may however entrust certain implementation tasks for specific actions financially supported by the Fund to bodies referred to in Article 62(1)(c) of the Financial Regulation. This could for example be the case when a project manager has been appointed by Member States co-financing an action provided the requirements of the Financial Regulation are met. Such an entrustment would help to streamline the management of co-financed actions and ensure a smooth coordination of the financing agreement with the contract signed between the consortium and the project manager appointed by Member States which co-finance the action. |
(16) |
In order to ensure that the funded actions are financially viable, it is necessary that the applicants demonstrate that the costs of the action not covered by the Union's funding are covered by other means of financing. |
(17) |
Different types of financial arrangement should be at the disposal of Member States for the joint development and acquisition of defence capabilities. The ▌Commission could provide different types of arrangements that Member States could use on a voluntary basis to address challenges for collaborative development and procurement from a financing perspective. The use of such financial arrangements could further foster the launch of collaborative and cross-border defence projects and increase the efficiency of defence spending, including for projects supported by the ▌ Fund. |
(18) |
Given the specificities of the defence industry, where demand comes almost exclusively from Member States and associated countries, which also control all acquisition of defence-related products and technologies, including exports, the functioning of the defence sector is unique and does not follow the conventional rules and business models that govern more traditional markets. Industry therefore cannot undertake substantial self-funded defence Research and Development (‘R&D’) projects and Member States and associated countries often fully fund all R&D cost. To achieve the objectives of the Fund, notably to incentivise cooperation between legal entities from different Member States and associated countries, and taking into account the specific itie s of the defence sector, up to the totality of the eligible costs should be covered for actions that take place ahead of the development of prototype phase. |
(19) |
The prototype phase is a crucial phase where Member States or associated countries usually decide on their consolidated investment and start the acquisition process of their future defence products or technologies. This is the reason why, at this specific stage, Member States and associated countries agree on the necessary commitments including cost-sharing and ownership of the project. To ensure the credibility of their commitment, the financial assistance of the Union under the Fund should normally not exceed 20 % of the eligible costs. |
(20) |
For actions beyond the prototype phase, funding up to 80 % should be foreseen. These actions which are closer to product and technology finalisation may still involve substantial costs. |
(21) |
Stakeholders in the defence sector are facing specific indirect costs, such as costs for security. Furthermore, stakeholders are working in a specific market where they — without any demand on the buyers' side — cannot recover the R&D costs like in the civilian sector. Therefore, it is justified to allow a flat rate of 25 % as well as the possibility ▌to charge indirect costs calculated in accordance with the usual accounting practi c es of the recipients if these practises are accepted by their national authorities for comparable activities in the defence domain , which have been communicated to the Commission. ▌ |
(21a) |
Actions with participation of cross-border SMEs and mid-caps support the opening up of the supply chains and contribute to the objectives of the Fund. Such actions should therefore be eligible for an increased funding rate benefitting all participating entities. |
(22) |
In order to ensure that the funded actions will contribute to the competitiveness and efficiency of the European defence industry, it is important that Member States ▌ intend to jointly procure the final product or use the technology, notably through joint cross-border procurement, where Member States jointly organise their procurement procedures in particular with the use of a central purchasing body. |
(22a) |
In order to ensure that the actions financially supported by the Fund contribute to the competitiveness and efficiency of the European defence industry, they should be market-oriented, demand driven and commercially viable in the medium to long term. The eligibility criteria for development actions should therefore take into account the fact that Member States intend, including through a Memorandum of Understanding or a letter of intent, to procure the final defence product, or use the technology, in a coordinated way. The award criteria for development actions should also take into account the fact that Member States commit politically or legally, to jointly use, own or maintain the final defence product or technology. |
(23) |
The promotion of innovation and technological development in the Union defence industry should take place in a manner coherent with the security and defence interests of the Union. Accordingly, the actions’ contribution to those interests and to the defence research and capability priorities commonly agreed by Member States should serve as an award criterion. ▌ |
(24) |
Eligible actions developed in the context of Permanent Structured Cooperation ▌ in the institutional framework of the Union should ensure enhanced cooperation between legal entities in the different Member States on a continuous basis and thus directly contribute to the aims of the Fund. If selected, such projects should thus be eligible for an increased funding rate. |
(25) |
The Commission will take into account the other activities financed under the Horizon Europe Framework programme in order to avoid unnecessary duplication and ensure the cross-fertilisation and synergies between civil and defence research. |
(26) |
Cybersecurity and cyber defence are increasingly important challenges and the Commission and the High Representative of the Union for Foreign Affairs and Security Policy recognised the need to establish synergies between cyber defence actions within the scope of the Fund and Union initiatives in the field of cybersecurity, such as those announced in the Joint Communication on cybersecurity. In particular, the European Cybersecurity Industrial, Technology and Research Competence Centre to be set up should seek synergies between the civilian and defence dimensions of cybersecurity. It could actively support Member States and other relevant actors by providing advice, sharing expertise and facilitating collaboration with regard to projects and actions as well as when requested by Member States acting as a project manager in relation to the ▌ Fund. |
(27) |
An integrated approach should be ensured by bringing together activities covered by the Preparatory Action on Defence Research (‘PADR’) launched by the Commission within the meaning of Article 58(2)(b) of the Financial Regulation and the European Defence Industrial Development Programme (‘EDIDP’) established by Regulation (E U ) 2018/1092 of the European Parliament and of the Council (5), and to harmonise the conditions for participation, to create a more coherent set of instruments, and to increase the innovative, collaborative and economic impact, while avoiding unnecessary duplication and fragmentation. With this integrated approach, the Fund would also contribute to a better exploitation of the results of defence research, covering the gap between the research and the development phases taking into account the specificities of the defence sector, and promoting all forms of innovation, including disruptive innovation ▌. Positive spillover effects can also be expected, where applicable, in the civilian field. |
(28) |
Where appropriate in view of the specificities of the action, t he ▌ objectives of the Fund should be also addressed through financial instruments and budgetary guarantees under ▌ InvestEU. |
(29) |
Financial support should be used to address market failures or sub-optimal investment situations, in a proportionate manner and actions should not duplicate or crowd out private financing or distort competition in the internal market. Actions should have a clear ▌ added value for the Union . |
(30) |
The types of financing and the methods of implementation of the Fund should be chosen on the basis of their ability to achieve the specific objectives of the actions and to deliver results, taking into account, in particular, the costs of controls, the administrative burden, and the expected risk of non-compliance. This should include consideration of the use of lump sums, flat rates and unit costs, as well as financing not linked to costs as referred to in Article ▌ 125(1) ▌ of the Financial Regulation. |
(31) |
The Commission should establish annual ▌ work programmes in line with the objectives of the Fund , and taking into account the initial lessons learned from the EDIDP and the PADR . The Commission should be assisted in the establishment of the work programmes by the committee . The Commission should endeavour to find solutions which command the widest possible support within the committee. In that context, the committee may meet in the configuration of national defence and security experts to provide specific assistance to the Commission, including to provide advice with regard to the protection of classified information in the framework of the actions. It is for the Member States to designate their respective representatives on that committee. Committee members should be given early and effective opportunities to examine the draft implementing acts and express their views. |
(31a) |
The categories of the work programmes should contain functional requirements in order to clarify for industry what functionalities and tasks have to be carried out by the capabilities which will be developed. Such requirements should give a clear indication of the expected performances but should not be directed to specific solutions or specific entities and should not prevent competition at the level of the calls for proposals. |
(31b) |
During the elaboration of the work programmes, the Commission should also ensure, through appropriate consultations with the committee, that the proposed research or development actions avoid unnecessary duplication. In this context, the Commission may carry out an upfront assessment of possible duplication cases with existing capabilities or already funded research or development projects within the Union. |
(31bb) |
The Commission should ensure the coherence of the work programmes throughout the industrial cycle of defence products and technologies. |
(31bc) |
The work programmes should also ensure that a credible proportion of the overall budget benefits actions enabling the cross-border participation of SMEs. |
(31c) |
In order to benefit from its expertise in the defence sector, the European Defence Agency will be given the status of an observer in the committee. Given the specificities of the defence area, the European External Action Service should also assist in the committee. |
(32) |
In order to ensure uniform conditions for the implementation of this Regulation implementing powers should be conferred on the Commission as regards the adoption of the work programme and for awarding the funding to selected development actions. In particular, while implementing development actions, the specificities of the defence sector, notably the responsibility of Member States and/or associated countries for the planning and acquisition process, should be taken into account. These implementing powers should be exercised in accordance with Regulation (EU) ▌ No 182/2011 of the European Parliament and of the Council ▌ (6). |
(32a) |
After evaluation of the proposals with the help of independent experts, whose security credentials should be validated by the relevant Member States, the Commission should select the actions to be financially supported by the Fund. The Commission should establish a database of independent experts. The database should not be made public. The independent experts should be appointed on the basis of their skills, experience and knowledge, taking account of the tasks to be assigned to them. As far as possible, when appointing the independent experts, the Commission should take appropriate measures to seek a balanced composition within the expert groups and evaluation panels in terms of variety of skills, experience, knowledge, geographical diversity and gender, taking into account the situation in the field of the action. An appropriate rotation of experts and appropriate private-public sector balance should also be sought. Member States should be informed of the evaluation results with the ranking list of selected actions and of the progress of the funded actions. In order to ensure uniform conditions for the implementation of this Regulation, implementing powers should be conferred on the Commission as regards the adoption and the implementation of the work programme, as well as for the adoption of the award decisions. Those powers should be exercised in accordance with Regulation (EU) No 182/2011 of the European Parliament and of the Council. |
(32b) |
Independent experts should not evaluate, advise or assist on matters with regard to which they have a conflict of interests, in particular as regards their current position. In particular, they should not be in a position where they could use the information received to the detriment of the consortium they evaluate. |
(32bb) |
▌When proposing new defence products or technologies or the upgrade of existing ones, applicants should commit themselves to complying with ethical principles, such as those relating to the welfare of human beings and the protection of the human genome, reflected also in relevant national, Union and international law, including the Charter of Fundamental Rights of the European Union and the European Convention on Human Rights and, where relevant, its Protocols. The Commission should ensure that proposals are systematically screened to identify those actions raising serious ethical issues and submit them to an ethics assessment. |
(33) |
In order to support an open internal market, the participation of cross-border SMEs and mid-caps, either as members of consortia, ▌ subcontractors or as entities in the supply chain should be encouraged. ▌ |
(34) |
The Commission should endeavour to maintain a dialogue with ▌Member States and industry to ensure the success of the Fund. As a co-legislator and key stakeholder, the European Parliament should also be engaged in this regard. |
(35) |
This Regulation lays down a financial envelope for the European Defence Fund which is to constitute the prime reference amount, within the meaning of [the new inter-institutional agreement] between the European Parliament, the Council and the Commission on budgetary discipline, on cooperation in budgetary matters and on sound financial management (7), for the European Parliament and the Council during the annual budgetary procedure. The Commission should ensure that administrative procedures are kept as simple as possible and incur a minimum amount of additional expenses. |
(36) |
The Financial Regulation applies to the Fund, unless otherwise specified. It lays down rules on the implementation of the Union budget, including the rules on grants, prizes, procurement, financial assistance, financial instruments and budgetary guarantees. |
(37) |
Horizontal financial rules adopted by the European Parliament and the Council on the basis of Article 322 of the Treaty on the Functioning of the European Union (TFEU) apply to this Regulation. These rules are laid down in the Financial Regulation and determine in particular the procedure for establishing and implementing the budget through grants, procurement, prizes, indirect implementation, and provide for checks on the responsibility of financial actors. Rules adopted on the basis of Article 322 TFEU also concern the protection of the Union's budget in case of generalised deficiencies as regards the rule of law in the Member States, as the respect for the rule of law is an essential precondition for sound financial management and effective EU funding. |
(38) |
In accordance with the Financial Regulation, Regulation (EU, Euratom) No 883/2013 of the European Parliament and of the Council (8), Council Regulation (Euratom, EC) No 2988/95 (9), Council Regulation (Euratom, EC) No 2185/96 (10) and Council Regulation (EU) 2017/1939 (11), the financial interests of the Union are to be protected through proportionate measures, including the prevention, detection, correction and investigation of irregularities , including fraud, the recovery of funds lost, wrongly paid or incorrectly used and, where appropriate, the imposition of administrative sanctions. In particular, in accordance with Regulation (EU, Euratom) No 883/2013 and Regulation (Euratom, EC) No 2185/96, the European Anti-Fraud Office (OLAF) may carry out administrative investigations, including on-the-spot checks and inspections, with a view to establishing whether there has been fraud, corruption or any other illegal activity affecting the financial interests of the Union. In accordance with Regulation (EU) 2017/1939, the European Public Prosecutor's Office ( the ‘ EPPO’) may investigate and prosecute ▌offences against the Union's financial interests, ▌as provided for in Directive (EU) 2017/1371 of the European Parliament and of the Council (12). In accordance with the Financial Regulation, any person or entity receiving Union funds is to fully cooperate in the protection of the Union’s financial interests, to grant the necessary rights and access to the Commission, OLAF, the EPPO in respect of those Member States participating in enhanced cooperation pursuant to Regulation (EU) 2017/1939, and the European Court of Auditors (ECA) and to ensure that any third parties involved in the implementation of Union funds grant equivalent rights. |
(39) |
Third countries which are members of the European Economic Area (EEA) may participate in Union programmes in the framework of the cooperation established under the EEA agreement, which provides for the implementation of the programmes by a decision under that agreement. A specific provision should be introduced in this Regulation to grant the necessary rights for and access to the authorising officer responsible, the European Anti-Fraud Office (OLAF) as well as the European Court of Auditors to comprehensively exert their respective competences. |
(40) |
Pursuant to paragraph 22 and 23 of the Inter-institutional agreement for Better Law-Making of 13 April 2016, there is a need to evaluate this regulation on the basis of information collected through specific monitoring requirements, while avoiding overregulation and administrative burdens, in particular on Member States. These requirements, where appropriate, can include measurable indicators, as a basis for evaluating the effects of the regulation on the ground. The Commission should carry out an interim evaluation no later than four years after the start of the Fund implementation , including with a view to submitting proposals for any appropriate amendments to the present Regulation, and a final evaluation at the end of the implementation period of the Fund, examining the financial activities in terms of financial implementation results and to the extent possible at that point in time, results and impact. In this context, the final evaluation report should also help identify where the Union is dependent on third countries for the development of defence products and technologies. This final report should also analyse the cross-border participation of SMEs and mid-caps in projects financially supported by the Fund as well as the participation of SMEs and mid-caps to the global value chain , and the contribution of the Fund to addressing the shortfalls identified in the Capability Development Plan, and should include information on the origin of the recipients, the number of Member States and associated countries involved in individual actions and the distribution of the generated intellectual property rights . The Commission may also propose amendments to this Regulation to react on possible developments during the implementation of the Fund. |
( 40a) |
The Commission should regularly monitor the implementation of the Fund and annually report on the progress made, including how lessons identified and lessons learned from the EDIDP and the PADR are being taken into account in the implementation of the Fund. To this end, the Commission should put in place necessary monitoring arrangements. This report should be presented to the European Parliament and to the Council, and should not contain sensitive information. |
(41) |
Reflecting the importance of tackling climate change in line with the Union's commitments to implement the Paris Agreement and the United Nations Sustainable Development Goals, this Fund ▌will contribute to mainstream climate action in the Union's policies and to the achievement of an overall target of 25 % of the EU budget expenditures supporting climate objectives. Relevant actions will be identified during the Fund's preparation and implementation, and reassessed in the context of its mid-term evaluation. |
(42) |
As the Fund supports only the research and the development phases of defence products and technologies, in principle the Union should not have ownership or intellectual property rights (IPRs) over the products or technologies resulting from the funded actions unless the Union assistance is provided through public procurement. However, for research actions, interested Member States and associated countries should have the possibility to use the results of funded actions to participate in follow-up cooperative development ▌. |
(43) |
The Union financial support should not affect the transfer of defence-related products within the Union in accordance with Directive 2009/43/ EC of the European Parliament and ▌ the Council (13) nor the export of products, equipment or technologies. The export of military equipment and technologies by the Member States is regulated by Common Position 944/2008/CFSP. |
(44) |
The u se of sensitive background information , including data, know how or information, generated before or outside the performance of the Fund, or access by unauthorised individuals to ▌results generated in connection to actions financially supported by the Fund may have an adverse impact on the interests of the Union or of one or more of the Member States. The handling of sensitive information should thus be governed by ▌ relevant Union and national law ▌. |
(44a) |
In order to ensure the security of classified information at the requisite level, the minimum standards on industrial security should be complied with when signing classified funding and financing agreements. For that purpose, and in accordance with Commission Decision (EU, Euratom) 2015/444, the Commission is to communicate the Programme Security Instructions, including the Security Classification Guide, for advice to the experts designated by Member States. |
(45) |
In order to be able to supplement or amend the impact pathway indicators, where considered necessary, the power to adopt acts in accordance with Article 290 of the Treaty on the Functioning of the European Union should be delegated to the Commission. ▌It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. |
(46) |
The Commission should manage the Fund having due regard to the requirements of confidentiality and security, in particular classified information and sensitive information. |
▌ HAVE ADOPTED THIS REGULATION:
TITLE I
COMMON PROVISIONS
APPLICABLE FOR RESEARCH AND DEVELOPMENT▌
Article 1
Subject matter
This Regulation establishes the European Defence Fund (‘the Fund’) , as set out in Article 1(3)(b) of Regulation …/…/EU [Horizon — 2018/0224(COD)] .
It lays down the objectives of the Fund, the budget for the period 2021-2027, the forms of Union funding and the rules for providing such funding.
Article 2
Definitions
For the purposes of this Regulation, the following definitions apply:
(0) |
‘applicant’ means a legal entity submitting an application for support by the Fund after a call for proposals or in accordance with Article 195(e) of the Financial Regulation; |
(1) |
‘blending operations’ means actions supported by the EU budget, including within blending facilities pursuant to Article 2(6) of the Financial Regulation, combining non-repayable forms of support ▌or financial instruments from the EU budget with repayable forms of support from development or other public finance institutions, as well as from commercial finance institutions and investors; |
( 1a) |
‘certification’ means the process by which a national authority certifies that the defence product, tangible or intangible component or technology complies with the applicable regulations; |
(1b) |
‘classified information’ means any information or material, in any form, the unauthorised disclosure of which could cause varying degrees of prejudice to the interests of the European Union, or of one or more of the Member States, and which bears an EU classification marking or a corresponding classification marking, in line with the agreement between the Member States of the European Union, meeting within the Council, regarding the protection of classified information exchanged in the interests of the European Union (2011/C 202/05); |
(1c) |
‘consortium’ means a collaborative grouping of applicants or recipients bound by a consortium agreement and constituted to carry out an action under the Fund; |
(1d) |
‘coordinator’ means a legal entity which is a member of a consortium and has been appointed by all the members of the consortium to be the principal point of contact in relations with the Commission; |
(2) |
‘control’ means the ability to exercise a decisive influence on an legal entity directly or indirectly through one or more intermediate legal entities; |
(3) |
‘development action’ means any action consisting ▌of defence-oriented activities primarily in the development phase, covering new products or technologies or the upgrading of existing ones, excluding the production or use of weapons; |
(4) |
‘disruptive technology for defence’ means a technology inducing radical change, including an enhanced or completely new technology, inducing a paradigm shift in the concepts and conduct of defence affairs including by replacing existing defence technologies or rendering them obsolete ; |
(5) |
‘executive management structures’ means of a legal entity appointed in accordance with national law, and, where applicable, reporting to the chief executive officer, which is empowered to establish the legal entity's strategy, objectives and overall direction, and which oversee s and monitor s management decision-making; |
(5a) |
‘foreground information’ means data, know-how or information generated in the performance of the Fund, whatever its form or nature; |
(6) |
‘legal entity’ means any ▌legal person created and recognised as such under national law, Union law or international law, which has legal personality and which may, acting in its own name, exercise rights and be subject to obligations, or an entity without a legal personality in accordance with Article ▌ 197(2)(c) ▌of the Financial Regulation; |
(7) |
‘middle capitalisation company’ or ‘mid-cap’ means an enterprise that is not a ▌SME▌ and that has ▌up to 3 000 employees, where the staff headcount is calculated in accordance with Articles 3 to ▌6 of ▌the Annex to Commission Recommendation 2003/361/EC (14); |
(8) |
‘pre-commercial procurement’ means the procurement of research and development services involving risk-benefit sharing under market conditions, competitive development in phases, where there is a clear separation of the research and development services procured from the deployment of commercial volumes of end-products; |
(9) |
‘project manager’ means any contracting authority established in a Member State or an associated country, tasked by a Member State or an associated country or a group of Member States ▌or associated countries to manage multinational armament projects permanently or on an ad-hoc basis; |
(9a) |
‘qualification’ means the entire process of demonstrating that the design of a defence product, tangible or intangible component or technology meets the specified requirements, providing objective evidence by which particular requirements of a design are demonstrated to have been met; |
(10) |
‘recipient’ means any legal entity with which a funding or financing agreement has been signed or to which a funding or financing decision has been notified ; |
(11) |
‘research action’ means any action consisting primarily of research activities , notably applied research and where necessary fundamental research, with the aim of acquiring new knowledge and with an exclusive focus on defence applications; |
(12) |
‘results’ means any tangible or intangible effect of the action, such as data, know-how or information, whatever its form or nature, whether or not it can be protected, as well as any rights attached to it, including intellectual property rights; |
(12a) |
‘sensitive information’ means information and data, including classified information, that must be protected from unauthorised access or disclosure because of obligations laid down in national or Union law or in order to safeguard the privacy or security of an individual or organisation; |
(12b) |
‘small and medium-sized enterprises’ or ‘SMEs’ means small and medium-sized enterprises as defined in Commission Recommendation 2003/361/EC; |
(13) |
‘special report’ means a specific deliverable of a research action summarising its results, providing extensive information on the basic principles, the aims, the actual outcomes, the basic properties, the performed tests, the potential benefits, the potential defence applications and the expected exploitation path of the research towards development, including information on the ownership of IPRs but not requiring the inclusion of IPR information ; |
(14) |
‘system prototype’ means a model of a product or technology that can demonstrate performance in an operational environment; |
(15) |
‘third country’ means a country that is not a member of the Union; |
(16) |
‘non-associated third country’ means a third country that is not an associated country in accordance with Article 5; |
(17) |
‘non-associated third country entity’ means a legal entity established in a non-associated third country or , where it is established in the Union or in an associated country, having its executive management structures in a non-associated third country; |
Article 3
Objectives of the Fund
1. The general objective of the Fund is to foster the competitiveness, efficiency and innovation capacity of the European defence technological and industr ial base throughout the Union, which contributes to the Union strategic autonomy and its freedom of action, by supporting collaborative actions and cross-border cooperation between legal entities throughout the Union, in particular SMEs and mid-caps as well as strengthening and improving the agility of both defence supply and value chains, widening cross-border cooperation between legal entities and fostering the better exploitation of the industrial potential of innovation, research and technological development, at each stage of the industrial life cycle of defence products and technologies . ▌
2. The Fund shall have the following specific objectives:
(a) |
support ▌ collaborative research ▌that could significantly boost the performance of ▌future capabilities throughout the Union , aiming at maximising innovation and introducing new defence products and technologies, including disruptive ones , and at the most efficient use of defence research spending in the Union ; |
(b) |
support collaborative development ▌of defence products and technologies ▌ , thus contributing to greater efficiency of defence spending within the Union, achieving greater economies of scale, reducing the risk of unnecessary duplication and as such incentivising the market uptake of European products and technologies and reducing the fragmentation of defence products and technologies throughout the Union. Ultimately, the Fund will lead to an increase in the standardisation of defence systems and greater interoperability between Member States' capabilities. Such cooperation shall be consistent with defence capability priorities commonly agreed by Member States within the framework of the Common Foreign and Security Policy and particularly in the context of the Capability Development Plan. In this regard, regional and international priorities, when they serve the Union's security and defence interests as determined under the Common Foreign and Security Policy, and taking into account the need to avoid unnecessary duplication, may also be taken into account, where appropriate, wherever they do not exclude the possibility of participation of any Member State or associated country. |
Article 4
Budget
1. In accordance with Article 9(1) of Regulation …/…/EU t he financial envelope for the implementation of the European Defence Fund for the period 2021 — 2027 shall be EUR 11 453 260 000 in 2018 prices EUR 13 000 000 000 in current prices.
2. The ▌distribution of the amount referred to in paragraph 1 shall be:
(a) |
▌EUR 3 612 182 000 in 2018 prices ( EUR 4 100 000 000 for research actions; |
(b) |
▌ EUR 7 841 078 000 in 2018 prices ( EUR 8 900 000 000 in current prices) for development actions. |
2a . In order to respond to unforeseen situations or new developments and needs, the Commission may reallocate amounts between the allocations for research actions and development actions referred to in paragraph 2, up to a maximum of 20 %.
3. The amount referred to in paragraph 1 may be used for technical and administrative assistance for the implementation of the Fund, such as preparatory, monitoring, control, audit and evaluation activities including corporate information technology systems.
4. At least 4 % and up to 8 % of the financial envelope referred to in paragraph 1 shall be allocated to calls for proposals or awards of funding support ing disruptive technologies for defence.
Article 5
Associated countries
The Fund shall be open to the European Free Trade Association (EFTA) members which are members of the European Economic Area (EEA), in accordance with the conditions laid down in the EEA agreement. Any financial contribution to the Fund pursuant to this Article shall constitute assigned revenue in accordance with Article [21(5)] of the Financial Regulation.
Article 6
Support to disruptive technologies for defence
1. The Commission shall award funding following open and public consultations on ▌ technologies with a focus on defence applications having the potential to disrupt defence affairs in the areas of intervention defined in the work programmes.
2. The work programmes shall lay down the most appropriate form of funding to finance these disruptive technologies for defence .
Article 7
Ethics
1. Actions implemented under the Fund shall comply with relevant national, Union and international law, including the Charter of Fundamental Rights of the European Union. These actions shall also comply with ethical principles reflected also in relevant national, Union and international law .
2. Before the signature of the funding agreement, proposals shall be ▌ screened by the Commission, on the basis of an ethics self-assessment prepared by the consortium, to identify those actions raising ▌serious ethic al issues including with regard to the conditions of implementation and, where appropriate , shall be submitt ed to an ethics assessment.
Ethics screenings and assessments shall be carried out by the Commission with the support of independent experts with various backgrounds, in particular with recognised expertise on defence ethics.
The conditions for the implementation of activities with ethically sensitive issues shall be specified in the funding agreement.
The Commission shall ensure the transparency of the ethics procedures as much as possible and shall report on this in the framework of its obligations under Article 32 . Experts shall be nationals of as broad a range of Member States as possible.
3. Entities participating in the action shall obtain all relevant approvals or other mandatory documents required by national or local ethics committees or other bodies such as data protection authorities before the start of the relevant activities. Those documents shall be kept on file and provided to the Commission upon request .
▌
5. Proposals which are not ethically acceptable shall be rejected ▌.
▌
Article 8
Implementation and forms of EU funding
1. The Fund shall be implemented in direct management in accordance with the Financial Regulation.
1a. By derogation from paragraph 1, in justified cases, specific actions may be implemented under indirect management by bodies referred to in Article 62(1)(c) of the Financial Regulation. This may not cover the selection and award procedure, as referred to in Article 12.
2. The Fund may provide funding in accordance with the Financial Regulation, through grants, prizes and procurement , and where appropriate in view of the specificities of the action, financial instruments within blending operations.
2a. Blending operations shall be implemented in accordance with Title X of the Financial Regulation and the InvestEU Regulation.
2b. Financial instruments shall be strictly directed to the recipients only.
▌
Article 10
Eligible entities
1. Recipients and ▌ subcontractors involved in the action financially supported by the Fund shall be ▌ established in the Union or in an associated country ▌.
1a. The infrastructure, facilities, assets and resources of the recipients and subcontractors involved in an action which are used for the purposes of the actions financially supported by the Fund shall be located on the territory of a Member State or of an associated country for the entire duration of an action, and their executive management structures shall be established in the Union or in an associated country.
1b. For the purpose of an action financially supported by the Fund, the recipients and subcontractors involved in an action shall not be subject to control by a non-associated third country or by a non-associated third country entity.
2. By derogation from paragraph 1 b of this Article, a legal entity established in the Union or in an associated country and controlled by a non-associated third country or a non-associated third country entity shall be ▌ eligible as a recipient or subcontractor involved in an action only if guarantees approved by the Member State or the associated country in which it is established, in accordance with its national procedures, are made available to the Commission. Those guarantees may refer to the legal entity's executive management structure established in the Union or in an associated country. If deemed to be appropriate by the Member State or associated country in which the legal entity is established, those guarantees may also refer to specific governmental rights in the control over the legal entity.
The guarantees shall provide assurances that the involvement in an action of such a legal entity would not contravene the security and defence interests of the Union and its Member States as established in the framework of the Common Foreign and Security Policy pursuant to Title V of the TEU, or the objectives set out in Article 3. The guarantees shall also comply with the provisions of Articles 22 and 25. The guarantees shall in particular substantiate that, for the purpose of the action, measures are in place to ensure that :
(a) |
▌control over the applicant legal entity is not exercised in a manner that retrains or restricts ▌ its ability to carry the action out the action and to deliver results, that imposes restrictions concerning its infrastructure, facilities, assets, resources, intellectual property or know-how needed for the purpose of the action, or that undermines its capabilities and standards necessary to carry out the action ; |
(b) |
▌access by a non-associated third countries or by a non-associated third country entit y to ▌ sensitive information relating to the action is prevented; and the employees or other persons involved in the action ▌have a national security clearance issued by a Member State or an associated country , where appropriate ; |
(c) |
ownership of the intellectual property arising from, and the results of, the action remain within the recipient during and after completion of the action, are not subject to control or restrictions by non-associated third countries or other non-associated third country entit y, and are not exported outside the Union or outside associated countries, nor is access to them from outside the Union or outside associated countries granted, without the approval of the Member States or the associated country in which the legal entity is established and in accordance with the objectives set out in Article 3. |
If deemed to be appropriate by the Member State or the associated country in which the legal entity is established, additional guarantees may be provided.
The Commission shall inform the committee referred to in Article 28 of any legal entity deemed to be eligible in accordance with this paragraph.
▌
4. Where are no competitive substitutes are readily available in the Union or in an associated country, recipients and subcontractors involved in an action may use their assets, infrastructure, facilities and resources located or held outside the territory of the Union’s Member States or associated countries provided that that usage does not contraven e the security and defence interests of the Union and its Member States, is consistent with the objectives set out in Article 3 and is fully in line with Articles 22 and 25 . ▌ The costs related to those activities shall not be eligible for financial support by the Fund.
4a. When carrying out an eligible action, recipients and subcontractors involved in the action may also cooperate with legal entities established outside the territory of the Member States or of associated countries, or controlled by a non-associated third country or by a non-associated third country entity, including by using the assets, infrastructure, facilities and resources of such legal entities, provided that this does not contravene the security and defence interests of the Union and its Member States. Such cooperation shall be consistent with the objectives set out in Article 3 and shall be fully in line with Articles 22 and 25.
There shall be no unauthorised access by a non-associated third country or other non-associated third country entity to classified information relating to the carrying out of the action and potential negative effects over security of supply of inputs critical to the action shall be avoided.
The costs related to those activities shall not be eligible for support by the Fund.
▌
6. Applicants shall provide all relevant information necessary for the assessment of the eligibility criteria ▌. In the event of a change during the carrying out of an action which might put into question the fulfilment of the eligibility criteria, the relevant legal entity shall inform the Commission, which shall assess whether these eligibility criteria and conditions continue to be met and shall address the potential impact on the funding of the action.
7. ▌
8. ▌
9. For the purpose of this Article, subcontractors involved in an action financially supported by the Fund refers to subcontractors with a direct contractual relationship to a recipient , other subcontractors to which at least 10 % of the total eligible costs of the action is allocated, and subcontractors which may require access to classified information ▌ in order to carry out the action , and which are not members of the consortium .
Article 11
Eligible actions
1. Only actions implementing the objectives referred to in Article 3 shall be eligible for funding.
2. The Fund shall provide support for actions covering ▌new defence products and technologies and the upgrade of existing products and technologies provided that the use of pre-existing information needed to carry out the actions for the upgrade is not subject to a restriction by a non-associated third countr y or a non-associated third country entit y, directly, or indirectly through one or more intermediary legal entities, in such a way that the action cannot be carried out .
3. An eligible action shall relate to one or more of the following activities :
(a) |
activities aiming to create, underpin and improve ▌knowledge , products and technologies, including disruptive ▌ technologies, which can achieve significant effects in the area of defence; |
(b) |
activities aiming to increase interoperability and resilience, including secured production and exchange of data, to master critical defence technologies, to strengthen the security of supply or to enable the effective exploitation of results for defence products and technologies; |
(c) |
studies, such as feasibility studies to explore the feasibility of a new or improved technolog ies , product s , process es , service s and solution s ▌; |
(d) |
the design of a defence product, tangible or intangible component or technology as well as the definition of the technical specifications on which such design has been developed which may include partial tests for risk reduction in an industrial or representative environment; |
(e) |
the development of a model of a defence product, tangible or intangible component or technology, which can demonstrate the element's performance in an operational environment (system prototype); |
(f) |
the testing of a defence product, tangible or intangible component or technology; |
(g) |
the qualification of a defence product, tangible or intangible component or technology ▌; |
(h) |
the certification of a defence product, tangible or intangible component or technology ▌; |
(i) |
the development of technologies or assets increasing efficiency across the life cycle of defence products and technologies; |
▌
4. ▌ The action shall be undertaken in a cooperation within a consortium of at least three eligible entities which are established in at least three different Member States ▌or associated countries. At least three of these eligible entities established in at least two Member States ▌or associated countries shall not, during the whole implementation of the action, be ▌controlled, directly or indirectly, by the same entity, and shall not control each other.
5. Paragraph 4 shall not apply to ▌ action relating to disruptive technologies for defence or to actions referred to in point c) ▌of paragraph 3 ▌.
6. Actions for the development of products and technologies the use, development or production of which is prohibited by applicable international law shall not be eligible.
Actions for the development of lethal autonomous weapons without the possibility for meaningful human control over the selection and engagement decisions when carrying out strikes against humans shall also not be eligible for financial support by the Fund, without prejudice to the possibility to provide funding for actions for the development of early warning systems and countermeasures for defensive purposes.
▌
▌
Article 12
Selection and award procedure
1. Union funding shall be granted following competitive calls for proposals issued in accordance with the Financial Regulation. In certain duly justified and exceptional circumstances, Union funding may also be granted in accordance with Article ▌ 195(e) ▌ of the Financial Regulation.
▌
2a. For the award of funding ▌, the Commission shall act by means of implementing acts adopted in accordance with the procedure referred to in Article 28 paragraph 2.
Article 13
Award criteria
▌Each proposal shall be assessed on the basis of the following criteria:
(a) |
contribution to excellence or potential of disruption in the defence domain in particular by showing that the expected results of the proposed action present significant advantages over existing defence products or technologies; |
(b) |
contribution to the innovation and technological development of the European defence industry, in particular by showing that the proposed action includes ground-breaking or novel concepts and approaches, new promising future technological improvements or the application of technologies or concepts previously not applied in defence sector, while avoiding unnecessary duplication ; |
(c) |
contribution to the competitiveness of the European defence industry by showing that the proposed action is a demonstrably positive balance of cost efficiency and effectiveness, thus creating new market opportunities across the Union and beyond and accelerating the growth of companies throughout the Union; |
▌ |
|
(d) |
contribution to the autonomy of the European defence technological and industrial base, including by increasing the ‘non-dependency on non-EU sources and strengthening security of supply, and to the security and defence interests of the Union in line with the priorities referred to in Article 3 ▌; |
(e) |
contribution to the creation of new cross-border cooperation between legal entities established in Member States or associated countries , in particular for SMEs and mid-caps with a substantial participation in the action, as recipients, subcontractors or as other entities in the supply chain, and which are established in Member States ▌or associated countries other than those where the entities in the consortium which are not SMEs or mid-caps are established; |
(f) |
quality and efficiency of the implementation of the action. |
▌
Article 14
Co-financing rate
1. The Fund shall finance up to 100 % of the eligible costs of an activity, listed in Article 11(3), without prejudice to Article 190 of the Financial Regulation .
2. By derogation from paragraph 1:
(a) |
for activities defined in Article 11(3) (e) the financial assistance of the Fund shall not exceed 20 % of the eligible costs thereof , |
(b) |
for activities defined in Article 11(3) (f) to (h) the financial assistance of the Fund shall not exceed 80 % of the eligible costs thereof . |
3. For development actions, the funding rate s shall be increased in the following cases:
(a) |
an activity developed in the context of Permanent Structured Cooperation as established by Council Decision (CFSP) 2017/2315 of 11 December 2017 may benefit from a funding rate increased by an additional 10 percentage points; |
(b) |
an activity may benefit from an increased funding rate , as referred to in the second and third subparagraphs of this paragraph, where at least 10 % of the total eligible costs of the activity are allocated to SMEs established in a Member State or in an associated country and which participate in the activity as recipients, subcontractors or as entities in the supply chain. The funding rate may be increased by percentage points equivalent to the percentage of the total eligible costs of the activity allocated to SMEs established in Member States or in associated countries in which recipients that are not SMEs are established and which participate in the activity as recipients, subcontractors or as entities in the supply chain, up to an additional 5 percentage points. The funding rate may be increased by percentage points equivalent to twice the percentage of the total eligible costs of the activity allocated to SMEs established in Member States or in associated countries other than those in which recipients that are not SMEs are established and which participate in the activity as recipients, subcontractors or as entities in the supply chain; |
(c) |
an activity may benefit from a funding rate increased by an additional 10 percentage points where at least 15 % of the total eligible costs of the activity are allocated to mid-caps established in the Union or in an associated country. |
(d) |
the overall increase in the funding rate of an activity shall not exceed 3 5 percentage points. The financial assistance of the Union provided under the Fund, including increased funding rates, shall not cover more than 100 % of the eligible costs of the action. |
Article 15
Financial capacity
By derogation from Article ▌ 198 ▌of the Financial Regulation:
(a) |
the financial capacity shall be verified only for the coordinator and only if the requested funding from the Union is equal to or greater than EUR 500 000. However, if there are grounds to doubt the financial capacity, the Commission shall verify also the financial capacity of other applicants or of coordinators below the threshold referred to in the first sentence; |
(b) |
the financial capacity shall not be verified in respect of legal entities whose viability is guaranteed by a Member State s’ relevant authorities ; |
(c) |
if the financial capacity is structurally guaranteed by another legal entity, the financial capacity of the latter shall be verified. |
Article 16
Indirect costs
1. By derogation from Article 181(6) of the Financial Regulation, i ndirect eligible costs shall be determined by applying a flat rate of 25 % of the total direct eligible costs, excluding direct eligible costs of subcontracting and financial support to third parties and any unit costs or lump sums which include indirect costs.
2. As an alternative , indirect eligible costs ▌may be determined in accordance with the recipient 's usual cost accounting practices on the basis of actual indirect costs provided that these cost accounting practices are accepted by national authorities for comparable activities in the defence domain, in accordance with Article ▌ 185 ▌ of the Financial Regulation and communicated to the Commission.
Article 17
Use of single lump sum or contribution not linked to costs
1. Where the Union grant co-finances less than 50 % of the total costs of the action , the Commission may use:
(a) |
a contribution not linked to costs referred to in Article ▌ 180(3) ▌ of the Financial Regulation and based on the achievement of results measured by reference to previous set milestones or through performance indicators; or |
(b) |
a single lump sum referred to in Article ▌ 182 ▌ of the Financial Regulation and based on the provisional budget of the action already endorsed by the national authorities of the co-financing Member States and associated countries. |
2. Indirect costs shall be included in the lump sum.
Article 18
Pre-commercial procurement
1. The Union may support pre-commercial procurement through awarding a grant to contracting authorities or contracting entities as defined in Directives 2014/24/EU (15), 2014/25/EU (16) and 2009/81/EC (17) of the European Parliament and of the Council, which are jointly procuring defence research and development ▌services or coordinating their procurement procedures.
2. The procurement procedures:
(a) |
shall be in line with the provisions of this Regulation; |
(b) |
may authorise the award of multiple contracts within the same procedure (multiple sourcing); |
(c) |
shall provide for the award of the contracts to the tender(s) offering best value for money while ensuring absence of conflict of interest . |
Article 19
Guarantee Fund
Contributions to a mutual insurance mechanism may cover the risk associated with the recovery of funds due by recipients and shall be considered a sufficient guarantee under the Financial Regulation. The provisions laid down in [Article X of] Regulation XXX [successor of the Regulation on the Guarantee Fund] shall apply.
▌
Article 20
Eligibility conditions for procurement and prizes
1. Articles 10 and 11 shall apply mutatis mutandis to prizes.
2. Article 10, by derogation from Article 176 of the Financial Regulation, and Article 11, shall apply mutatis mutandis for the procurement of studies referred to in Article 11(3)(c).
▌
TITLE II
SPECIFIC PROVISIONS
APPLICABLE FOR RESEARCH ACTIONS
Article 22
Ownership of results of research actions
1. The results of research actions financially supported by the Fund shall be owned by the recipients generating them. Where legal entities jointly generate results, and where their respective contribution cannot be ascertained, or where it is not possible to separate such joint results, the legal entities shall have joint ownership of the results. The joint owners shall conclude an agreement regarding the allocation and terms of exercise of that joint ownership in accordance with their obligations under the grant agreement.
2. By derogation from paragraph 1, i f Union support is provided in the form of public procurement, results of research actions financially supported by the Fund shall be owned by the Union. Member States and associated countries shall enjoy access rights to the results, free of charge, upon their written request.
3. ▌ T he results of research actions financially supported by the Fund shall not be subject to any control or restriction by a non-associated third country or by a non-associated third country entity , directly, or indirectly through one or more intermediate legal entities, including in terms of technology transfer .
4. With regard to results generated by recipients through actions financially supported by the Fund and without prejudice to paragraph 8a of this Article, the Commission to be notified ex ante of any transfer of ownership ▌ or ▌ granting of an exclusive license ▌ to a non-associated third country or to a non-associated third country entity. If s uch transfer of ownership contravene the ▌ security and defence interests of the Union and its Member States or the objectives of this Regulation as set out in Article 3 , the funding provided under the fund shall be reimbursed .
5. The national authorities of Member States and associated countries shall enjoy access rights to the special report of research action that has received Union funding. Such access rights shall be granted on a royalty-free basis and transferred by the Commission to the Member States and associated countries after ensuring that appropriate confidentiality obligations are in place.
6. The national authorities of Member States and associated countries shall use the special report solely for purposes related to the use by or for their armed forces, or security or intelligence forces, including within the framework of their cooperative programmes. Such usage shall include, but not be limited to, the study, evaluation, assessment, research, design, ▌ and product acceptance and certification, operation, training and disposal ▌, as well as the assessment and drafting of technical requirements for procurement.
7. The recipients shall grant access rights to the results of research activities financially supported by the Fund on a royalty-free basis to the Union institutions, bodies or agencies, for the duly justified purpose of developing, implementing and monitoring existing Union policies or programmes in the fields of its competence . Such access rights shall be limited to non-commercial and non-competitive use.
8. Specific provisions regarding ownership, access rights and licensing shall be laid down in the funding agreements and the contracts regarding pre-commercial procurement to ensure maximum uptake of the results and to avoid any unfair advantage. The contracting authorities shall enjoy at least royalty-free access rights to the results for their own use and the right to grant, or require the recipients to grant, non-exclusive licences to third parties to exploit the results under fair and reasonable conditions without any right to sub-license. All Member States and associated countries shall have royalty-free access to the special report. If a contractor fails to commercially exploit the results within a given period after the pre-commercial procurement as identified in the contract, it shall transfer any ownership of the results to the contracting authorities.
8a. The provisions laid down in this Regulation shall not affect the export of products, equipment or technologies integrating results of research activities financially supported by the Fund, and shall not affect the discretion of Member States as regards policy on the export of defence-related products.
8b. Any two or more Member States or associated countries that, multilaterally or within the frame of the Union organisation, have jointly concluded one or several contracts with one or more recipients to further develop together results of research activities supported by the Fund, shall enjoy access rights to those results owned by such recipients and that are necessary for the execution of the contract or contracts. Such access rights shall be granted on a royalty-free basis and under specific conditions aimed at ensuring that those rights will be used only for the purpose of the contract or contracts and that appropriate confidentiality obligations will be in place.
TITLE III
SPECIFIC PROVISIONS
APPLICABLE FOR DEVELOPMENT ACTIONS
Article 23
Additional eligibility criteria for development actions
1. ▌ The consortium shall demonstrate that the remaining costs of an activity that are not covered by the Union support will be covered by other means of financing such as by Member States' ▌or associated countries’ contributions or co-financing from legal entities.
2. Activities as referred to in point (d) of Article 11 paragraph 3▌ shall be based on harmonised capability requirements jointly agreed by at least two Member States ▌or associated countries.
3. With regard to activities referred to in points (e) to (h) of Article 11 paragraph 3, the consortium shall demonstrate by means of documents issued by national authorities that:
(a) |
at least two Member States ▌or associated countries intend to procure the final product or use the technology in a coordinated way, including through joint procurement where applicable ; |
(b) |
the activity is based on common technical specifications jointly agreed by the Member States ▌or associated countries that are to co-finance the action or that intend to jointly procure the final product or to jointly use the technology . |
Article 24
Additional award criteria for development actions
In addition to the award criteria referred to in Article 13, the work programme shall also take into consideration:
(a) |
the contribution to increasing efficiency across the life cycle of defence products and technologies, including cost-effectiveness and the potential for synergies in the procurement and maintenance process and disposal processes; |
( b) |
the contribution to the further integration of the European defence industry throughout the Union through the demonstration by the recipients that Member States have committed to jointly use, own or maintain the final product or technology in a coordinated way. |
▌
Article 25
Ownership of results of development actions
1. The Union shall not own the products or technologies resulting from development actions financially supported by the Fund , nor shall it have any intellectual property rights regarding the results of those actions.
▌
2. The results of actions financially supported by the Fund shall not be subject to any control or restriction by non-associated third countries or by non-associated third country entities, directly or indirectly through one or more intermediate legal entities, including in terms of technology transfer.
2a. This Regulation shall not affect the discretion of Member States as regards policy on the export of defence-related products.
3. With regard to results generated by recipients through actions financially supported by the Fund and without prejudice to paragraph 2a of this Article , the Commission shall be notified ex ante of any transfer of ownership ▌to a non-associated third countries or to non-associated third country entities . If s uch transfer of ownership ▌ contravenes the ▌security defence and interests of the Union and its Member States or the objectives ▌ set out in Article 3, ▌the funding provided under the Fund shall be reimbursed.
4. If Union assistance is provided in the form of public procurement of a study, Member States ▌or associated countries shall have the right, free of charge, to a non-exclusive licence for the use thereof upon their written request.
▌
TITLE IV
GOVERNANCE, MONITORING,
EVALUATION AND CONTROL
Article 27
Work programmes
1. The Fund shall be implemented by annual work programmes established in accordance with Article 110 of the Financial Regulation. Work programmes shall set out, where applicable, the overall amount reserved for blending operations. Work programmes shall set out the overall budget benefiting the cross-border participation of SMEs.
2. The Commission shall adopt the work programmes by means of implementing acts in accordance with the procedure referred to in Article 28 paragraph 2.
3. The work programmes shall set out in detail the research topics and the categories of actions to be financially supported by the Fund. Those categories shall be in line with the defence priorities referred to in Article 3.
With the exception of the part of the work programme dedicated to disruptive technologies for defence applications, those research topics and categories of actions shall cover products and technologies in the fields of:
(a) |
preparation, protection, deployment and sustainability; |
(b) |
information management and superiority and command, control, communication, computers, intelligence, surveillance and reconnaissance (C4ISR), cyber defence and cybersecurity; and |
(c) |
engagement and effectors. |
4. The work programmes shall contain, where appropriate, functional requirements and specify the form of EU funding in accordance with Article 8, while not preventing competition at the level of calls for proposals.
The transition of results of research actions demonstrating added value already financially supported by the Fund into the development phase may also be taken into consideration in the work programmes.
Article 28
Committee
1. The Commission shall be assisted by a committee within the meaning of Regulation (EU) No 182/2011. The European Defence Agency shall be invited as an observer to provide its views and expertise. The European External Action Service shall also be invited to assist.
The committee shall also meet in special configurations, including in order to discuss defence and security aspects, relating to actions under the Fund.
2. Where reference is made to this paragraph, Article 5 of Regulation (EU) No 182/2011 shall apply.
Where the committee delivers no opinion, the Commission shall not adopt the draft implementing act and the third sub-paragraph of Article 5(4) of Regulation (EU) No 182/2011 shall apply.
Article 28a
Consultation of the project manager
In case a project manager is appointed by a Member State or an associated country, the Commission shall consult the project manager on progress made with regard to the action before the payment is executed.
Article 29
Independent experts
1. The Commission shall appoint independent experts to assist in the ethics scrutiny of Article 7 and in the evaluation of proposals pursuant to Article ▌ 237 ▌ of the Financial Regulation. ▌
2. Independent experts shall be Union citizens ▌ from as broad a range of Member States as possible and be selected on the basis of calls for expressions of interest addressed to ▌ Ministries of Defence and subordinated agencies, other relevant governmental bodies, research institutes, universities, business associations or enterprises of the defence sector with a view to establishing a list of experts. By derogation from Article ▌ 237 ▌ of the Financial Regulation, this list shall not be made public.
3. The security credentials of appointed i ndependent experts shall be validated by the respective Member State .
4. The Committee referred to in Article 28 shall be informed annually on the list of experts , to be transparent as to the security credentials of the experts. The Commission shall also ensure that experts do not evaluate, advise or assist on matters with regard to which they have a conflict of interests .
5. Independent experts shall be chosen on the basis of their skills, experience and knowledge appropriate to carry out the tasks assigned to them.
▌ Article 30
Application of the rules on classified information
1. Within the scope of this Regulation:
(a) |
each Member State ▌ shall ensure that it▌ offer s a degree of protection of European Union classified information equivalent to that provided by the ▌ security rules of the Council set out in the Annexes to Decision 2013/488/EU (18); |
(a1) |
the Commission shall protect classified information in accordance with the rules on security as set out in Commission Decision (EU, Euratom) 2015/444 of 13 March 2015 on the security rules for protecting EU classified information; |
▌ |
|
(c) |
natural persons resident in and legal persons established in ▌ third countries may deal with EU classified information regarding the Fund only where they are subject, in those countries, to security regulations ensuring a degree of protection at least equivalent to that provided by the Commission's rules on security set out in Commission Decision (EU, Euratom) 2015/444 and by the security rules of the Council set out in ▌Decision 2013/488/EU; |
(c1) |
t he equivalence of the security regulations applied in a third country or international organisation shall be defined in a security of information agreement, including industrial security matters if relevant, concluded between the Union and that third country or international organisation in accordance with the procedure provided for in Article 218 TFEU and taking into account Article 13 of Decision 2013/488/EU; |
(d) |
without prejudice to Article 13 of Decision 2013/488/EU and to the rules governing the field of industrial security as set out in Commission Decision (EU, Euratom) 2015/444, a natural person or legal person, third country or international organisation may be given access to European Union classified information where deemed necessary on a case-by-case basis, according to the nature and content of such information, the recipient's need-to-know and the degree of advantage to the Union. |
2. When actions involve, require ▌or contain classified information, the relevant funding body shall specify in the call for proposals/tenders documents the measures and requirements necessary to ensure the security of such information at the requisite level.
3. The Commission shall set up a secured exchange system in order to facilitate exchange of sensitive and classified information between the Commission and the Member States and associated countries and, where appropriate, with the applicants and the recipients. The system shall take into account the Member States' national security regulations.
4. The originatorship of classified foreground information generated in the performance of a research or development action shall be decided upon by the Member States on whose territory the recipients are established. For that purpose, those Member States may decide on a specific security framework for the protection and handling of classified information relating to the action and shall inform the Commission thereof. Such a security framework shall be without prejudice to the possibility for the Commission to have access to the necessary information for the implementation of the action.
If no such specific security framework is set up by those Member States, the Commission shall set up the security framework for the action in accordance with the provisions of Commission Decision (EU, Euratom) 2015/444.
The applicable security framework for the action has to be in place at the latest before the signature of the funding agreement or the contract.
Article 31
Monitoring and reporting
1. Indicators to monitor implementation and progress of the Fund towards the achievement of the general and specific objectives set out in Article 3 are set out in Annex.
2. To ensure effective assessment of progress of the Fund towards the achievement of its objectives, the Commission is empowered to adopt delegated acts in accordance with Article 36 to amend the Annex to review or complement the indicators where considered necessary and to supplement this Regulation with provisions on the establishment of a monitoring and evaluation framework.
3. The Commission shall regularly monitor the implementation of the Fund and annually report , to the European Parliament and the Council, on the progress made , including how lessons identified and lessons learned from EDIDP and PADR are being taken into account in the implementation of the Fund . To this end, the Commission shall put in place necessary monitoring arrangements.
4. The performance reporting system shall ensure that data for monitoring the Fund implementation and results are collected efficiently, effectively and in a timely fashion. To that end, proportionate reporting requirements shall be imposed on recipients of Union funds.
Article 32
Evaluation of the Fund
1. Evaluations shall be carried out in a timely manner to feed into the decision-making process.
2. The interim evaluation of the Fund shall be performed once there is sufficient information available about its implementation ▌, but no later than four years after the start of its implementation. The interim evaluation report shall notably include ▌ an assessment of the governance of the Fund, including as regards the provisions related to independent experts, the implementation of the ethics procedures as referred to in Article 7 and of the lessons learned from EDIDP and PADR, implementation rates, project award results including the level of involvement of SMEs and mid-caps ▌ and the degree of their cross-border participation, rates of reimbursement of indirect costs as defined in Article 16, the amounts allocated to disruptive technologies in calls for proposals, and funding granted in accordance with Article ▌ 195 ▌ of the Financial Regulation, by 31 July 2024. The interim evaluation shall also contain information on the countries of origin of the recipients, the number of countries involved in individual projects and, where possible, the distribution of the generated intellectual property rights. The Commission may submit proposals for any appropriate amendments to the present R egulation.
3. At the end of the implementation period but no later than four years after ▌31 December 2027 , a final evaluation of the Fund implementation shall be carried out by the Commission. The final evaluation report shall include the results of the implementation and to the extent possible given timing the impact of the Fund. The report, building on relevant consultations of Member States and associated countries and key stakeholders, shall notably assess the progress made towards the achievement of the objectives set out in Article 3. It shall also help identify where the Union is dependent on third countries for the development of defence products and technologies. It shall also analyse cross — border participation, including of SMEs and mid-caps, in projects implemented under the Fund as well as the integration of SMEs and m id-caps in the global value chain and the contribution of the Fund to addressing the shortfalls identified in the Capability Development Plan . The evaluation shall also contain information on the countries of origin of the recipients and, where possible, the distribution of the generated intellectual property rights.
4. The Commission shall communicate the conclusions of the evaluations accompanied by its observations, to the European Parliament, the Council, the European Economic and Social Committee and the Committee of the Regions.
Article 33
Audits
Audits on the use of the Union contribution carried out by persons or entities, including by other than those mandated by the Union Institutions or bodies, shall form the basis of the overall assurance pursuant to Article ▌ 127 ▌of the Financial Regulation. The European Court of Auditors shall examine the accounts of all revenue and expenditure of the Union according to Article 287 TFEU.
Article 34
Protection of the financial interests of the Union
Where a third country participates in the Fund by a decision under an international agreement or by virtue of any other legal instrument, the third country shall grant the necessary rights and access required for the authorising officer responsible, ▌OLAF and the European Court of Auditors to comprehensively exert their respective competences. In the case of the OLAF, such rights shall include the right to carry out investigations, including on-the-spot checks and inspections, provided for in Regulation (EU, Euratom) No 883/2013 of the European Parliament and of the Council concerning investigations conducted by the European Anti-Fraud Office▌.
Article 35
Information, communication and publicity
1. The recipients of Union funding shall acknowledge the origin and ensure the visibility of the Union funding (in particular when promoting the actions and their results) by providing coherent, effective and proportionate targeted information to multiple audiences, including, the media and the public. The possibility to publish academic papers based on the results of research actions shall be regulated in the funding or financing agreement.
2. The Commission shall implement information and communication actions relating to the Fund, and its actions and results. Financial resources allocated to the Fund shall also contribute to the ▌ communication of the political priorities of the Union, as far as they are related to the objectives referred to in Article 3.
2a. Financial resources allocated to the Fund may also contribute to the organisation of dissemination activities, match-making events and awareness-raising activities, in particular aiming at opening up supply chains to foster the cross-border participation of SMEs.
TITLE V
DELEGATED ACTS, TRANSITIONAL AND FINAL PROVISIONS
Article 36
Delegated acts
1. The power to adopt delegated acts referred to in Article 31 shall be conferred on the Commission for an indeterminate period of time from the date of entry into force of this Regulation.
2. The delegation of power referred to in Article 31 may be revoked at any time by the European Parliament or by the Council. A decision to revoke shall put an end to the delegation of the power specified in that decision. It shall take effect the day following the publication of the decision in the Official Journal of the European Union or at a later date specified therein. It shall not affect the validity of any delegated acts already in force.
3. Before adopting a delegated act, the Commission shall consult experts designated by each Member State in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016.
4. As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the European Parliament and to the Council.
5. A delegated act adopted pursuant to Article 31 shall enter into force only if no objection has been expressed either by the European Parliament or by the Council within a period of two months of notification of that act to the European Parliament and the Council or if, before the expiry of that period, the European Parliament and the Council have both informed the Commission that they will not object. That period shall be extended by two months at the initiative of the European Parliament or of the Council.
Article 37
Repeal
Regulation (EU) 2018 / 1092 (European Defence Industrial Development Programme) is repealed with effect from 1 January 2021.
Article 38
Transitional provisions
1. This Regulation shall not affect the continuation or modification of the actions concerned, until their closure, under Regulation (EU) 2018/1092 as well as the Preparatory Action for Defence Research, which shall continue to apply to the actions concerned until their closure , as well as to their results .
2. The financial envelope of the Fund may also cover technical and administrative assistance expenses necessary to ensure the transition between the Fund and the measures adopted under its predecessors, the European Defence Industrial Development Programme and the Preparatory Action for Defence Research.
3. If necessary, appropriations may be entered in the budget beyond 2027 to cover the expenses provided for in Article 4 paragraph 4, to enable the management of actions not completed by 31 December 2027.
Article 39
Entry into force
This Regulation shall enter into force on the third day following that of its publication in the Official Journal of the European Union. It shall be applicable as from 1st January 2021.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at …,
For the European Parliament
The President
For the Council
The President
(1) Position of the European Parliament of 18 April 2019. The underlined text has not been agreed in the framework of interinstitutional negotiations.
(2) Directive 2009/43/EC of the European Parliament and of the Council of 6 May 2009, simplifying terms and conditions of transfers of defence-related products within the Community, OJ L 146, 10.6.2009, p. 1; Directive 2009/81/EC of the European Parliament and of the Council of 13 July 2009 on the coordination of procedures for the award of certain works contracts, supply contracts and service contracts by contracting authorities or entities in the fields of defence and security (OJ L 216, 20.8.2009, p. 76).
(3) Council Decision 2013/755/EU of 25 November 2013 on the association of the overseas countries and territories with the European Union (Overseas Association Decision) (OJ L 344, 19.12.2013, p. 1).
(4) Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council of 18 July 2018 on the financial rules applicable to the general budget of the Union, amending Regulations (EU) No 1296/2013, (EU) No 1301/2013, (EU) No 1303/2013, (EU) No 1304/2013, (EU) No 1309/2013, (EU) No 1316/2013, (EU) No 223/2014, (EU) No 283/2014, and Decision No 541/2014/EU and repealing Regulation (EU, Euratom) No 966/2012 (OJ L 193, 30.7.2018).
(5) Regulation (EU) 2018/1092 of the European Parliament and of the Council of 18 July 2018 establishing the European Defence Industrial Development Programme aiming at supporting the competitiveness and innovation capacity of the Union's defence industry (OJ L 200, 7.8.2018, p. 30).
(6) Regulation (EU) No 182/2011 of the European Parliament and of the Council of 16 February 2011 laying down the rules and general principles concerning mechanisms for control by Member States of the Commission’s exercise of implementing powers (OJ L 55, 28.2.2011, p. 13).
(7) Reference to be updated: OJ C 373, 20.12.2013, p. 1. The agreement is available at: http://eur-lex.europa.eu/legal-content/EN/TXT/?uri=uriserv:OJ.C_.2013.373.01.0001.01.ENG&toc=OJ:C:2013:373:TOC
(8) Regulation (EU, Euratom) No 883/2013 of the European Parliament and of the Council of 11 September 2013 concerning investigations conducted by the European Anti-Fraud Office (OLAF) and repealing Regulation (EC) No 1073/1999 of the European Parliament and of the Council and Council Regulation (Euratom) No 1074/1999 (OJ L 248, 18.9.2013, p. 1.
(9) Council Regulation (EC, Euratom) No 2988/95 of 18 December 1995 on the protection of the European Communities financial interests (OJ L 312, 23.12.1995, p. 1):
(10) Council Regulation (Euratom, EC) No 2185/96 of 11 November 1996 concerning on-the-spot checks and inspections carried out by the Commission in order to protect the European Communities' financial interests against fraud and other irregularities (OJ L 292, 15.11.1996, p. 2).
(11) Council Regulation (EU) 2017/1939 of 12 October 2017 implementing enhanced cooperation on the establishment of the European Public Prosecutor’s Office (‘the EPPO’) (OJ L 283, 31.10.2017, p. 1).
(12) Directive (EU) 2017/1371 of the European Parliament and of the Council of 5 July 2017 on the fight against fraud to the Union's financial interests by means of criminal law (OJ L 198, 28.7.2017, p. 29).
(13) Directive 2009/43/EC of the European Parliament and the Council of 6 May 2009 simplifying terms and conditions of transfers of defence-related products within the Community (OJ L 146, 10.6.2009, p. 1).
(14) Commission Recommendation 2003/361/EC of 6 May 2003 concerning the definition of micro, small and medium-sized enterprises (OJ L 124, 20.5.2003, p. 36)
(15) Directive 2014/24/EU of the European Parliament and of the Council of 26 February 2014 on public procurement and repealing Directive 2004/18/EC (OJ L 94, 28.03.2014, p. 65).
(16) Directive 2014/25/EU of the European Parliament and of the Council of 26 February 2014 on procurement by entities operating in the water, energy, transport and postal services sectors and repealing Directive 2004/17/EC (OJ L 94, 28.03.2014, p. 243).
(17) Directive 2009/81/EC of the European Parliament and of the Council of 13 July 2009 on the coordination of procedures for the award of certain works contracts, supply contracts and service contracts by contracting authorities or entities in the fields of defence and security, and amending Directives 2004/17/EC and 2004/18/EC (OJ L 216, 20.08.2009, p. 76).
ANNEX
INDICATORS TO REPORT ON PROGRESS OF THE FUND TOWARDS THE ACHIEVEMENT OF ITS SPECIFIC OBJECTIVES
Specific objective set out in Article 3(2)(a):
Indicator 1 |
Participants Measured by: Number of legal entities involved ( sub-divided by size, type and nationality) |
||||||
Indicator 2 |
Collaborative research Measured by:
|
||||||
Indicator 3 |
Innovation products Measured by:
|
Specific objective set out in Article 3(2)(b):
Indicator 4 |
Collaborative capability development Measured by: Number and value of funded actions address the capability shortfalls identified in the Capability Development Plan |
Indicator 4 |
Continuous support over the full R&D cycle Measured by: The presence in the background of IPRs or results generated in previously supported actions |
Indicator 5 |
Job creation/support: Measured by: Number of supported defence R&D employees per Member State |
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/1001 |
P8_TA(2019)0431
Exposures in the form of covered bonds ***I
European Parliament legislative resolution of 18 April 2019 on the proposal for a regulation of the European Parliament and of the Council on amending Regulation (EU) No 575/2013 as regards exposures in the form of covered bonds (COM(2018)0093 — C8-0112/2018 — 2018/0042(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/75)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2018)0093), |
— |
having regard to Article 294(2) and Article 114 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0112/2018), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
having regard to the opinion of the European Central Bank of 22 August 2018 (1), |
— |
having regard to the opinion of the European Economic and Social Committee of 11 July 2018 (2), |
— |
having regard to the provisional agreement approved by the committee responsible under Rule 69f(4) of its Rules of Procedure and the undertaking given by the Council representative by letter of 20 March 2019 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
— |
having regard to Rule 59 of its Rules of Procedure, |
— |
having regard to the report of the Committee on Economic and Monetary Affairs (A8-0384/2018), |
1. |
Adopts its position at first reading hereinafter set out; |
2. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
3. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
P8_TC1-COD(2018)0042
Position of the European Parliament adopted at first reading on 18 April 2019 with a view to the adoption of Regulation (EU) 2019/… of the European Parliament and of the Council on amending Regulation (EU) No 575/2013 as regards exposures in the form of covered bonds
(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) 2019/2160.)
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/1002 |
P8_TA(2019)0432
Covered bonds and covered bond public supervision ***I
European Parliament legislative resolution of 18 April 2019 on the proposal for a directive of the European Parliament and of the Council on the issue of covered bonds and covered bond public supervision and amending Directive 2009/65/EC and Directive 2014/59/EU (COM(2018)0094 — C8-0113/2018 — 2018/0043(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/76)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2018)0094), |
— |
having regard to Article 294(2) and Articles 53 and 114 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0113/2018), |
— |
having regard to the opinion of the Committee on Legal Affairs on the proposed legal basis, |
— |
having regard to Article 294(3) and Article 114 of the Treaty on the Functioning of the European Union, |
— |
having regard to the opinion of the European Economic and Social Committee of 11 July 2018 (1), |
— |
having regard to the provisional agreement approved by the committee responsible under Rule 69f(4) of its Rules of Procedure and the undertaking given by the Council representative by letter of 20 March 2019 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
— |
having regard to Rules 59 and 39 of its Rules of Procedure, |
— |
having regard to the report of the Committee on Economic and Monetary Affairs (A8-0390/2018), |
1. |
Adopts its position at first reading hereinafter set out; |
2. |
Takes note of the statement by the Commission annexed to this resolution; |
3. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
4. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
P8_TC1-COD(2018)0043
Position of the European Parliament adopted at first reading on 18 April 2019 with a view to the adoption of Directive (EU) 2019/… of the European Parliament and of the Council on the issue of covered bonds and covered bond public supervision and amending Directives 2009/65/EC and 2014/59/EU
(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Directive (EU) 2019/2162.)
ANNEX TO THE LEGISLATIVE RESOLUTION
Statement on change of Delegated Regulation (EU) 2015/61 with regard to liquidity coverage requirements for credit institutions
The requirements for a dedicated liquidity buffer for covered bonds set out in Article 16 of the proposal for [a Directive of the European Parliament and of the Council on the issue of covered bonds and covered bond public supervision and amending Directive 2009/65/EC and Directive 2014/59/EU] may result in an overlap with the requirements for credit institutions to maintain a general liquidity buffer, as set out in Delegated Regulation (EU) 2015/61.
In order to address this overlap and to ensure, at the same time, that a dedicated liquidity buffer for covered bonds is applied also during the period covered by the Liquidity Coverage Ratio (LCR), the Commission is willing to amend Delegated Regulation (EU) 2015/61 in order to cater for the specific situation of covered bonds. Such amendment should be adopted in time for it to be able to enter into force before the date of application of the Directive on the issue of covered bonds and covered bond supervision.
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/1005 |
P8_TA(2019)0433
InvestEU ***I
European Parliament legislative resolution of 18 April 2019 on the proposal for a regulation of the European Parliament and of the Council establishing the InvestEU Programme (COM(2018)0439 — C8-0257/2018 — 2018/0229(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/77)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2018)0439), |
— |
having regard to Article 294(2) and Article 173 and the third paragraph of Article 175 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0257/2018), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
having regard to the opinion of the European Economic and Social Committee of 17 October 2018 (1), |
— |
having regard to the opinion of the Committee of the Regions of 5 December 2018 (2), |
— |
having regard to the letter from its President to the committee chairs of 25 January 2019 outlining the Parliament's approach to the Multiannual Financial Framework (MFF) post-2020 sectorial programmes, |
— |
having regard to the letter from the Council to the President of the European Parliament of 1 April 2019 confirming the common understanding reached between the co-legislators during negotiations, |
— |
having regard to Rule 59 of its Rules of Procedure, |
— |
having regard to the joint deliberations of the Committee on Budgets and the Committee on Economic and Monetary Affairs under Rule 55 of the Rules of Procedure, |
— |
having regard to the report of the Committee on Budgets and the Committee on Economic and Monetary Affairs and also the opinions of the Committee on Industry, Research and Energy, the Committee on Transport and Tourism, the Committee on the Environment, Public Health and Food Safety, the Committee on Regional Development and the Committee on Culture and Education (A8-0482/2018), |
1. |
Adopts its position at first reading hereinafter set out (3); |
2. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
3. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
(1) OJ C 62, 15.2.2019, p. 131.
(2) OJ C 86, 7.3.2019, p. 310.
(3) This position replaces the amendments adopted on 16 January 2019 (Texts adopted, P8_TA(2019)0026).
P8_TC1-COD(2018)0229
Position of the European Parliament adopted at first reading on 18 April 2019 with a view to the adoption of Regulation (EU) 2019/… of the European Parliament and of the Council establishing the InvestEU Programme
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on the Functioning of the European Union, and in particular Article 173 and the third paragraph of Article 175 thereof,
Having regard to the proposal from the European Commission,
After transmission of the draft legislative act to the national parliaments,
Having regard to the opinion of the European Economic and Social Committee (1),
Having regard to the opinion of the Committee of the Regions (2),
Acting in accordance with the ordinary legislative procedure (3),
Whereas:
(1) |
With 1,8 % of EU GDP, down from 2,2 % in 2009, infrastructure investment activities in the Union in 2016 were about 20 % below investment rates before the global financial crisis. Thus, while a recovery in investment-to-GDP ratios in the Union can be observed, it remains below what might be expected in a strong recovery period and is insufficient to compensate years of underinvestment. More importantly, the current investment levels and forecasts do not cover the Union’s structural investment for sustaining long-term growth needs in the face of technological change and global competitiveness, including for innovation, skills, infrastructure, small and medium-sized enterprises (‘SMEs’) and the need to address key societal challenges such as sustainability or population ageing. Consequently, continued support is necessary to address market failures and sub-optimal investment situations to reduce the investment gap in targeted sectors to achieve the Union's policy objectives. |
(2) |
Evaluations have underlined that the variety of financial instruments delivered under the 2014-2020 Multiannual Financial Framework period has led to some overlaps. That variety has also produced complexity for intermediaries and final recipients who were confronted with different eligibility and reporting rules. Absence of compatible rules also hampered the combination of several Union funds although such combination would have been beneficial to support projects in need of different types of funding. Therefore, a single fund, the InvestEU Fund , building also on the experience with the European Fund for Strategic Investments set up under the Investment Plan for Europe , should be set up in order to achieve a more efficiently functioning support to final recipients by integrating and simplifying the financial offer under a single budgetary guarantee scheme, thereby improving the impact of Union intervention while reducing the cost to the Union budget. |
(3) |
In the last years, the Union has adopted ambitious strategies to complete the Single Market and to stimulate sustainable and inclusive growth and jobs, such as the Europe 2020 Strategy, the Capital Markets Union, the Digital Single Market Strategy , the European Agenda for Culture , the Clean Energy for all Europeans package, the Union Action Plan for the Circular Economy, the Low-Emission Mobility Strategy, the EU level of ambition on Security and Defence ▌, the Space Strategy for Europe and the European Pillar of Social Rights . The InvestEU Fund should exploit and reinforce synergies between those mutually reinforcing strategies through providing support to investment and access to financing. |
(4) |
At Union level, the European Semester of economic policy coordination is the framework to identify national reform priorities and monitor their implementation. Member States , in cooperation, where appropriate, with local and regional authorities , develop their own national multiannual investment strategies in support of those reform priorities. The strategies should be presented alongside the yearly National Reform Programmes as a way to outline and coordinate priority investment projects to be supported by national or Union funding, or by both. They should also serve to use Union funding in a coherent manner and to maximise the added value of the financial support to be received notably from the European Structural and Investment Funds, the European Investment Stabilisation Function and the InvestEU Fund, where relevant. |
(5) |
The InvestEU Fund should contribute to improving the competitiveness and socio-economic convergence of the Union, including in the field of innovation ▌, digitisation, the efficient use of resources in accordance with a circular economy, the sustainability and inclusiveness of the Union's economic growth and the social resilience ▌and integration of the Union capital markets, including solutions addressing their fragmentation and diversifying sources of financing for the Union enterprises. To that end, the InvestEU Fund should support projects that are technically and, economically viable by providing a framework for the use of debt, risk sharing and equity instruments underpinned by a guarantee from the Union's budget and by financial contributions from implementing partners as relevant . It should be demand-driven while support under the InvestEU Fund should at the same time focus on providing strategic, long-term benefits in key areas of Union policy which would otherwise not be funded or be insufficiently funded, thereby contributing to meeting policy objectives of the Union. Support under the Fund should cover a wide range of sectors and regions, while avoiding excessive sectoral or geographical concentration . |
(5a) |
Cultural and creative sectors are resilient and fast growing sectors in the Union, generating both economic and cultural value from intellectual property and individual creativity. However, the intangible nature of their assets limits their access to private financing which is essential to invest, scale-up and compete at an international level. The InvestEU Programme should continue to facilitate access to finance for SMEs and organisations from the cultural and creative sectors. |
(6) |
The InvestEU Fund should support investments in tangible and intangible assets, including cultural heritage, to foster sustainable and inclusive growth, investment and employment, and thereby contributing to improved well-being and fairer income distribution and greater economic, social and territorial cohesion in the Union. InvestEU-funded projects should meet Union environmental and social standards, including labour rights. Intervention through the InvestEU Fund should complement Union support delivered through grants. |
(7) |
The Union endorsed the objectives set out in the United Nations Agenda 2030 and its Sustainable Development Goals and the Paris Agreement in 2015 as well as the Sendai Framework for Disaster Risk Reduction 2015-2030. To achieve the agreed objectives, including those embedded in the environmental policies of the Union, action pursuing sustainable development is to be stepped up significantly. Therefore, the principles of sustainable development should feature prominently in the design of the InvestEU Fund. |
(8) |
The InvestEU Programme should contribute to building a sustainable finance system in the Union which supports the re-orientation of private capital towards sustainable investments in accordance with the objectives set out in the Commission Action Plan for Financing Sustainable Growth (4). |
(9) |
Reflecting the importance of tackling climate change in line with the Union's commitments to implement the Paris Agreement and the United Nations Sustainable Development Goals, the InvestEU Programme will contribute to mainstream climate actions and to the achievement of an overall target of 25 % of the Union budget expenditures supporting climate objectives over the MFF 2021-2027 period and an annual target of 30 % as soon as possible and at the latest by 2027. Actions under the InvestEU Programme are expected to contribute at least 40 % of the overall financial envelope of the InvestEU Programme to climate objectives. Relevant actions will be identified during the InvestEU Programme's preparation and implementation and reassessed in the context of the relevant evaluations and review processes. |
(10) |
The contribution of the InvestEU Fund to the achievement of the climate target will be tracked through an EU climate tracking system developed by the Commission in cooperation with potential implementing partners and using in an appropriate way the criteria established by [Regulation on the establishment of a framework to facilitate sustainable investment (5)] for determining whether an economic activity is environmentally sustainable. The InvestEU Programme should also contribute to the implementation of other dimensions of the Sustainable Development Goals (SDGs). |
(11) |
According to the 2018 Global Risks Report issued by the World Economic Forum, half of the ten most critical risks threatening the global economy relate to the environment. Such risks include air, soil , inland water and ocean pollution, extreme weather events, biodiversity losses and failures of climate-change mitigation and adaptation. Environmental principles are strongly embedded in the Treaties and many of the Union's policies. Therefore, the mainstreaming of environmental objectives should be promoted in the InvestEU Fund related operations. Environmental protection and related risk prevention and management should be integrated in the preparation and implementation of investments. The EU should also track its biodiversity-related and air pollution control-related expenditure in order to fulfil the reporting obligations under the Convention on Biological Diversity and Directive (EU) 2016/2284 of the European Parliament and of the Council (6) Investment allocated to environmentally sustainability objectives should therefore be tracked using common methodologies coherent with that developed under other Union programmes applying to climate, biodiversity and air pollution management in order to allow assessing the individual and combined impact of investments on the key components of the natural capital, including air, water, land and biodiversity. |
(12) |
Investment projects receiving substantial Union support, notably in the area of infrastructure, should be screened by the implementing partner to determine if they have an environmental, climate or social impact and if so, should be subject to sustainability proofing in accordance with guidance that should be developed by the Commission in close cooperation with potential implementing partners under the InvestEU Programme and, using in an appropriate way the criteria established by [Regulation on establishment of a framework to facilitate sustainable investment] for determining whether an economic activity is environmentally sustainable and coherently with the guidance developed for other programmes of the Union. In line with the principle of proportionality such guidance should include adequate provisions to avoid undue administrative burden and projects below a certain size as defined in the guidance should be excluded from the sustainability proofing . Where the implementing partner concludes that no sustainability proofing is to be carried out, it should provide a justification to the Investment Committee. Operations that are inconsistent with the achievement of the climate objectives should not be eligible for support under this Regulation. |
(13) |
Low infrastructure investment rates in the Union during the financial crisis undermined the Union's ability to boost sustainable growth, competitiveness and convergence. Sizeable investments in the European infrastructure , in particular with regard to interconnection and energy efficiency and to creating a Single European Transport Area, are fundamental to meet the Union's sustainability targets, including the Union’s commitments towards the SDGs, and the 2030 energy and climate targets. Accordingly, support from the InvestEU Fund should target investments into transport, energy, including energy efficiency and renewable and other safe and sustainable low-emission energy sources , environmental, climate action, maritime and digital infrastructure . The InvestEU Programme should prioritise areas that are under-invested, and in which additional investment is required . To maximise the impact and the value added of Union financing support, it is appropriate to promote a streamlined investment process enabling visibility of the project pipeline and maximising synergies across relevant Union programmes in areas such as transport, energy and digitisation . Bearing in mind safety and security threats, investment projects receiving Union support should include infrastructure resilience, including infrastructure maintenance and safety, and take into account principles for the protection of citizens in public spaces. This should be complementary to the efforts made by other Union funds such as the European Regional Development Fund providing support for security components of investments in public spaces, transport, energy and other critical infrastructure. |
(13a) |
The InvestEU Programme should contribute, where appropriate, to the objectives of the [revised Renewables Directive] and the [Governance Regulation], as well as promote energy efficiency in investment decisions. |
(13b) |
Genuine multimodality is an opportunity to create an efficient and environmentally friendly transport network that uses the maximum potential of all means of transport and generates synergy between them. The InvestEU Programme could support investment in multimodal transport hubs, which — in spite of their significant economic potential and business case — carry a significant risk for private investors . The Programme could also contribute to the development and deployment of Intelligent Transport Systems (ITS). The InvestEU Programme should help to boost efforts to design and apply technologies that help to improve the safety of vehicles and road infrastructure . |
(13c) |
The InvestEU Programme should contribute to EU policies concerning seas and oceans, through the development of projects and enterprises in the area of the Blue Economy, and its Finance Principles. This may include interventions in the area of maritime entrepreneurship and industry, an innovative and competitive maritime industry, as well as renewable marine energy and circular economy. |
(14) |
Whereas the level of overall investment in the Union is increasing, investment in higher-risk activities such as research and innovation is still inadequate. The resulting underinvestment in research and innovation is damaging to the industrial and economic competitiveness of the Union and the quality of life of its citizens. The InvestEU Fund should provide the appropriate financial products to cover different stages in the innovation cycle and a wide range of stakeholders, in particular to allow the upscaling of and deployment of solutions at a commercial scale in the Union, in order to make such solutions competitive on world markets and to promote Union excellence in sustainable technologies at a global level , in synergy with Horizon Europe, including the European Innovation Council. In that regard, the experience gained from the financial instruments deployed under Horizon 2020 such as InnovFin to facilitate and accelerate access to finance for innovative businesses should serve as a strong basis to deliver this targeted support . |
(14 a) |
Tourism is an important area for the Union economy and the InvestEU Programme should contribute to strengthening its long-term competitiveness by supporting operations promoting sustainable, innovative and digital tourism. |
(15) |
A significant effort is urgently needed to invest in and boost the digital transformation and to distribute the benefits of it to all Union citizens and businesses. The strong policy framework of the Digital Single Market Strategy should now be matched by investment of a similar ambition, including in artificial intelligence in line with the Digital Europe Programme. |
(16) |
▌SMEs represent over 99 % of businesses in the Union and their economic value is significant and crucial ▌. However, they face challenges when accessing finance because of their perceived high risk and lack of sufficient collateral. Additional challenges arise from the need for SMEs and social economy enterprises to stay competitive by engaging in digitisation, internationalisation , transformation in a logic of circular economy, innovation activities and skilling up their workforce. Moreover, compared to larger enterprises, they have access to a more limited set of financing sources: they typically do not issue bonds, have only limited access to stock exchanges or large institutional investors. Innovative solutions such as the acquisition of a business or a participation in a business by employees are also increasingly common for SMEs and social economy enterprises. The challenge in accessing finance is even greater for those SMEs whose activities focus on intangible assets. SMEs in the Union rely heavily on banks and debt financing in the form of bank overdrafts, bank loans or leasing. Supporting SMEs that face the above challenges by making it easier for them to gain access to finance and providing more diversified sources of funding is necessary for increasing the ability of SMEs to finance their creation, growth , innovation and sustainable development , ensure their competitiveness , withstand economic downturns, and for making the economy and the financial system more resilient during economic downturn or shocks and capable of creating jobs and social well-being. This is also complementary to the initiatives already undertaken in the context of the Capital Markets Union. The InvestEU Fund should therefore build on successful programmes such as COSME and provide working capital and investment throughout the life cycle of a company, financing for leasing transactions and an opportunity to focus on specific, more targeted financial products. |
(17) |
As set out in the reflection paper on the social dimension of Europe (7) and the European Pillar of Social Rights (8) and the Union framework for the UN Convention on the Rights of Persons with disabilities, building a more inclusive and fairer Union is a key priority for the Union to tackle inequality and foster social inclusion policies in Europe. Inequality of opportunities affects in particular access to education, training , culture, employment, health and social services . Investment in the social, skills and human capital-related economy, as well as in the integration of vulnerable populations in the society, can enhance economic opportunities, especially if coordinated at Union level. The InvestEU Fund should be used to support investment in education and training, including the re-skilling and upskilling of workers, inter alia in regions depending on a carbon intensive economy and affected by the structural transition to a low-carbon economy, help increase employment, in particular among the unskilled and long-term unemployed, and improve the situation with regard to gender equality, equal opportunities, intergenerational solidarity, the health and social services sector , social housing , homelessness, digital inclusiveness, community development, the role and place of young people in society as well as vulnerable people, including third country nationals. The InvestEU Programme should also contribute to the support of European culture and creativity. To counter the profound transformations of societies in the Union and of the labour market in the coming decade, it is necessary to invest in human capital, social infrastructure, microfinance, ethical and social enterprise finance and new social economy business models, including social impact investment and social outcomes contracting. The InvestEU Programme should strengthen nascent social market eco-system, increasing the supply of and access to finance to micro- and social enterprises and social solidarity institutions , to meet the demand of those who need it the most. The report of the High-Level Task-Force on Investing in Social Infrastructure in Europe (9) has identified a total investment gap of at least EUR 1,5 trillion for the period between 2018 and 2030 in social infrastructure and services, including for education, training, health and housing, which call for support, including at the Union level. Therefore, the collective power of public, commercial and philanthropic capital, as well as support from alternative types of financial providers such as ethical, social and sustainable actors, and from foundations, should be harnessed to support the social market value chain development and a more resilient Union. |
(18) |
The InvestEU Fund should operate under four policy windows, mirroring the key Union policy priorities, namely sustainable infrastructure; research, innovation and digitisation: SMEs; and social investment and skills. |
(18a) |
While the SME window should primarily focus on benefitting SMEs, small midcap companies are also eligible under this window. Midcap companies should be eligible for support under the other three windows. |
(19) |
Each policy window should be composed of two compartments, that is to say an EU compartment and a Member State compartment. The EU compartment should address Union-wide or Member State specific market failures or sub-optimal investment situations in a proportionate manner; supported actions should have a clear European added value. The Member State compartment should give Member States as well as regional authorities via their Member State the possibility to contribute a share of their resources of Funds under shared management to the provisioning of the EU guarantee to use the EU guarantee for financing or investment operations to address specific market failures or sub-optimal investment situations in their own territory, as set out in the contribution agreement , including in vulnerable and remote areas such as the outermost regions of the Union, to deliver objectives of the Fund under shared management. Actions supported from the InvestEU Fund through either EU or Member State compartments should not duplicate or crowd out private financing or distort competition in the internal market. |
(20) |
The Member State compartment should be specifically designed to allow the use of funds under shared management to provision a guarantee issued by the Union. That possibility would increase the added value of the Union backed budgetary guarantee by providing it to a wider range of financial recipients and projects and diversifying the means of achieving the objectives of the funds under shared management, while ensuring a consistent risk management of the contingent liabilities by implementing the guarantee given by the Commission under indirect management. The Union should guarantee the financing and investment operations foreseen by the guarantee agreements concluded between the Commission and implementing partners under the Member State compartment, the Funds under shared management should provide the provisioning of the guarantee, following a provisioning rate determined by the Commission and set out in the contribution agreement signed with the Member State, based on the nature of the operations and the resulting expected losses, and the Member State would assume losses above the expected losses by issuing a back-to-back guarantee in favour of the Union. Such arrangements should be concluded in a single contribution agreement with each Member State that voluntarily chooses such option. The contribution agreement should encompass the one or more specific guarantee agreements to be implemented within the Member State concerned , as well as any regional ring-fencing, on the basis of the rules of the InvestEU Fund . The setting out of the provisioning rate on a case by case basis requires a derogation from Article 211(1) of Regulation (EU, Euratom) No 2018/1046 (10) (the ‘Financial Regulation’). This design provides also a single set of rules for budgetary guarantees supported by funds managed centrally or by funds under shared management, which would facilitate their combination. |
(20a) |
A partnership between the Commission and the EIB Group should be established drawing on the relative strengths of each partner to ensure maximum policy impact, deployment efficiency, appropriate budgetary and risk management oversight and should support an effective and inclusive direct access. |
(20b) |
The Commission should seek the views of other potential implementing partners along with the EIB Group on investment guidelines, climate tracking and sustainability guidance documents and common methodologies, as appropriate, with a view to ensuring inclusiveness and operationality, until the set-up of the governance bodies, whereafter involvement of implementing partners should take place in the framework of the advisory board and the steering board. |
(21) |
The InvestEU Fund should be open to contributions from third countries that are members of the European Free Trade Association, acceding countries, candidates and potential candidates, countries covered by the Neighbourhood policy and other countries, in accordance with the conditions laid down between the Union and those countries. This should allow continuing cooperating with the relevant countries, where appropriate, in particular in the fields of research and innovation as well as SMEs. |
(22) |
This Regulation lays down a financial envelope for other measures of the InvestEU Programme than the provisioning of the EU guarantee, which is to constitute the prime reference amount, within the meaning of [reference to be updated as appropriate according to the new inter-institutional agreement: point 17 of the Interinstitutional Agreement of 2 December 2013 between the European Parliament, the Council and the Commission on budgetary discipline, on cooperation in budgetary matters and on sound financial management (11)], for the European Parliament and the Council during the annual budgetary procedure. |
(23) |
The EU guarantee of EUR 40 817 500 000 (current prices) at Union level is expected to mobilise more than EUR 698 194 079 000 of additional investment across the Union and should be ▌ allocated between the policy windows. |
(23a) |
On [date], the Commission declared that, ‘[w]Without prejudice to the prerogatives of the Council in the implementation of the Stability and Growth Pact, one-off contributions by Member States, either by a Member State or by national promotional banks classified in the general government sector or acting on behalf of a Member State, into thematic or multi-country investment platforms should in principle qualify as one-off measures, within the meaning of Articles 5(1) and 9(1) of Council Regulation (EC) No 1466/97 and Article 3(4) of Council Regulation (EC) No 1467/97. In addition, without prejudice to the prerogatives of the Council in the implementation of the SGP, the Commission will consider to what extent the same treatment as for EFSI in the context of the Commission communication on flexibility can be applied to InvestEU as the successor instrument to EFSI with regard to one-off contributions provided by Member States in cash to finance an additional amount of the EU guarantee for the purposes of the Member State compartment.’. |
(24) |
The EU guarantee underpinning the InvestEU Fund should be implemented indirectly by the Commission relying on implementing partners with outreach to final intermediaries, where applicable, and final recipients. The selection of the implementing partners should be transparent and free from any conflict of interest. A guarantee agreement allocating guarantee capacity from the InvestEU Fund should be concluded by the Commission with each implementing partner, to support its financing and investment operations meeting the InvestEU Fund objectives and eligibility criteria. The risk management of the guarantee should not hamper direct access to the guarantee by the implementing partners. Once the guarantee is granted under the EU compartment to implementing partners, they should be fully responsible for the whole investment process and the due diligence of the financing or investment operations. The InvestEU Fund should support projects that typically have a higher risk profile than the projects supported by normal operations of implementing partners and that could not have been carried out during the period in which the EU guarantee can be used, or not to the same extent, by other public or private sources without InvestEU support . |
(24a) |
The InvestEU Fund should be provided with a governance structure the function of which should be commensurate with its sole purpose of ensuring the appropriate use of the EU guarantee, in line with ensuring the political independence of investment decisions . That governance structure should be composed of an advisory board, a steering board and a fully independent Investment Committee. The overall composition of the governance structure should strive to achieve gender balance. The governance structure should not encroach upon or interfere with the decision-making of the EIB Group or other implementing partners, or be a substitute for their respective governing bodies. |
(25) |
An Advisory Board consisting of representatives of the implementing partners and of representatives of Member States , of one expert appointed by the European Economic and Social Committee and of an expert appointed by the Committee of the Regions should be established in order to exchange information and for exchanges on the take-up of the financial products deployed under the InvestEU Fund and to discuss on evolving needs and new products, including specific territorial market gaps. |
(25a) |
A Steering Board composed of representatives of the Commission, of implementing partners and of one non-voting expert appointed by the European Parliament should determine the strategic and operational guidance for the InvestEU. |
(26) |
The Commission should assess the compatibility of investment and financing operations submitted by the implementing partners with Union law and policies whereas the decisions on financing and investment operations should ultimately be taken by an implementing partner. |
(27) |
An independent secretariat hosted by the Commission and answerable to the chairperson of the Investment Committee should assist the Investment Committee . |
(28) |
An Investment Committee composed of independent experts should conclude on the granting of the support from the EU guarantee to financing and investment operations fulfilling the eligibility criteria, thereby providing external expertise in investment assessments in relation to projects. The Investment Committee should have different configurations to best cover different policy areas and sectors. |
(29) |
In selecting implementing partners for the deployment of the InvestEU Fund, the Commission should consider the counterpart's capacity to fulfil the objectives of the InvestEU Fund and contribute its own resources, in order to ensure adequate geographical coverage and diversification, to crowd-in private investors and to provide sufficient risk diversification as well as ▌solutions to address market failures and sub-optimal investment situations. Given its role under the Treaties, its capacity to operate in all Member States and the existing experience under the current financial instruments and the EFSI, the European Investment Bank (‘EIB’) Group should remain a privileged implementing partner under the InvestEU Fund's EU compartment. In addition to the EIB Group, national promotional banks or institutions should be able to offer a complementary financial product range given that their experience and capabilities at national and regional level could be beneficial for the maximisation of the impact of public funds on the whole territory of the Union, and to ensure a fair geographical balance of projects. The InvestEU Programme should be implemented in such a way as to promote a level playing field for smaller and younger promotional banks or institutions. Moreover, it should be possible to have other international financial institutions as implementing partners, in particular when they present a comparative advantage in terms of specific expertise and experience in certain Member States and when they present an EU majority of shareholding . It should also be possible for other entities fulfilling the criteria laid down in the Financial Regulation to act as implementing partners. |
(30) |
With a view to promoting improved geographic diversification, investment platforms may be established, combining the efforts and expertise of implementing partners with other national promotional banks with limited experience in the use of financial instruments. Such structures should be encouraged, including with available support from the InvestEU Advisory Hub. It is appropriate to bring together co-investors, public authorities, experts, education, training and research institutions, the relevant social partners and representatives of the civil society and other relevant actors at Union, national and regional levels, to promote the use of investment platforms in relevant sectors. |
(31) |
The EU guarantee under the Member State compartment should be allocated to any implementing partner eligible according to Article 62(1)(c) of the Financial Regulation, including national or regional promotional banks or institutions, the EIB, the European Investment Fund and other international financial institutions . When selecting implementing partners under the Member State compartment, the Commission should take into account the proposals made by each Member State , as reflected in the contribution agreement . In accordance with Article 154 of the Financial Regulation, the Commission must carry out an assessment of the rules and procedures of the implementing partner to ascertain that they provide a level of protection of the financial interest of the Union equivalent to the one provided by the Commission. |
(32) |
Financing and investment operations should ultimately be decided by an implementing partner in its own name, implemented in accordance with its internal rules, policies and procedures and accounted for in its own financial statements or, where applicable, disclosed in the notes to the financial statements . Therefore, the Commission should exclusively account for any financial liability arising from the EU guarantee and disclose the maximum guarantee amount, including all relevant information on the guarantee provided. |
(33) |
The InvestEU Fund should, where appropriate, allow for a smooth, seamless and efficient blending of grants or financial instruments, or both, funded by the Union budget or by other funds, such as the EU Emissions Trading System (ETS) Innovation Fund with that guarantee in situations where this is necessary to best underpin investments to address particular market failures or sub-optimal investment situations. |
(34) |
Projects submitted by implementing partners for support under the InvestEU Programme, which include blending with support from another Union programmes, should as a whole also be consistent with the objectives and eligibility criteria contained in the rules of the relevant Union programmes. The use of the EU guarantee should be decided under the rules of the InvestEU Programme. |
(35) |
The InvestEU Advisory Hub should support the development of a robust pipeline of investment projects in each policy window through advisory initiatives to be implemented by the EIB Group, other advisory partners or directly by the Commission . The InvestEU Advisory Hub should promote geographic diversification with a view to contributing to the Union objectives of economic, social, and territorial cohesion and reducing regional disparities. The InvestEU Advisory Hub should pay particular attention to the aggregation of small-sized projects into larger portfolios. The Commission, the EIB Group and the other advisory partners should cooperate closely with a view to ensuring efficiency, synergies and effective geographic coverage of support across the Union, taking into account the expertise and local capacity of local implementing partners, as well as the European Investment Advisory Hub . In addition ▌, the InvestEU Advisory Hub should provide a central entry point for project development assistance delivered under the InvestEU Advisory Hub for authorities and for project promoters. |
(35a) |
The InvestEU Advisory Hub should be established by the Commission with the EIB Group as the main partner, building in particular on the experience acquired under the European Investment Advisory Hub. The Commission should be responsible for the policy steer of the InvestEU Advisory Hub and for the management of the central entry point. The EIB Group should deliver advisory initiatives under the policy windows. In addition, the EIB Group should provide operational services to the Commission, including by providing input to the strategic and policy guidelines, mapping existing and emerging advisory initiatives, assessing advisory needs and advising the Commission on optimal ways to address these needs through existing or new advisory initiatives. |
(36) |
In order to ensure a wide geographic outreach of the advisory services across the Union and to successfully leverage local knowledge about the InvestEU Fund, a local presence of the InvestEU Advisory Hub should be ensured, where needed, taking into account existing support schemes and the presence of local partners, with a view to provide tangible, proactive, tailor-made assistance on the ground. In order to facilitate the provision of advisory support at local level and to ensure efficiency, synergies and effective geographic coverage of support across the Union, the InvestEU Advisory Hub should cooperate with national promotional banks or institutions, as well as benefit from and make use of their expertise. |
(36a) |
The InvestEU Advisory Hub should provide advisory support to small-sized projects and projects for start-ups, especially when start-ups seek to protect their research and innovation investments by obtaining intellectual property (IP) titles, such as patents, taking into account the existence of and seeking synergies with other services able to cover such actions. |
(37) |
In the context of the InvestEU Fund, there is a need to provide project development and capacity building support to develop the organisational capacities and market development activities needed to originate quality projects. Moreover, the aim is to create the conditions for the expansion of the potential number of eligible recipients in nascent market segments, in particular where the small size of individual projects raises considerably the transaction cost at the project level, such as for the social finance ecosystem, including philanthropic organisations and for the cultural and creative sectors. The capacity building support should ▌be complementary and additional to actions undertaken under other Union programmes that cover a specific policy area. An effort should also be made to support the capacity building of potential project promoters, in particular local organisations and authorities. |
(38) |
The InvestEU Portal should be established to provide for an easily accessible and user-friendly project database to promote visibility of investment projects searching for financing with enhanced focus on the provision of a possible pipeline of investment projects, compatible with Union law and policies, to the implementing partners. |
(39) |
Pursuant to paragraphs 22 and 23 of the Inter-institutional agreement for Better Law-Making of 13 April 2016 (12), there is a need to evaluate the InvestEU Programme on the basis of information collected through specific monitoring requirements, while avoiding overregulation and administrative burdens, in particular on Member States. These requirements, where appropriate, can include measurable indicators, as a basis for evaluating the effects of the InvestEU Programme on the ground. |
(40) |
A solid monitoring framework, based on output, outcome and impact indicators should be implemented to track progress towards the Union's objectives. In order to ensure accountability to European citizens, the Commission should report annually to the European Parliament and the Council on the progress, impact and operations of the InvestEU Programme. |
(41) |
Horizontal financial rules adopted by the European Parliament and the Council on the basis of Article 322 of the Treaty on the Functioning of the European Union apply to this Regulation. These rules are laid down in the Financial Regulation and determine in particular the procedure for establishing and implementing the budget through grants, procurement, prizes, indirect implementation, and provide for checks on the responsibility of financial actors. Rules adopted on the basis of Article 322 TFEU also concern the protection of the Union's budget in case of generalised deficiencies as regards the rule of law in the Member States, as the respect for the rule of law is an essential precondition for sound financial management and effective EU funding. |
(42) |
Regulation (EU, Euratom) No [the new FR] applies to InvestEU Programme. It lays down rules on the implementation of the Union budget, including the rules on budgetary guarantees. |
(43) |
In accordance with Regulation (EU, Euratom) No 2018/1046 of the European Parliament and of the Council (13) (the ‘ Financial Regulation’), Regulation (EU, Euratom) No 883/2013 of the European Parliament and of the Council (14), Council Regulation (Euratom, EC) No 2988/95 (15), Council Regulation (Euratom, EC) No 2185/96 (16) and Council Regulation (EU) 2017/1939 (17), the financial interests of the Union are to be protected through proportionate measures, including the prevention, detection, correction and investigation of irregularities , including fraud, the recovery of funds lost, wrongly paid or incorrectly used and, where appropriate, the imposition of administrative sanctions. In particular, in accordance with Regulation (EU, Euratom) No 883/2013 and Regulation (Euratom, EC) No 2185/96 the European Anti-Fraud Office (OLAF) may carry out administrative investigations, including on-the-spot checks and inspections, with a view to establishing whether there has been fraud, corruption or any other illegal activity affecting the financial interests of the Union. In accordance with Regulation (EU) 2017/1939, the European Public Prosecutor's Office ( ‘the EPPO’) may investigate and prosecute ▌offences against the Union’s financial interests ▌as provided for in Directive (EU) 2017/1371 of the European Parliament and of the Council (18). In accordance with the Financial Regulation, any person or entity receiving Union funds is to fully cooperate in the protection of the Union’s financial interests, to grant the necessary rights and access to the Commission, OLAF, the EPPO in respect of those Member States participating in enhanced cooperation pursuant to Regulation (EU) 2017/1939, and the European Court of Auditors and to ensure that any third parties involved in the implementation of Union funds grant equivalent rights. |
(44) |
Third countries which are members of the European Economic Area (EEA) may participate in Union programmes in the framework of the cooperation established under the EEA agreement, which provides for the implementation of the programmes by a decision under that agreement. Third countries may also participate on the basis of other legal instruments. A specific provision should be introduced in this Regulation to grant the necessary rights for and access to the authorising officer responsible, the European Anti-Fraud Office (OLAF) as well as the European Court of Auditors to comprehensively exert their respective competences. |
(45) |
Pursuant to [reference to be updated as appropriate according to a new decision on OCTs: Article 88 of Council Decision 2013/755/EU], persons and entities established in overseas countries and territories (OCTs) are eligible for funding subject to the rules and objectives of InvestEU Programme and possible arrangements applicable to the Member State to which the relevant OCT is linked. |
(46) |
In order to supplement the non-essential elements of this Regulation with investment guidelines and with a scoreboard of indicators , to facilitate a prompt and flexible adaptation of the performance indicators and to adjust ▌the provisioning rate, the power to adopt acts in accordance with Article 290 of the TFEU should be delegated to the Commission in respect of drawing-up the investment guidelines for the financing and investment operations under different policy windows , the scoreboard , the amendment of Annex III to this Regulation to review or complement the indicators and the adjustment of the provisioning rate. In line with the principle of proportionality, such investment guidelines should include adequate provisions to avoid undue administrative burden. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. |
(47) |
The InvestEU Programme should address Union-wide and/or Member State specific market failures and sub-optimal investment situations and provide for Union-wide market testing of innovative financial products, and systems to spread them, for complex market failures. Therefore, action at Union level is warranted, |
HAVE ADOPTED THIS REGULATION:
CHAPTER I
GENERAL PROVISIONS
Article 1
Subject matter
This Regulation establishes the InvestEU Fund providing for an EU guarantee supporting financing and investment operations carried out by the implementing partners in support of the Union’s internal policies.
This Regulation also establishes an advisory support mechanism to support the development of investable projects and access to financing and to provide related capacity building (‘InvestEU Advisory Hub’). It also establishes a database granting visibility to projects for which project promoters seek financing and which provides investors with information about investment opportunities (‘InvestEU Portal’).
It lays down the objectives of the InvestEU Programme, the budget and the amount of the EU guarantee for the period 2021 to 2027, the forms of Union funding and the rules for providing such funding.
Article 2
Definitions
For the purposes of this Regulation, the following definitions apply:
(1) |
‘blending operations’ means operations supported by the Union budget combining non-repayable forms of support or repayable support or both from the Union budget with repayable forms of support from development or other public finance institutions, as well as from commercial finance institutions and investors; for the purposes of this definition, Union programmes financed from sources other than the Union budget, such as the EU Emissions Trading System (ETS) Innovation Fund, can be assimilated to Union programmes financed by the Union budget; |
(1a) |
‘EIB’ means the European Investment Bank; |
(1b) |
‘EIB Group’ means the European Investment Bank and its subsidiaries or other entities as defined in Article 28(1) of the EIB Statute; |
(1c) |
‘financial contribution’ means the contribution from an implementing partner in the form of own risk taking capacity that shall be provided on a pari passu basis with the EU guarantee or in other forms that allow an efficient implementation of the InvestEU Programme while ensuring appropriate alignment of interest; |
(1d) |
‘contribution agreement’ means the legal instrument whereby the Commission and one or more Member States specify the conditions of the EU guarantee under the Member State compartment, as laid down in Article 9; |
(2) |
‘EU guarantee’ means an overall irrevocable, unconditional and on demand guarantee provided by the Union budget under which the budgetary guarantees in accordance with Article 219(1) of the Financial Regulation take effect through the signature of individual guarantee agreements with implementing partners; |
(3) |
‘financial product’ means a financial mechanism or arrangement ▌under the terms of which the implementing partner provides direct or intermediated financing to final recipients in any of the forms referred to in Article 13; |
(4) |
‘financing and/or investment operations’ means operations to provide finance directly or indirectly to final recipients in the form of financial products, carried out by an implementing partner in its own name, provided by it in accordance with its internal rules , policies and procedures and accounted for in its own financial statements or, where applicable, disclosed in the notes to the financial statements; |
(5) |
‘Funds under shared management’ means funds that foresee the possibility of allocating an amount thereof to the provisioning of a budgetary guarantee under the Member State compartment of the InvestEU Fund, namely the European Regional Development Fund (ERDF), the European Social Fund+ (ESF+), the Cohesion Fund, the European Maritime and Fisheries Fund (EMFF) and the European Agriculture Fund for Rural Development (EAFRD); |
(6) |
‘guarantee agreement’ means the legal instrument whereby the Commission and an implementing partner specify the conditions for proposing financing or investment operations to be granted the benefit of the EU guarantee, for providing the budgetary guarantee for those operations and for implementing them in accordance with the provisions of this Regulation; |
(7) |
‘implementing partner’ means the eligible counterpart such as a financial institution or other intermediary with whom the Commission signs a guarantee agreement ▌; |
(8) |
‘InvestEU Advisory Hub’ means the technical assistance defined in Article 20; |
(8a) |
‘Advisory Agreement’ means the legal instrument whereby the Commission and the advisory partner specify the conditions for the implementation of the InvestEU Advisory Hub; |
(8b) |
‘advisory initiative’ means technical assistance and advisory services supporting investment, including capacity building activities, as defined in Articles 20(1) and (2), implemented by advisory partners, by external service providers contracted by the Commission or by an executive agency; |
(8c) |
‘advisory partner’ means the eligible entity such as a financial institution or other entity with whom the Commission signs an agreement to implement one or more advisory initiatives, except the advisory initiatives implemented through external service providers contracted by the Commission or by executive agencies; |
(9) |
‘InvestEU Portal’ means the database defined in Article 21; |
(10) |
‘InvestEU Programme’ means the InvestEU Fund, the InvestEU Advisory Hub, the InvestEU Portal and blending operations, collectively; |
(10b) |
‘investment platforms’ means special purpose vehicles, managed accounts, contract-based co-financing or risk-sharing arrangements or arrangements established by any other means by which entities channel a financial contribution in order to finance a number of investment projects, and which may include:
|
(11) |
‘microfinance’ means microfinance as defined in Regulation [[ESF+] number]; |
▌ |
|
(13) |
‘national promotional banks or institutions’ (NPBIs) means legal entities carrying out financial activities on a professional basis which are given mandate by a Member State or a Member State's entity at central, regional or local level, to carry out development or promotional activities; |
(14) |
‘small and medium-sized enterprises (SMEs)’ means micro, small and mediumsized enterprises as defined in the Annex to Commission Recommendation 2003/361/EC (19); |
(15) |
‘small midcap companies’ means entities employing up to 499 employees that are not SMEs; |
(16) |
‘social enterprise’ means a social enterprise as defined in Regulation [[ESF+] number]; |
(17) |
‘third country’ means a country that is not a member of the Union. |
Article 3
Objectives of the InvestEU Programme
1. The general objective of the InvestEU Programme is to support the policy objectives of the Union by means of financing and investment operations contributing to:
(a) |
the competitiveness of the Union, including research, innovation and digitisation; |
(b) |
growth and employment in the Union economy, ▌its sustainability and its enviromental and climate dimension contributing to the achievement of the SDGs and the objectives of the Paris climate agreement and to the creation of high-quality jobs ; |
(c) |
the social resilience ▌, inclusiveness and innovativeness of the Union; |
(ca) |
the promotion of scientific and technological advance, of culture, education and training; |
(d) |
the integration of the Union capital markets and the strengthening of the Single Market, including solutions addressing the fragmentation of the Union capital markets, diversifying sources of financing for Union enterprises and promoting sustainable finance. |
(da) |
the promotion of economic, social and territorial cohesion. |
2. The InvestEU Programme has the following specific objectives:
(a) |
to support financing and investment operations in sustainable infrastructure in the areas referred to in point (a) of Article 7(1); |
(b) |
to support financing and investment operations in research, innovation and digitisation , including support for the upscaling of innovative companies and the rolling out of technologies to market ; |
(c) |
to increase the access to and the availability of finance for , and to enhance the global competitiveness of, SMEs, and ▌ for small mid-cap companies; |
(d) |
to increase the access to and the availability of microfinance and finance to social enterprises, support financing and investment operations related to social investment , competences and skills and develop and consolidate social investment markets, in the areas referred to in point (d) of Article 7(1). |
Article 4
Budget and amount of the EU guarantee
1. The EU guarantee for the purposes of the EU compartment referred to in point (a) of Article 8(1) shall be EUR 40 817 500 000 (current prices). It shall be provisioned at the rate of 40 %.
An additional amount of the EU guarantee may be provided for the purposes of the Member State compartment referred to in point (b) of Article 8(1), subject to the allocation by Member States, pursuant to [Article 10(1)] of Regulation [[CPR] number] (20) and Article [75(1)] of Regulation [[CAP plan] number] (21), of the corresponding amounts.
An additional amount of the EU guarantee may also be provided in the form of cash by Member States for the purposes of the Member State compartment.
The contributions from third countries referred to in Article 5 shall also increase the EU guarantee referred to in the first subparagraph, providing a provisioning in cash in full in accordance with [Article 218(2] of the [Financial Regulation].
2. The indicative distribution of the amount referred to in the first subparagraph of paragraph 1 is set out in Annex I to this Regulation. The Commission may modify the amounts referred to in that Annex I, where appropriate, by up to 15 % for each objective. It shall inform the European Parliament and the Council of any modification.
3. The financial envelope for the implementation of the measures provided in Chapters V and VI shall be EUR 525 000 000 (current prices).
4. The amount referred to in paragraph 3 may also be used for technical and administrative assistance for the implementation of the InvestEU Programme, such as preparatory, monitoring, control, audit and evaluation activities including corporate information technology systems.
Article 5
Third countries associated to the InvestEU Fund
The EU compartment of the InvestEU Fund referred to in point (a) of Article 8(1) and each of the policy windows referred to in Article 7(1) may receive contributions from the following third countries in order to participate in certain financial products pursuant to [Article 218(2)] of the [Financial Regulation]:
(a) |
European Free Trade Association (EFTA) members which are members of the European Economic Area (EEA), in accordance with the conditions laid down in the EEA agreement; |
(b) |
acceding countries, candidate countries and potential candidates, in accordance with the general principles and general terms and conditions for their participation in Union programmes established in the respective framework agreements and Association Council decisions, or similar agreements, and in accordance with the specific conditions laid down in agreements between the Union and them; |
(c) |
countries covered by the European Neighbourhood Policy, in accordance with the general principles and general terms and conditions for the participation of those countries in Union programmes established in the respective framework agreements and association council decisions, or similar agreements, and in accordance with the specific conditions laid down in agreements between the Union and those countries; |
(d) |
third countries, in accordance with the conditions laid down in a specific agreement covering the participation of the third country to any Union programme, provided that the agreement:
|
Article 6
Implementation and forms of Union funding
1. The EU guarantee shall be implemented in indirect management with bodies referred to in Article 62(1)(c)(ii) , (iii), (v) and (vi) of the Financial Regulation. Other forms of EU funding under this Regulation shall be implemented in direct or indirect management in accordance with the Financial Regulation, including grants implemented in accordance with its Title VIII and blending operations implemented in accordance with this Article as smoothly as possible and ensuring efficient and coherent support of Union policies.
2. Financing and investment operations covered by the EU guarantee which form part of the blending operation combining support under this Regulation with support provided under one or more other Union programmes or by the EU Emissions Trading System (ETS) Innovation Fund shall:
(a) |
be consistent with the policy objectives and comply with the eligibility criteria set out in the rule on the Union programme under which the support is decided; |
(b) |
comply with this Regulation. |
3. Blending operations including a financial instrument fully financed by other Union programmes or by the ETS Innovation Fund without use of the EU guarantee under this Regulation shall comply with the policy objectives and eligibility criteria set out in the rules of the Union programme under which the support is provided.
4. In accordance with Article 6(2), the non-repayable forms of support and/or financial instruments from the Union budget forming part of the blending operation referred to in paragraphs 2 and 3 shall be decided under the rules of the relevant Union programme and shall be implemented within the blending operation in accordance with this Regulation and with [Title X] of the [Financial Regulation].
The reporting shall also include the elements on the consistency with the policy objectives and eligibility criteria set out in the rules of the Union programme under which support is decided as well on the compliance with this Regulation.
CHAPTER II
InvestEU Fund
Article 7
Policy windows
1. The InvestEU Fund shall operate through the following four policy windows that shall address market failures or sub-optimal investment situations within their specific scope:
(a) |
sustainable infrastructure policy window: comprises sustainable investment in the areas of transport, including multimodal transport, road safety, also in line with the EU objective of eliminating fatal road accidents and serious injuries by 2050, renewal and maintenance of rail and road infrastructure, energy, in particular renewable energy, energy efficiency in line with the 2030 energy framework, buildings renovation projects focused on energy savings and the integration of buildings into a connected energy, storage, digital and transport system, improving interconnection levels, digital connectivity and access including in rural areas , supply and processing of raw materials, space, oceans, water, including inland waterways, waste management in line with the waste hierarchy and the circular economy , nature and other environment infrastructure, cultural heritage, tourism, equipment, mobile assets and deployment of innovative technologies that contribute to the environmental climate resilience or social sustainability objectives of the Union, or to both, and meet the environmental or social sustainability standards of the Union; |
(b) |
research, innovation and digitisation policy window: comprises research , product development and innovation activities, transfer of technologies and research results to the market , supporting market enablers and cooperation between enterprises , demonstration and deployment of innovative solutions and support to scaling up of innovative companies ▌as well as digitisation of Union industry; |
(c) |
SMEs policy window: access to and availability of finance primarily for SMEs , including innovative ones and those operating in the cultural and creative sectors, as well as for small mid-cap companies; |
(d) |
social investment and skills policy window: comprises microfinance, social enterprise finance and social economy and measures to promote gender equality skills, education, training and related services; social infrastructure (including health and educational infrastructure and social and student housing); social innovation; health and long-term care; inclusion and accessibility; cultural and creative activities with a social goal; integration of vulnerable people, including third country nationals. |
2. Where a financing or investment operation proposed to the Investment Committee referred to in Article 19 falls under more than one policy window, it shall be attributed to the window under which its main objective or the main objective of most of its sub-projects fall, unless the investment guidelines define otherwise.
3. Financing and investment operations shall be screened to determine if they have an environmental, climate or social impact and if so, shall be subject to climate, environmental and social sustainability proofing with a view to minimise detrimental impacts and maximise benefits on climate, environment and social dimension. For that purpose, promoters requesting financing shall provide adequate information based on guidance to be developed by the Commission. Projects below a certain size defined in the guidance shall be excluded from the proofing. Projects that are inconsistent with the achievement of the climate objectives shall not be eligible for support under this Regulation.
The Commission guidance shall , in accordance with Union environmental objectives and standards, allow to:
(a) |
as regards adaptation, ensure the resilience to the potential adverse impacts of climate change through a climate vulnerability and risk assessment, including relevant adaptation measures, and, as regards mitigation, integrate the cost of greenhouse gas emissions and the positive effects of climate mitigation measures in the cost-benefit analysis; |
(b) |
account for consolidated project impact in terms of the principal components of the natural capital relating to air, water, land and biodiversity; |
(c) |
estimate the social impact , including on gender equality, the social inclusion of certain areas or populations and the economic development of areas and sectors affected by structural challenges such as the decarbonisation needs of the economy; |
(ca) |
identify projects that are inconsistent with the achievement of climate objectives. |
(cb) |
provide implementing partners with guidance for the purpose of the screening foreseen under paragraph 3, subparagraph 1. In case the implementing partner concludes that no sustainability proofing is to be carried out, it shall provide a justification to the Investment Committee. |
4. Implementing partners shall provide the information necessary to allow the tracking of investment that contributes to meeting the Union objectives on climate and environment, based on guidance to be provided by the Commission.
5. Implementing partners shall target that at least 55 % of the investment under the sustainable infrastructure policy window contribute to meeting the Union objectives on climate and environment.
The Commission together with implementing partners shall seek to ensure that the part of the budgetary guarantee used for the sustainable investment window is distributed aiming at a balance between the different areas.
6. The Commission is empowered to adopt delegated acts in accordance with Article 26 to define the investment guidelines for each of the policy windows. The investment guidelines shall be prepared in close dialogue with the EIB Group and other potential implementing partners.
6a. The Commission shall make the information on the application or interpretation of the investment guidelines available to the implementing partners, the Investment Committee and the advisory partners.
Article 8
Compartments
1. The policy windows referred to in Article 7(1) shall each consist of two compartments addressing ▌market failures or sub-optimal investment situations as follows:
(a) |
the EU compartment shall address any of the following situations:
|
(b) |
the Member State compartment shall address specific market failures or sub-optimal investment situations in one or several regions or Member States to deliver the policy objectives of the contributing Funds under shared management in particular to strengthen economic, social and territorial cohesion in the European Union by addressing imbalances among its regions . |
2. The compartments referred to in paragraph 1 shall, where appropriate, be used in a complementary manner to support a financing or investment operation, including by combining support from both compartments.
Article 9
Specific provisions applicable to the Member State compartment
1. Amounts allocated by a Member State on a voluntary basis under Article [10(1)] of Regulation [[CPR] number] or Article [75(1)] of Regulation [[CAP plan] number] shall be used for the provisioning of the part of the EU guarantee under the Member State compartment covering financing and investment operations in the Member State concerned or for the possible contribution from Funds under shared management to the InvestEU Advisory Hub. Those amounts shall contribute to the achievement of the policy objectives selected in the Partnership Agreement and in the programmes which contribute to InvestEU .
Amounts allocated under the third subparagraph of Article 4(1) shall be used for the provisioning of the guarantee.
2. The establishment of that part of the EU guarantee under the Member State compartment shall be subject to the conclusion of a contribution agreement between the Member State and the Commission.
The fourth subparagraph of Article 9(2) and Article 9(5) shall not apply to the additional amount provided by a Member State under the third subparagraph of Article 4(1).
The provisions in this Article relating to amounts allocated under Article 10(1) of Regulation [CPR number] or Article 75(1) of Regulation [CAP plan] are not applicable to a contribution agreement concerning an additional amount by a Member State, referred to in the third subparagraph of Article 4(1).
The Member State and the Commission shall conclude the contribution agreement or an amendment to it within four months following the Commission Decision adopting the Partnership Agreement or the CAP plan or simultaneously to the Commission Decision amending a programme or a CAP plan.
Two or more Member States may conclude a joint contribution agreement with the Commission.
By derogation from [Article 211(1)] of the [Financial Regulation], the provisioning rate of the EU guarantee under the Member State compartment shall be set at 40 % and maybe adjusted downwards or upwards in each contribution agreement to take account of the risks attached to the financial products intended to be used.
3. The contribution agreement shall at least contain the following elements:
(a) |
the overall amount of the part of the EU guarantee under the Member State compartment pertaining to the Member State, its provisioning rate, the amount of the contribution from Funds under shared management, the constitution phase of the provisioning in accordance with an annual financial plan and the amount of the resulting contingent liability to be covered by a back-to-back guarantee provided by the Member State concerned; |
(b) |
the Member State strategy consisting of the financial products and their minimum leverage, the geographical coverage, including the regional coverage if needed, types of projects, the investment period and, where applicable, the categories of final recipients and of eligible intermediaries; |
(c) |
the potential implementing partner or partners proposed in accordance with Article 12, and the obligation of the Commission to inform the Member State about the implementing partner or partners selected; |
(d) |
the possible contribution from Funds under shared management to the InvestEU Advisory Hub; |
(e) |
the annual reporting obligations towards the Member State, including reporting in accordance with the relevant indicators related to the policy objectives covered in the Partnership Agreement or programme and referred to in the contribution agreement; |
(f) |
provisions on the remuneration of the part of the EU guarantee under the Member State compartment; |
(g) |
possible combination with resources under the EU compartment, including in a layered structure to achieve better risk coverage in accordance with Article 8(2). |
4. The contribution agreements shall be implemented by the Commission through guarantee agreements signed with implementing partners pursuant to Article 14 and advisory agreements signed with advisory partners .
Where, within nine months from the signature of the contribution agreement, no guarantee agreement has been concluded or the amount of a contribution agreement is not fully committed through one or more guarantee agreements, the contribution agreement shall be terminated or prolonged, by mutual agreement, in the first case or amended accordingly in the second case ▌. The unused amount of provisioning coming from amounts allocated by Member States under Article [10(1) of Regulation [[CPR]] of Article [75(1)] of Regulation [[CAP]] shall be re-used pursuant to [Article 10(5)] of Regulation [[CPR] number] and Article [75(5)] of Regulation [[CAP plan] number]. The unused amount of provisioning coming from amounts allocated by a Member State under the third subparagraph of Article 4(1) shall be paid back to the Member State .
Where the guarantee agreement has not been duly implemented within a period specified in Article [10(6)] of Regulation [[CPR] number] or in Article [75(6)] of Regulation [[CAP plan] number], the contribution agreement shall be amended ▌. The unused amount of provisioning coming from amounts allocated by Member States under Article [10(1) of Regulation [[CPR]] of Article [75(1)] of Regulation [[CAP]] shall be re-used pursuant to [Article 10(5)] of Regulation [[CPR] number] and Article [75(5)] of Regulation [[CAP plan] number]. The unused amount of provisioning coming from amounts allocated by a Member State under the third subparagraph of Article 4(1) shall be paid back to the Member State.
5. The following rules shall apply to the provisioning for the part of the EU guarantee under the Member State compartment established by a contribution agreement:
(a) |
after the constitution phase referred to in point (a) of paragraph 3 of this Article, any annual surplus of provisions, calculated by comparing the amount of provisions required by the provisioning rate and the actual provisions, shall be re-used pursuant to [ Article 10(7)] of the [CPR] and to Article [75(7)] of the [[CAP plan] number]; |
(b) |
by derogation from [Article 213(4)] of the [Financial Regulation], after the constitution phase referred to in point (a) of paragraph 3 of this Article, the provisioning shall not give rise during the availability of that part of the EU guarantee under the Member State compartment to annual replenishments; |
(c) |
the Commission shall immediately inform the Member State where, as a result of calls on that part of the EU guarantee under the Member State compartment, the level of provisions for that part of the EU guarantee falls below 20 % of the initial provisioning; |
(d) |
if the level of provisions for that part of the EU guarantee under the Member State compartment reaches 10 % of the initial provisioning, the Member State concerned shall provide to the common provisioning fund up to 5 % of the initial provisioning upon request by the Commission. |
CHAPTER IIA
PARTNERSHIP BETWEEN THE COMMISSION AND THE EIB GROUP
Article 9a
Scope of the partnership
1. The Commission and the EIB Group shall form a partnership under this Regulation with the objective of supporting programme implementation and consistency, inclusivity, additionality, and efficiency of deployment. In accordance with the terms of this Regulation and as further specified in the agreements referred to in paragraph 2, the EIB Group:
(a) |
shall implement the portion of the EU guarantee specified in Article 10(1b); |
(b) |
shall support the implementation of the EU compartment, and where applicable in accordance with Article 12(1) the Member State compartment, of the InvestEU Fund, in particular by:
|
(c) |
may, upon request by a national promotional bank or institution, provide capacity building referred to in Article 20(2)(f) to that national promotional bank or institution and/or other services, related to the implementation of financial products supported by the EU guarantee; |
(d) |
shall, in relation to the InvestEU Advisory Hub,
|
2. The banking related information transmitted to the EIB Group by the Commission under (ii), (iv), (v) and (vi) of (1)(b) shall be limited to information strictly required for the EIB Group to carry out its obligations under these points. The Commission shall define, in close dialogue with the EIB Group and potential implementing partners, the nature and scope of the above mentioned information taking into account the requirements for sound financial management of the EU guarantee, legitimate interests of the implementing partner regarding commercially sensitive information and the needs of the EIB Group for the purpose of meeting its obligations under those points.
3. The modalities of the partnership shall be laid down in agreements, including:
(a) |
on the granting and implementation of the portion of the EU guarantee specified in Article 10(1b):
|
(b) |
an agreement between the Commission and the EIB Group in relation to points (b) and (c) of paragraph 1; |
(c) |
an agreement between the Commission and the EIB Group in relation to the InvestEU Advisory Hub; |
(d) |
service agreements between the EIB Group and national promotional banks and institutions concerning capacity building and other services in accordance with point (c) of paragraph 1. |
4. Without prejudice to Articles 15(3) and 20(4), the costs incurred by the EIB Group for the performance of tasks referred to in points (b) and (c) of paragraph 1 shall comply with the conditions agreed under the agreement referred to in point (b) of paragraph 2 and may be covered from the repayments or revenues attributable to the EU guarantee contributed to the provisioning, in accordance with Article 211(4) and (5) of the Financial Regulation, or be charged on to the envelope referred to in Article 4(3), upon justification of these costs by the EIB Group and within an overall cap of EUR 7 000 000.
5. The costs incurred by the EIB Group for the performance of the operational tasks referred to in point (d)(ii) of paragraph 1 shall be fully covered and paid from the amount referred to in point (d)(i) of paragraph 1, upon justification of these costs by the EIB Group and within an overall cap of EUR 10 000 000.
Article 9b
Conflict of interest
Within the framework of the partnership the EIB Group shall take all necessary measures and precautions to avoid conflicts of interests with other implementing partners, including through putting in place a dedicated and independent team for the tasks referred to in Article 9a(1)(b)(iii), (iv), (v), and (vi) which shall be subject to strict confidentiality rules, which shall continue to apply to those that have left the team. The EIB Group or other implementing partners shall inform the Commission without delay of any situation constituting or likely to lead to any such conflict. In case of doubt, the Commission shall decide if a conflict of interest exists and shall inform the EIB Group thereof. In the event of a conflict of interest, the EIB Group shall take appropriate measures. The steering board shall be informed of the measures taken and their results.
The EIB Group shall take the necessary precautions to avoid conflict of interest situations in the implementation of the InvestEU Advisory Hub, in particular in relation to the operational tasks in its role of supporting the Commission referred to in Article 9a(1)(d)(ii). In the event of a conflict of interest, the EIB Group shall take appropriate measures.
CHAPTER III
EU GUARANTEE
Article 10
EU guarantee
1. The EU guarantee shall be granted as an irrevocable, unconditional and on demand guarantee to the implementing partners in accordance with Article 219(1) of the Financial Regulation and managed in accordance with Title X of the Financial Regulation in indirect management .
1a. The remuneration of the EU guarantee shall be linked to the characteristics and risk profile of the financial products, taking into due account the nature of the underlying financing and investment operations and the fulfilment of the policy objectives targeted. This may include, in duly justified cases related to the nature of the policy objectives targeted by the financial product to be implemented and to the affordability for targeted final recipients, a reduction of the cost or improvement of the terms of financing provided to the final recipient by modulating the remuneration of the EU guarantee, or, where necessary, by covering the outstanding administrative costs borne by the implementing partner through the EU budget, in particular:
(a) |
in situations where stressed financial market conditions would prevent the realisation of an operation under market-based pricing, or |
(b) |
where necessary to catalyse financing and investment operations in sectors or areas experiencing a significant market failure or suboptimal investment situation and to facilitate the establishment of investment platforms, |
to the extent that the reduction of the remuneration of the EU guarantee or the coverage of the outstanding administrative costs borne by implementing partners do not significantly impact the provisioning of the InvestEU guarantee.
The reduction of the remuneration of the EU guarantee shall fully benefit final recipients.
1b. The condition set out in Article 219(4) of the Financial Regulation shall to each implementing partner on a portfolio basis.
1c. 75 % of the EU guarantee under the EU compartment as referred to in first sub-paragraph of Article 4(1), amounting to EUR 30 613 125 000, shall be granted to the EIB Group. The EIB Group shall provide an aggregate financial contribution amounting to EUR 7 653 281 250. This contribution shall be provided in a manner and form that facilitates the implementation of the InvestEU Fund and the achievement of the objectives set out in Article 12(2).
1d. The remaining 25 % of the EU guarantee under the EU compartment shall be granted to other implementing partners, which are also to provide a financial contribution to be determined in the guarantee agreements.
1e. Best efforts shall be made to ensure that at the end of the investment period a wide range of sectors and regions will be covered and excessive sectoral or geographical concentration is avoided. These efforts shall include incentives for the smaller or less sophisticated NPBIs that have a comparative advantage due to their local presence, knowledge and investment competencies. Those efforts shall be supported by the Commission through the development of a coherent approach.
2. Support of the EU guarantee may be granted for financing and investment operations covered by this Regulation for an investment period ending on 31 December 2027. Contracts between the implementing partner and the final recipient or the financial intermediary or other entity referred to in Article 13(1)(a) shall be signed by 31 December 2028.
Article 11
Eligible financing and investment operations
1. The InvestEU Fund shall only support financing and investment operations that
(a) |
comply with the conditions set out in points (a) to (e) of Article 209(2) of the Financial Regulation, in particular with the ▌requirement s regarding market failures, sub-optimal investment situations and additionality as set out in points (a) and (b) of Article 209(2) of the Financial Regulation and in Annex V to this Regulation and, where appropriate, maximising private investment in accordance with point (d) of Article 209(2) of the Financial Regulation; |
(b) |
contribute to the Union policy objectives and fall under the scope of the areas eligible for financing and investment operations under the appropriate window in accordance with Annex II to this Regulation; ▌ |
(ba) |
do not provide financial support to the excluded activities defined in point B of Annex V to this Regulation; and |
(c) |
are consistent with the investment guidelines. |
2. In addition to projects situated in the Union, the InvestEU Fund may support the following projects and operations through financing and investment operations:
(a) |
▌projects between entities located or established in one or more Member States and extending to one or more third countries, including acceding countries, candidate countries and potential candidates, countries falling within the scope of the European Neighbourhood Policy, the European Economic Area or the European Free Trade Association, or to an overseas country or territory as set out in Annex II to the TFEU, or to an associated third country, whether or not there is a partner in those third countries or overseas countries or territories; |
(b) |
financing and investment operations in countries referred to in Article 5 which have contributed to a specific financial product. |
3. The InvestEU Fund may support financing and investment operations providing finance to recipients which are legal entities established in any of the following countries:
(a) |
a Member State or an overseas country or territory linked to it; |
(b) |
a third country or territory associated to the InvestEU Programme in accordance with Article 5; |
(c) |
a third country referred to in point (a) of paragraph 2, where applicable; |
(d) |
other countries where needed for financing a project in a country or territory referred to in points (a) to (c). |
Article 12
Selection of implementing partners other than the EIB Group
1. The Commission shall select, in accordance with Article 154 of the Financial Regulation, the implementing partners , other than the EIB Group .
Implementing partners may form a group. An implementing partner may be a member of one or more groups.
For the EU compartment, the eligible counterparts shall have expressed their interest in relation to the portion of the EU guarantee referred to in Article 10(1c) .▌
For the Member State compartment, the Member State concerned may propose one or more ▌counterparts as implementing partners from among those that have expressed their interest ▌. The Member State concerned may also propose the EIB Group as an implementing partner and may contract, at its own expense, the EIB Group to provide the services listed in Article 9a.
Where the Member State concerned does not propose an implementing partner, the Commission shall proceed in accordance with the second subparagraph of this paragraph among those implementing partners that can cover financing and investment operations in the geographical areas concerned.
2. When selecting implementing partners, the Commission shall ensure that the portfolio of financial products under the InvestEU Fund meets the following objectives :
(a) |
to maximise the coverage of the objectives laid down in Article 3; |
(b) |
to maximise the impact of the EU guarantee through the own resources committed by the implementing partner; |
(c) |
to maximise , where appropriate, private investment; |
(ca) |
to promote innovative financial and risk solutions to address market failures and sub-optimal investment situations; |
(d) |
to achieve geographical diversification via gradual allocation of the EU guarantee, and to allow for the financing of smaller projects ; |
(e) |
to provide sufficient risk diversification. |
▌
3. When selecting the implementing partners, the Commission shall also take into account:
(a) |
the possible cost and remuneration to the Union budget; |
(b) |
the capacity of the implementing partner to implement thoroughly the requirements of Articles 155(2) and 155(3) of the Financial Regulation related to tax avoidance, tax fraud, tax evasion, money laundering, terrorism financing and non-cooperative jurisdictions. |
4. National promotional banks or institutions may be selected as implementing partners, subject to fulfilling the requirements laid down in this Article and in the second subparagraph of Article 14(1).
Article 13
Eligible types of financing
1. The EU guarantee may be used towards risk coverage for the following types of financing provided by the implementing partners:
(a) |
loans, guarantees, counter-guarantees, capital market instruments, any other form of funding or credit enhancement, including subordinated debt, or equity or quasi-equity participations, provided directly or indirectly through financial intermediaries, funds, investment platforms or other vehicles to be channelled to final recipients; |
(b) |
funding or guarantees by an implementing partner to another financial institution enabling the latter to undertake financing activities referred to in point (a). |
In order to be covered by the EU guarantee, the financing referred to in points (a) and (b) of the first subparagraph of this paragraph shall be granted, acquired or issued for the benefit of financing or investment operations referred to in Article 11(1), where the financing by the implementing partner has been granted in accordance with a financing agreement or transaction signed or entered into by the implementing partner after the signature of the guarantee agreement between the Commission and the implementing partner and which has not expired or been cancelled.
2. Financing and investment operations through funds or other intermediate structures shall be supported by the EU guarantee in accordance with provisions to be laid down in the investment guidelines even if such structure invests a minority of its invested amounts outside the Union and in the countries referred to Article 11(2) or into assets other than those eligible under this Regulation.
Article 14
Guarantee agreements
1. The Commission shall conclude a guarantee agreement with each implementing partner on the granting of the EU guarantee in accordance with the requirements of this Regulation up to an amount to be determined by the Commission.
In case implementing partners form a group ▌, a single guarantee agreement shall be concluded between the Commission and each implementing partner within the group or with one implementing partner on behalf of the group.
2. The guarantee agreements shall contain, in particular, provisions concerning:
(a) |
the amount and the terms of the financial contribution which is to be provided by the implementing partner; |
(b) |
the terms of the funding or the guarantees which are to be provided by the implementing partner to another legal entity participating in the implementation, whenever that is the case; |
(c) |
in accordance with Article 16, detailed rules on the provision of the EU guarantee, including coverage of portfolios of specific types of instruments and the respective events triggering possible calls on the EU guarantee; |
(d) |
the remuneration for risk-taking that is to be allocated in proportion to the respective share in the risk-taking of the Union and the implementing partner or as adjusted in duly justified cases pursuant to Article 16(1) ; |
(e) |
the payment conditions; |
(f) |
the commitment of the implementing partner to accept the decisions by the Commission and the Investment Committee as regards the use of the EU guarantee for the benefit of a proposed financing or investment operation, without prejudice to the decision-making of the implementing partner on the proposed operation without the EU guarantee; |
(g) |
provisions and procedures relating to the recovery of claims that is to be entrusted to the implementing partner; |
(h) |
financial and operational reporting and monitoring of the operations under the EU guarantee; |
(i) |
key performance indicators, in particular as regards the use of the EU guarantee, the fulfilment of the objectives and criteria laid down in Articles 3, 7 and 11 as well as the mobilisation of private capital; |
(j) |
where applicable, provisions and procedures relating to blending operations; |
(k) |
other relevant provisions in compliance with the requirements of Article 155(2) and Title X of the Financial Regulation; |
(l) |
the existence of adequate mechanisms for private investors’ potential concerns. |
3. A guarantee agreement shall also provide that remuneration attributable to the Union from financing and investment operations covered by this Regulation is to be provided after the deduction of payments due upon calls on the EU guarantee.
4. In addition, a guarantee agreement shall provide that any amount due to the implementing partner related to the EU guarantee shall be deducted from the overall amount of remuneration, revenues and repayments due by the implementing partner to the Union from financing and investment operations covered by this Regulation. Where this amount is not sufficient to cover the amount due to an implementing partner in accordance with Article 15(3), the outstanding amount shall be drawn from the provisioning of the EU guarantee.
5. Where the guarantee agreement is concluded under the Member State compartment, it may provide for the participation of representatives from the Member State or the regions concerned in the monitoring of the implementation of the guarantee agreement.
Article 15
Requirements for the use of the EU guarantee
1. The granting of the EU guarantee shall be subject to the entry into force of the guarantee agreement with the relevant implementing partner.
2. Financing and investment operations shall be covered by the EU guarantee only where they fulfil the criteria laid down in this Regulation and in the relevant investment guidelines and where the Investment Committee has concluded that they fulfil the requirements for benefiting from the support of the EU guarantee. The implementing partners shall remain responsible for ensuring the compliance of the financing and investment operations with this Regulation and the relevant investment guidelines.
3. No administrative costs or fees related to the implementation of financing and investment operations under the EU guarantee shall be due to the implementing partner by the Commission, unless the nature of the policy objectives targeted by the financial product to be implemented and the affordability for targeted final recipients or the type of financing provided allow the implementing partner to duly justify to the Commission the need for an exception. Coverage of such costs by the EU budget shall be limited to an amount strictly required to implement the relevant financing and investment operations, and be provided only to the extent to which the cost is not covered by revenues received by implementing partners on the financing and investment operations concerned. The fee arrangements shall be laid down in the guarantee agreement and shall comply with the modalities set out in Article 14(4) and with Article 209(2)(g) of the Financial Regulation.
4. In addition, the implementing partner may use the EU guarantee to meet the relevant share of any recovery costs, unless deducted from recovery proceeds, in accordance with Article 14(4).
Article 16
Coverage and terms of the EU guarantee
1. The remuneration for risk-taking shall be allocated between the Union and an implementing partner in proportion to their respective share in the risk-taking of a portfolio of financing and investment operations or, where relevant, of individual operations. The remuneration of the EU guarantee may be reduced in duly justified cases referred to in the second sub-paragraph of Article 10(1).
The implementing partner shall have an appropriate exposure at its own risk to financing and investment operations supported by the EU guarantee, unless exceptionally the policy objectives targeted by the financial product to be implemented are of such nature that the implementing partner could not reasonably contribute its own risk-bearing capacity to it.
2. The EU guarantee shall cover:
(a) |
for debt products referred to in Article 13(1)(a):
|
(b) |
for equity or quasi-equity investments referred to in Article 13(1)(a), the amounts invested and their associated funding cost and losses arising from fluctuations of currencies other than the euro; |
(c) |
for funding or guarantees by an implementing partner to another legal entity referred to in Article 13(1)(b), the amounts used and their associated funding costs. |
3. Where the Union makes a payment to the implementing partner upon a call on the EU guarantee, it shall be subrogated into the relevant rights, to the extent they continue to exist, of the implementing partner relating to any of its financing or investment operations covered by the EU guarantee.
The implementing partner shall, on behalf of the Union, pursue the recovery of claims for the amounts subrogated and reimburse the Union from the sums recovered.
CHAPTER IV
GOVERNANCE
Article 17
Advisory Board
1. The Commission and the Steering Board shall be advised by an advisory board ▌.
1a. The advisory board shall strive to ensure gender balance and shall comprise:
(a) |
one representative of each implementing partner; |
(b) |
one representative of each Member State; |
(c) |
one expert appointed by the European Economic and Social Committee; |
(d) |
one expert appointed by the Committee of the Regions. |
▌
4. The advisory board ▌shall be chaired by a representative of the Commission. The representative nominated by the EIB Group shall be the vice-chair.
▌
The advisory board shall meet regularly and at least twice a year at the request of the Chairperson. ▌
▌
5. The advisory board shall
(a) |
▌provide advice to the Commission and the Steering Board on the design of financial products to be implemented under this Regulation; |
( b ) |
provide advice to the Commission and the Steering Board about market developments, market failures and sub-optimal investment situations and market conditions; ▌ |
(c) |
exchange views on market developments and share best practices. |
5a. Meetings of representatives of the Member States in a separate format shall also be organised at least twice a year and chaired by the Commission.
5b. The Advisory Board and its Member State format may issue recommendations on the implementation and functioning of the InvestEU programme, to be considered by the Steering Board.
5c. The detailed minutes of the meetings of the Advisory Board shall be made public as soon as possible after they have been approved by the Advisory Board.
The Commission shall establish the operating rules and procedures and manage the secretariat of the Advisory Board. All relevant documentation and information shall be made available to the Advisory Board to exercise its tasks.
5d. The NPBIs represented in the advisory board shall select from among themselves the representatives of other implementing partners than the EIB Group in the steering board referred to in Article 17a(1). The NPBIs shall aim at a balanced representation in the steering board in terms of their size and geographical location. The representatives selected shall represent the agreed common position of all implementing partners other than the EIB Group.
Article 17a
Steering Board
1. A steering board shall be established for the InvestEU Programme. It shall be composed of four representatives of the Commission, three representatives of the EIB Group and two representatives of other implementing partners than the EIB Group and one expert appointed as a non-voting member by the European Parliament. That expert shall not seek or take instructions from Union institutions, bodies, offices or agencies, from any Member State government or from any other public or private body and shall act in full independence. The expert shall perform his or her duties impartially and in the interest of the InvestEU Fund.
Members shall be appointed for a term of four years, renewable once, with the exception of the representatives of other implementing partners than the EIB Group who will be appointed for a term of two years.
2. The steering board shall select a Chairperson from among the Commission representatives for a term of four years, renewable once. The Chairperson shall report bi-annually to the representatives of the Member States in the advisory board on the implementation and the functioning of the InvestEU Programme.
The detailed minutes of steering board meetings shall be published as soon as they have been approved by the steering board.
3. The steering board shall:
(a) |
determine strategic and operational guidance for the implementing partners, including guidance on the design of financial products and on other operating policies and procedures necessary for the functioning of the InvestEU Fund; |
(b) |
adopt the risk methodological framework developed by the Commission in cooperation with the EIB Group and the other implementing partners; |
(c) |
oversee the implementation of the InvestEU Programme; |
(d) |
be consulted, reflecting the views of all its members, on the shortlist of candidates for the Investment Committee before selection in accordance with Article 19(2); |
(e) |
adopt the rules of procedure of the secretariat for the Investment Committee referred to in Article 19(2). |
(f) |
adopt the rules applicable to the operations with investment platforms. |
4. The steering board shall use a consensual approach in its discussions, therefore taking the utmost possible account of the positions of all members. If the members cannot converge in their positions, decisions of the steering board are taken by qualified majority of its voting members, consisting of at least seven votes.
Article 17b
Scoreboard
1. A scoreboard of indicators (the ‘Scoreboard’) shall be established to ensure an independent, transparent and harmonised assessment by the Investment Committee of requests for the use of the EU guarantee for a proposed financing or investment operation by an implementing partner.
2. Implementing partners shall fill out the Scoreboard on their proposals for financing and investment operations.
3. The Scoreboard shall, in particular, cover the following elements:
(a) |
description of the financing and investment operation; |
(b) |
contribution to EU policy objectives; |
(c) |
additionality, description of the market failure or sub-optimal investment situation and financial and technical contribution by the implementing partner; |
(d) |
investment impact; |
(e) |
financial profile of the financing and investment operation; |
(f) |
complementary indicators. |
4. The Commission shall be empowered to adopt delegated acts in accordance with Article 26 to supplement this Regulation by establishing additional elements of the scoreboard, including detailed rules for the scoreboard to be used by the implementing partners.
Article 18
Policy check
3. The Commission shall confirm whether the proposed financing and investment operations by the implementing partners other than the EIB comply with Union law and policies.
3a. In the case of EIB financing and investment operations within the scope of this Regulation, such operations shall not be covered by the EU guarantee where the Commission delivers an unfavourable opinion within the framework of the procedure provided for in Article 19 of Protocol No 5.
▌
Article 19
Investment Committee
1. A fully independent Investment Committee shall be established for the InvestEU Fund . It shall:
(a) |
examine the proposals for financing and investment operations submitted by implementing partners for coverage under the EU guarantee and having passed a check of compliance with Union law and policies carried out by the Commission, as referred to in Article 18(3) or having received a favourable opinion within the framework of the procedure provided for in Article 19 of Protocol 5; |
(b) |
verify their compliance with this Regulation and the relevant investment guidelines, |
(ba) |
give particular attention to the additionality requirement referred to in Article 209(2)(b) of the Financial Regulation and in Annex V to this Regulation and to the requirement to crowd in private investment referred to in Article 209(2)(d) of the Financial Regulation; and |
(c) |
check whether the financing and investment operations that would benefit from the support of the EU guarantee comply with all the relevant requirements. |
2. The Investment Committee shall meet in four different configurations, corresponding to the policy windows referred to in Article 7 (1).
Each configuration of the Investment Committee shall be composed of six remunerated external experts. The experts shall be selected in accordance with Article 237 of the Financial Regulation and be appointed by the Commission , at the recommendation of the steering board, for a ▌term of up to four years , renewable once . They shall be remunerated by the Union. The Commission , at the recommendation of the steering board, may decide to renew the term of office of an incumbent member of the Investment Committee without availing itself of the procedure laid down in this paragraph.
The experts shall have a high level of relevant market experience in project structuring and financing or financing of SMEs or corporates.
The composition of the Investment Committee shall ensure that it has a wide knowledge of the sectors covered by the policy windows referred to in Article 7(1) and of the geographic markets in the Union and that it is gender-balanced as a whole.
Four members shall be permanent members of all four configurations of the Investment Committee. In addition, the four configurations shall each have two experts with experience in investment in sectors covered by that policy window. At least one of the permanent members shall have expertise in sustainable investment. The Steering Board shall assign the Investment Committee members to its appropriate configuration or configurations. The Investment Committee shall elect a chairperson from among its permanent members.
▌
3. When participating in the activities of the Investment Committee, its members shall perform their duties impartially and in the sole interest of the InvestEU Fund. They shall not seek or take instructions from the implementing partners, the institutions of the Union, the Member States, or any other public or private body.
CVs and declarations of interest of each member of the Investment Committee shall be made public and constantly updated. Each member of the Investment Committee shall communicate without delay to the Commission and the steering board all information needed to check on an ongoing basis the absence of any conflict of interest.
The steering board may recommend to the Commission to remove a member from his or her functions if he or she does not respect the requirements laid down in this paragraph or for other duly justified reasons.
4. When acting in accordance with this Article, the Investment Committee shall be assisted by a secretariat. The secretariat shall be independent and answerable to the chairperson of the Investment Committee. The secretariat shall be administratively located in the Commission. The rules of procedure for the secretariat shall ensure the confidentiality of exchanges of information and documents between implementing partners and the respective governing bodies. The EIB Group may submit its proposals for financing and investment operations directly to the Investment Committee and shall notify them to the secretariat.
The documentation provided by the implementing partners shall comprise a standardised request form, the scoreboard referred to in Article 17b and any other document the Investment Committee considers relevant, notably a description of the character of the market failure or sub-optimal investment situation and how this will be alleviated by the financing or investment operation as well as a solid assessment demonstrating the additionality of the financing or investment operation. The secretariat shall check the completeness of the documentation provided by the implementing partners other than the EIB Group. The Investment Committee may seek clarifications relating to a proposal for an investment or financing operation from the implementing partner concerned, including through direct presence during the discussion of the aforementioned operation. Any project assessment conducted by an implementing partner shall not be binding on the Investment Committee for the purposes of granting a financing or investment operation the benefit of the coverage by the EU guarantee.
The Investment Committee shall use in its assessment and verification of the proposals a scoreboard of indicators referred to in Article 17b.
5. Conclusions of the Investment Committee shall be adopted by simple majority of all members , provided that such simple majority includes at least one of the non-permanent experts of the policy window under which the proposal is made . In case of a draw, the chair of the Investment Committee has the casting vote.
Conclusions of the Investment Committee approving the support of the EU guarantee to a financing or investment operation shall be publicly accessible and shall include the rationale for the approval and information on the operation, in particular its description, the identity of the promoters or financial intermediaries, and the objectives of the operation . The conclusions shall also refer to the global assessment stemming from the scoreboard.
The scoreboard shall be publicly available after the signature of a financing or investment operation or sub-project, if applicable.
The publications referred to in the second and third subparagraphs shall not contain commercially sensitive information or personal data not to be disclosed under the Union data protection rules. Commercially sensitive parts of the conclusions of the Investment Committee shall be forwarded by the Commission to the European Parliament and to the Council upon request subject to strict confidentiality requirements.
Twice a year, ▌the Investment Committee ▌shall submit to the European Parliament and to the Council a list of all the conclusions as well as the published scoreboards relating thereto. That submission shall include the decisions rejecting the use of the EU guarantee and be subject to strict confidentiality requirements.
Conclusions of the Investment Committee shall be made available in a timely manner to the implementing partner concerned.
All information related to proposals for financing and investment operations provided to the Investment Committee and the conclusions upon them by the Investment Committee shall be recorded in a central repository by the secretariat of the Investment Committee.
6. Where the Investment Committee is requested to approve the use of the EU guarantee for a financing or investment operation that is a facility, programme or structure which has underlying sub-projects, that approval shall comprise the underlying sub-projects, unless the Investment Committee decides to retain the right to approve them separately. If the approval concerns sub-projects of a size below EUR 3 000 000, the Investment Committee shall not retain this right.
6a. The Investment Committee may, where it deems it necessary, bring to the Commission any operational issue relating to the application or interpretation of the investment guidelines.
CHAPTER V
InvestEU Advisory Hub
Article 20
InvestEU Advisory Hub
1. The InvestEU Advisory Hub shall provide advisory support for the identification, preparation, development, structuring, procuring and implementation of investment projects, or enhance the capacity of promoters and financial intermediaries to implement financing and investment operations. Its support may cover any stage of the life-cycle of a project or financing of a supported entity, as appropriate.
The Commission shall sign advisory agreements with the EIB Group and other potential advisory partners and charge them with the provision of advisory support, as referred to in the previous subparagraph, and the services referred to in paragraph 2. The Commission shall also be able to implement advisory initiatives, including through contracting external service providers. The Commission shall establish the central entry point to the InvestEU Advisory Hub and allocate the requests for advisory support to the appropriate advisory initiative. The Commission, the EIB Group and the other advisory partners shall cooperate closely with a view to ensuring efficiency, synergies and effective geographic coverage of support across the Union, while taking due account of existing structures and work.
▌Advisory initiatives shall be available as a component under each policy window referred to in Article 7(1) covering ▌sectors under that window. In addition, ▌advisory initiatives shall be available under a cross-sectoral component .
2. The InvestEU Advisory Hub shall in particular provide the following services:
(a) |
providing a central point of entry , managed and hosted by the Commission, for project development assistance under the InvestEU Advisory Hub for authorities and for project promoters ▌; |
(aa) |
dissemination to authorities and project promoters of all available additional information regarding the investment guidelines including information on the application or interpretation of the investment guidelines provided by the Commission; |
(b) |
assisting project promoters, where appropriate, in developing their projects to fulfil the objectives and eligibility criteria set out in Articles 3, 7 and 11 and facilitating development of aggregators for small-sized projects , including through investment platforms referred to in point (e); however, such assistance does not prejudge the conclusions of the Investment Committee on the coverage of the support of the EU guarantee to such projects; |
(c) |
supporting actions and leveraging local knowledge to facilitate the use of the InvestEU Fund support across the Union and contributing actively where possible to the objective of sectorial and geographical diversification of the InvestEU Fund by supporting the implementing partners in originating and developing potential financing and investment operations; |
(d) |
facilitating the establishment of collaborative platforms for peer-to-peer exchange and sharing of data, knowhow and best practices to support project pipeline and sector development; |
(e) |
providing proactive advisory support on the establishment of investment platforms including cross-border and macro regional investment platforms as well as investment platforms bundling small and medium-sized projects in one or more Member States by theme or by region ; |
(ea) |
supporting the use of blending with grants or financial instruments funded by the Union budget or by other sources in order to strengthen synergies and complementarity between Union instruments and maximise the leverage and impact of the InvestEU Programme; |
(f) |
supporting actions for capacity building to develop organisational capacities, skills and processes and accelerate investment readiness of organisations in order for promoters and authorities to build investment project pipelines, develop financing mechanisms and investment platforms and to manage projects and for financial intermediaries to implement financing and investment operations for the benefit of entities that face difficulties in obtaining access to finance, including through support to develop risk assessment capacity or sector specific knowledge; |
(fa) |
providing advisory support for start-ups, especially when seeking to protect their research and innovation investments by obtaining intellectual property titles, such as patents. |
3. The InvestEU Advisory Hub shall be available to public and private project promoters , including SMEs and start-ups, to public authorities and to national promotional banks , financial and non-financial intermediaries.
4. The Commission shall conclude an advisory agreement with each advisory partner on the implementation of one or more advisory initiatives. Fees may be charged for the services referred to in paragraph 2 to cover part of the costs for providing those services , except for services provided to public project promoters and non-profit institutions, which shall be free of charge where justified. Fees charged to SMEs for the services referred to in paragraph 2 shall be capped at one third of the cost of the provision of those services .
5. In order to achieve the objective referred to in paragraph 1 and to facilitate the provision of advisory support, the InvestEU Advisory Hub shall build upon the expertise of the Commission , the EIB Group and the other advisory partners.
5a. Each advisory initiative shall be set up based on a costs sharing mechanism between the Commission and the advisory partner, unless the Commission in duly justified cases where the specificities of the advisory initiative so requires, and ensuring a coherent and equitable treatment across advisory partners, accepts to cover all costs of the advisory initiative.
6. The InvestEU Advisory Hub shall have local presence, where necessary. It shall be established in particular in Member States or regions that face difficulties in developing projects under the InvestEU Fund. The InvestEU Advisory Hub shall assist in the transfer of knowledge to the regional and local level with a view to building up regional and local capacity and expertise for support referred to in paragraph 1 , including support to implement and accommodate small-sized projects .
6a. In order to provide the advisory support referred in paragraph 1 and to facilitate the provision of that advisory support at local level, the InvestEU Advisory Hub shall cooperate where possible with and benefit from the expertise of national promotional banks or institutions. Cooperation agreements with national promotional banks or institutions shall be concluded under the InvestEU Advisory Hub, where appropriate, with at least one national promotional bank or institution per Member State.
7. The implementing partners shall , as appropriate, propose to project promoters applying for financing, including in particular small-sized projects, to refer their projects to request the InvestEU Advisory Hub support in order to enhance, where appropriate, the preparation of their projects and to allow for the assessment of the possibility of bundling projects.
The implementing partners and advisory partners shall also inform promoters, where relevant, of the possibility of listing their projects on the InvestEU Portal referred to in Article 21.
CHAPTER VI
Article 21
InvestEU Portal
1. The InvestEU Portal shall be established by the Commission. It shall be an easily accessible and user-friendly project database, providing relevant information for each project.
2. The InvestEU Portal shall provide a channel for project promoters to bring their projects for which they are seeking finance visible and thus provide information on them to investors. The inclusion of projects in the InvestEU Portal shall be without prejudice to the decisions on the final projects selected for support under this Regulation, under any other instrument of the Union, or for public funding.
3. Only projects that are compatible with Union law and policies shall be listed on the Portal.
4. Projects meeting the conditions set out in paragraph 3 shall be transmitted by the Commission to the relevant implementing partners , and as appropriate, where an advisory initiative exists, to the InvestEU Advisory Hub .
5. Implementing partners shall examine projects falling within their geographic and activity scope.
CHAPTER VII
ACCOUNTABILITY, MONITORING AND REPORTING, EVALUATION AND CONTROL
Article 21a
Accountability
1. At the request of the European Parliament or of the Council, the Chairperson of the Steering Board shall report on the performance of the InvestEU Fund to the requesting institution, including by participating in a hearing before the European Parliament.
2. The Chairperson of the Steering Board shall reply orally or in writing to questions addressed to the InvestEU Fund by the European Parliament or the Council, in any event within five weeks of the date of receipt of a question.
Article 22
Monitoring and reporting
1. Indicators to report on progress of the InvestEU Programme implementation towards the achievement of the general and specific objectives set out in Article 3 are set in Annex III to this Regulation.
2. To ensure effective assessment of progress of the InvestEU Programme towards the achievement of its objectives, the Commission is empowered to adopt delegated acts in accordance with Article 26 to amend Annex III to this Regulation to review or complement the indicators where considered necessary and the provisions on the establishment of a monitoring and evaluation framework.
3. The performance reporting system shall ensure that data for monitoring implementation and results are collected efficiently, effectively and in a timely manner, and allow for adequate risk and guarantee portfolio monitoring. To that end, proportionate reporting requirements shall be imposed on the implementing partners , the advisory partners and other recipients of Union funds, as appropriate.
4. The Commission shall report on the implementation of InvestEU Programme in accordance with Articles 241 and 250 of the Financial Regulation. In accordance with Article 41(5) of the Financal Regulation the annual report shall provide information on the level of implementation of the Programme against its objectives and performance indicators. For that purpose, the implementing partners shall provide annually the information, including on the functioning of the guarantee, necessary to allow the Commission to comply with its reporting obligations.
5. In addition, each implementing partner shall submit every six months a report to the Commission on the financing and investment operations covered by this Regulation, broken down by the EU compartment and the Member State compartment ▌, as appropriate. The implementing partner shall also submit information on the Member State compartment to the Member State whose compartment it implements. The report shall include an assessment of compliance with the requirements on the use of the EU guarantee and with the key performance indicators laid down in Annex III to this Regulation. The report shall also include operational, statistical, financial and accounting data and an estimation of expected cash flows on each financing and investment operation and at the compartment, policy window and the InvestEU Fund level. Once a year, the report from the EIB Group and, where appropriate, from other implementing partners, shall also include information on barriers to investment encountered when carrying out financing and investment operations covered by this Regulation. The reports shall contain the information the implementing partners shall provide in accordance with Article 155(1)(a) of the Financial Regulation.
Article 23
Evaluation
1. Evaluations shall be done in a timely manner to feed into the decision-making process.
2. [By 30 September 2024 ], the Commission shall submit to the European Parliament and to the Council an independent interim evaluation on the InvestEU Programme, in particular on the use of the EU guarantee , on the functioning of the modalities put in place under Article 9a(1)(b) and (c), on the allocation of the EU guarantee provided for in paragraphs (1b) and (1c) of Article 10, on the implementation of the InvestEU Advisory Hub, on the budgetary allocation provided for in point (d)(i) of Article 9a(1), and on Article 7. The evaluation shall in particular demonstrate how the inclusion of the implementing partners and advisory partners have contributed to the achievement of InvestEU Programme targets as well as EU policy goals especially with regard to value added, geographical and sectoral balance of the supported financing and investment operations. The evaluation shall also assess the application of the sustainability proofing and the focus on SMEs reached under the SME window .
3. At the end of the implementation of the InvestEU Programme, but no later than four years after the end of the period specified in Article 1, the Commission shall submit to the European Parliament and to the Council an independent final evaluation of the InvestEU Programme, in particular on the use of the EU guarantee.
4. The Commission shall communicate the conclusions of the evaluations, accompanied by its observations, to the European Parliament, the Council, the European Economic and Social Committee and the Committee of Regions.
5. The implementing partners and advisory partners shall contribute to and provide the Commission with the information necessary to perform the evaluations referred to in paragraphs 1 and 2.
6. In accordance with [Article 211(1)] of the [Financial Regulation], the Commission shall every three years include in the annual report referred to in [Article 250] of the [Financial Regulation] a review of the adequacy of the provisioning rate laid down in Article 4(1) of this Regulation against the actual risk profile of the financing and investment operations covered by the EU guarantee. The Commission is empowered to adopt delegated acts in accordance with Article 26 in order to adjust, on the basis of that review, the provisioning rate laid down in Article 4(1) of this Regulation by up to 15 %.
Article 24
Audits
Audits on the use of the Union funding carried out by persons or entities, including by others than those mandated by the Union institutions or bodies, shall form the basis of the overall assurance pursuant to Article 127 of the Financial Regulation.
Article 25
Protection of the financial interests of the Union
Where a third country participates in the InvestEU Programme by a decision under an international agreement or by virtue of any other legal instrument, the third country shall grant the necessary rights and access required for the authorizing officer responsible, the European Anti-Fraud Office (OLAF), the European Court of Auditors to comprehensively exert their respective competences. In the case of OLAF, such rights shall include the right to carry out investigations, including on-the-spot checks and inspections, provided for in Regulation (EU, Euratom) No 883/2013 of the European Parliament and of the Council concerning investigations conducted by the European Anti-Fraud Office (OLAF).
Article 26
Exercise of delegation
1. The power to adopt delegated acts is conferred on the Commission subject to the conditions laid down in this Article. Delegated acts concerning activities carried out by, or involving, the EIB Group and other implementing partners, shall be prepared following consultation with the EIB Group and potential implementing partners.
2. The power to adopt delegated acts referred to in Articles 7(6), 17b , 22(2) and 23(6) shall be conferred on the Commission for a period of five years from [entry into force of this Regulation]. The Commission shall draw up a report in respect of the delegation of power not later than nine months before the end of that five-year period. The delegation of power shall be tacitly extended for periods of an identical duration, unless the European Parliament or the Council opposes such extension not later than three months before the end of each period.
3. The delegation of power referred to in Articles 7(6), 17b, 22(2) and 23(6) may be revoked at any time by the European Parliament or by the Council. A decision to revoke shall put an end to the delegation of the power specified in that decision. It shall take effect the day following the publication of the decision in the Official Journal of the European Union or at a later date specified therein. It shall not affect the validity of any delegated acts already in force.
4. Before adopting a delegated act, the Commission shall consult experts designated by each Member State in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016.
5. As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the European Parliament and to the Council.
6. A delegated act adopted pursuant to Articles 7(6), 17b, 22(2) and 23(6) shall enter into force only if no objection has been expressed either by the European Parliament or by the Council within a period of two months of notification of that act to the European Parliament and the Council or if, before the expiry of that period, the European Parliament and the Council have both informed the Commission that they will not object. That period shall be extended by two months at the initiative of the European Parliament or of the Council.
CHAPTER VIII
TRANSPARENCY AND VISIBILITY
Article 27
Information, communication and publicity
1. The implementing partners and advisory partners shall acknowledge the origin and ensure the visibility of the Union funding (in particular when promoting the actions and their results), by providing coherent, effective and targeted information to multiple audiences, including the media and the public.
1a. The implementing partners and advisory partners shall inform, or shall oblige financial intermediaries to inform, the final recipients, including SMEs, of the existence of InvestEU support by making that information clearly visible, particularly in the case of SMEs, in the relevant agreement providing InvestEU support, thereby increasing public awareness and improving visibility.
2. The Commission shall implement information and communication actions relating to the InvestEU Programme and its actions and results. Financial resources allocated to the InvestEU Programme shall also contribute to the corporate communication of the political priorities of the Union, as far as they are related to the objectives referred to in Article 3.
CHAPTER IX
TRANSITIONAL AND FINAL PROVISIONS
Article 28
Transitional provisions
1. Revenues, repayments and recoveries from financial instruments established by programmes referred to in Annex IV to this Regulation may be used for the provisioning of the EU guarantee under this Regulation.
2. Revenues, repayments and recoveries from the EU guarantee established by Regulation (EU) 2015/1017 may be used for the provisioning of the EU guarantee under this Regulation, unless used for the purposes referred to in Articles 4, 9 and 12 of Regulation (EU) 2015/1017.
Article 29
Entry into force
This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.
It shall apply from 1 January 2021.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at …,
For the European Parliament
The President
For the Council
The President
(1) OJ C […], […], p. […].
(2) OJ C […], […], p. […].
(3) Position of the European Parliament of 18 April 2019. The underlined text has not been agreed in the framework of interinstitutional negotiations.
(4) COM(2018)0097 final.
(5) COM(2018)0353.
(6) Directive (EU) 2016/2284 of the European Parliament and of the Council of 14 December 2016 on the reduction of national emissions of certain atmospheric pollutants, amending Directive 2003/35/EC and repealing Directive 2001/81/EC (OJ L 344, 17.12.2016, p. 1).
(7) COM(2017)0206.
(8) COM(2017)0250.
(9) Published as European Economy Discussion Paper 074 in January 2018.
(10)
(11) Reference to be updated: OJ C 373, 20.12.2013, p. 1. The agreement is available at: http://eur-lex.europa.eu/legal-content/EN/TXT/?uri=uriserv:OJ.C_.2013.373.01.0001.01.ENG&toc=OJ:C:2013:373:TOC
(12) Interinstitutional Agreement between the European Parliament, the Council of the European Union and the European Commission on Better Law-Making of 13 April 2016 (OJ L 123, 12.5.2016, p. 1).
(13) Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council of 18 July 2018 on the financial rules applicable to the general budget of the Union, amending Regulations (EU) No 1296/2013, (EU) No 1301/2013, (EU) No 1303/2013, (EU) No 1304/2013, (EU) No 1309/2013, (EU) No 1316/2013, (EU) No 223/2014, (EU) No 283/2014, and Decision No 541/2014/EU and repealing Regulation (EU, Euratom) No 966/2012 (OJ L 193, 30.7.2018, p. 1).
(14) Regulation (EU, Euratom) No 883/2013 of the European Parliament and of the Council of 11 September 2013 concerning investigations conducted by the European Anti-Fraud Office (OLAF) and repealing Regulation (EC) No 1073/1999 of the European Parliament and of the Council and Council Regulation (Euratom) No 1074/1999 (OJ L 248, 18.9.2013, p. 1).
(15) Council Regulation (EC, Euratom) No 2988/95 of 18 December 1995 on the protection of the European Communities financial interests (OJ L 312, 23.12.1995, p. 1).
(16) Council Regulation (Euratom, EC) No 2185/96 of 11 November 1996 concerning on-the-spot checks and inspections carried out by the Commission in order to protect the European Communities' financial interests against fraud and other irregularities (OJ L 292, 15.11.1996, p. 2).
(17) Council Regulation (EU) 2017/1939 of 12 October 2017 implementing enhanced cooperation on the establishment of the European Public Prosecutor’s Office (‘the EPPO’) (OJ L 283, 31.10.2017, p. 1)
(18) Directive (EU) 2017/1371 of the European Parliament and of the Council of 5 July 2017 on the fight against fraud to the Union's financial interests by means of criminal law (OJ L 198, 28.7.2017, p. 29).
(19) Commission Recommendation 2003/361/EC of 6 May 2003 concerning the definition of micro, small and medium-sized enterprises (OJ L 124, 20.5.2003, p. 36).
(20)(21)
ANNEX I
Amounts per specific objective
The ▌indicative distribution referred to in Article 4(2) towards financial and investment operations shall be as follows:
(a) |
▌EUR 11 500 000 000 for objectives referred to in point (a) of Article 3(2); |
(b) |
▌EUR 11 250 000 000 for objectives referred to in point (b) of Article 3(2); |
(c) |
▌EUR 12 500 000 000 for objectives referred to in point (c) of Article 3(2); |
(d) |
▌EUR 5 567 500 000 for objectives referred to in point (d) of Article 3(2). |
ANNEX II
Eligible areas for financing and investment operations
The financing and investment operations may fall under one or more of the following areas:
1. |
Development of the energy sector in accordance with the Energy Union priorities, including security of energy supply, clean energy transition and the commitments taken under the Agenda 2030 and the Paris Agreement, in particular through:
|
2. |
Development of sustainable and safe transport infrastructures and mobility solutions and equipment and innovative technologies in accordance with Union transport priorities and the commitments taken under the Paris Agreement, in particular through:
|
3. |
Environment and resources, in particular through:
|
4. |
Development of digital connectivity infrastructure, in particular through projects supporting deployment of very high capacity digital networks , 5G connectivity and improving digital connectivity and access, particularly to rural areas and peripheral regions . |
5. |
Research, development and innovation, in particular through:
|
6. |
Development, ▌deployment and scaling-up of digital technologies and services, notably contributing to the objectives of the Digital Europe Programme in particular through:
|
7. |
Financial support to entities employing up to 499 employees, with a particular focus on SMEs, and small mid cap companies, in particular through:
|
8. |
Cultural and creative sectors, cultural heritage , media, audio-visual sector, ▌ journalism and press, in particular through but not limited to the development of new technologies, the use of digital technologies and technological management of intellectual property rights . |
9. |
Tourism. |
9a. |
Rehabilitation of industrial sites (including contaminated sites) and restoration for sustainable use. |
10. |
Sustainable agriculture, forestry, fishery, aquaculture and other elements of the wider sustainable bioeconomy. |
11. |
Social investments, including those supporting the implementation of the European Pillar of Social Rights, in particular through:
|
12. |
Development of the defence industry, thereby contributing to the Union's strategic autonomy, in particular through support for:
|
13. |
Space, in particular through the development of the space sector in line with Space Strategy objectives:
|
13a. |
Seas and oceans, through the development of
projects and enterprises in the area of the Blue Economy
, and its
Finance Principles
in particular through maritime entrepreneurship and industry, renewable marine energy and circular economy.
|
ANNEX III
Key performance indicators
1. Volume of InvestEU financing (broken down by policy window)
1.1 |
Volume of operations signed |
1.2 |
Investment mobilised |
1.3 |
Amount of private finance mobilised |
1.4 |
Leverage and multiplier effect achieved |
2. Geographical coverage of InvestEU financing (broken down by policy window , country and region at the NUTS 2 level )
2.1 |
Number of countries covered by operations |
2.1a |
Number of regions covered by operations |
2.1b |
Volume of operations per Member State and per region |
3. Impact of InvestEU financing
3.1 |
Number of jobs created or supported |
3.2 |
Investment supporting climate objectives and, where applicable, detailed per policy window |
3.3 |
Investment supporting digitalisation |
3.3a |
Investment supporting industrial transition |
4. Sustainable Infrastructure
4.1 |
Energy: Additional renewable and other safe and sustainable zero and low-emission energy generation capacity installed (MW) |
4.2 |
Energy: Number of households , number of public and commercial premises with improved energy consumption classification |
4.2a |
Energy: Estimated energy savings generated by the projects in Kw/hour |
4.2b |
Energy: Annual green-house gas emissions reduced/avoided in tonnes of eq. CO2 |
4.2c |
Energy: Volume of investment in the development, smartening and modernisation of sustainable energy infrastructure |
4.3 |
Digital: Additional households, enterprises or public buildings with broadband access of at least 100 Mbps upgradable to Gigabit speed , or number of WIFI-hotspots created |
4.4 |
Transport: Investment mobilised, in particular
in TEN-T
|
4.5 |
Environment: Investment contributing to the implementation of plans and programmes required by the Union environmental acquis relating to air quality, water, waste and nature |
5. Research, Innovation and Digitisation
5.1 |
Contribution to the objective of 3 % of the Union's GDP invested in research, development and innovation |
5.2 |
Number of enterprises supported by size carrying out research and innovation projects |
6. SMEs
6.1 |
Number of enterprises supported by size (micro, small, medium sized and small mid-caps) |
6.2 |
Number of enterprises supported by stage (early, growth/expansion) |
6.2a |
Number of enterprises supported by Member State and region at NUTS 2 level |
6.2b |
Number of enterprises supported by sectors by NACE code |
6.2c |
Percentage of investment volume under the SME window directed towards SMEs |
7. Social Investment and Skills
7.1 |
Social infrastructure: Capacity and access to supported social infrastructure by sector: housing, education, health, other |
7.2 |
Microfinance and social enterprise finance: Number of microfinance recipients and social economy enterprises supported |
7.5 |
Skills: Number of individuals acquiring new skills or having their skills validated and certified: formal, education and training qualification |
ANNEX IV
The InvestEU Programme — Predecessor instruments
A. Equity Instruments:
— |
European Technology Facility (ETF98): Council Decision No 98/347/EC of 19 May 1998 on measures of financial assistance for innovative and job-creating small and medium-sized enterprises (SMEs) — the growth and employment initiative (OJ L 155, 29.5.1998, p. 43). |
— |
TTP: Commission decision adopting a complementary financing decision concerning the financing of actions of the activity ‘Internal market of goods and sectoral policies’ of the Directorate-General Enterprises & Industry for 2007 and adopting the framework decision concerning the financing of the preparatory action ‘The EU assuming its role in a globalised world’ and of four pilot projects ‘Erasmus young entrepreneurs’, ‘Measures to promote cooperation and partnerships between micro and SMEs’, ‘Technological Transfer’ and ‘European Destinations of excellence’ of the Directorate-General Enterprises & Industry for 2007 (C(2007)531). |
— |
European Technology Facility (ETF01): Council Decision No 2000/819/EC of 20 December 2000 on a multiannual programme for enterprise and entrepreneurship, and in particular for small and medium-sized enterprises (SMEs) (2001-2005) (OJ L 333, 29.12.2000, p. 84). |
— |
GIF: Decision No 1639/2006/EC of the European Parliament and of the Council of 24 October 2006 establishing a Competitiveness and Innovation Framework Programme (2007 to 2013) (OJ L 310, 9.11.2006, p. 15). |
— |
Connecting Europe Facility (CEF): Regulation (EU) No 1316/2013 of the European Parliament and of the Council of 11 December 2013 establishing the Connecting Europe Facility, amending Regulation (EU) No 913/2010 and repealing Regulations (EC) No 680/2007 and (EC) No 67/2010 (OJ L 348, 20.12.2013, p. 129) as modified by Regulation (EU) 2015/1017 of the European Parliament and of the Council of 25 June 2015 on the European Fund for Strategic Investments, the European Investment Advisory Hub and the European Investment Project Portal and amending Regulations (EU) No 1291/2013 and (EU) No 1316/2013 — the European Fund for Strategic Investments (OJ L 169, 1.7.2015, p. 1). |
— |
COSME EFG: Regulation (EU) No 1287/2013 of the European Parliament and of the Council of 11 December 2013 establishing a Programme for the Competitiveness of Enterprises and small and medium-sized enterprises (COSME) (2014 — 2020) and repealing Decision No 1639/2006/EC (OJ L 347, 20.12.2013, p. 33). |
— |
InnovFin Equity:
|
— |
EaSI Capacity Building Investments Window: Regulation (EU) No 1296/2013 of the European Parliament and of the Council of 11 December 2013 on a European Union Programme for Employment and Social Innovation (‘EaSI’) and amending Decision No 283/2010/EU establishing a European Progress Microfinance Facility for employment and social inclusion (OJ L 347, 20.12.2013, p. 238). |
B. Guarantee Instruments:
— |
SME Guarantee Facility '98 (SMEG98): Council Decision No 98/347/EC of 19 May 1998 on measures of financial assistance for innovative and job-creating small and medium-sized enterprises (SMEs) — the growth and employment initiative (OJ L 155, 29.5.1998, p. 43). |
— |
SME Guarantee Facility '01 (SMEG01): Council Decision No 2000/819/EC of 20 December 2000 on a multiannual programme for enterprise and entrepreneurship, and in particular for small and medium-sized enterprises (SMEs) (2001-2005) (OJ L 333, 29.12.2000, p. 84). |
— |
SME Guarantee Facility '07 (SMEG07): Decision No 1639/2006/EC of the European Parliament and of the Council of 24 October 2006 establishing a Competitiveness and Innovation Framework Programme (2007 to 2013) (OJ L 310, 9.11.2006, p. 15). |
— |
European Progress Microfinance Facility — Guarantee (EPMF-G): Decision No 283/2010/EU of the European Parliament and of the Council of 25 March 2010 establishing a European Progress Microfinance Facility for employment and social inclusion (OJ L 87, 7.4.2010, p. 1). |
— |
RSI:
|
— |
EaSI-Guarantee: Regulation (EU) No 1296/2013 of the European Parliament and of the Council of 11 December 2013 on a European Union Programme for Employment and Social Innovation (‘EaSI’) and amending Decision No 283/2010/EU establishing a European Progress Microfinance Facility for employment and social inclusion (OJ L 347, 20.12.2013, p. 238). |
— |
COSME Loan Guarantee Facility (COSME LGF): Regulation (EU) No 1287/2013 of the European Parliament and of the Council of 11 December 2013 establishing a Programme for the Competitiveness of Enterprises and small and medium-sized enterprises (COSME) (2014 — 2020) and repealing Decision No 1639/2006/EC (OJ L 347, 20.12.2013, p. 33). |
— |
InnovFin Debt:
|
— |
Cultural and Creative Sectors Guarantee Facility (CCS GF): Regulation (EU) No 1295/2013 of the European Parliament and of the Council of 11 December 2013 establishing the Creative Europe Programme (2014 to 2020) and repealing Decisions No 1718/2006/EC, No 1855/2006/EC and No 1041/2009/EC (OJ L 347, 20.12.2013, p. 221). |
— |
Student Loan Guarantee Facility (SLGF): Regulation (EU) No 1288/2013 of the European Parliament and of the Council of 11 December 2013 establishing ‘Erasmus+’: the Union programme for education, training, youth and sport and repealing Decisions No 1719/2006/EC, No 1720/2006/EC and No 1298/2008/EC (OJ L 347, 20.12.2013, p. 50). |
— |
Private Finance for Energy Efficiency (PF4EE): Regulation (EU) No 1293/2013 of the European Parliament and of the Council of 11 December 2013 on the establishment of a Programme for the Environment and Climate Action (LIFE) and repealing Regulation (EC) No 614/2007 (OJ L 347, 20.12.2013, p. 185). |
C. Risk-Sharing Instruments:
— |
Risk Sharing Finance Facility (RSFF): Decision No 1982/2006/EC of the European Parliament and of the Council of 18 December 2006 concerning the Seventh Framework Programme of the European Community for research, technological development and demonstration activities (2007-2013) Statements by the Commission (OJ L 412, 30.12.2006, p. 1). |
— |
InnovFin:
|
— |
Connecting Europe Facility Debt Instrument (CEF DI): Regulation (EU) No 1316/2013 of the European Parliament and of the Council of 11 December 2013 establishing the Connecting Europe Facility, amending Regulation (EU) No 913/2010 and repealing Regulations (EC) No 680/2007 and (EC) No 67/2010 (OJ L 348, 20.12.2013, p. 129). |
— |
Natural Capital Financing Facility (NCFF): Regulation (EU) No 1293/2013 of the European Parliament and of the Council of 11 December 2013 on the establishment of a Programme for the Environment and Climate Action (LIFE) and repealing Regulation (EC) No 614/2007 (OJ L 347, 20.12.2013, p. 185). |
D. Dedicated Investment Vehicles:
— |
European Progress Microfinance Facility — Fonds commun de placements — fonds d'investissements spécialisés (EPMF FCP-FIS): Decision No 283/2010/EU of the European Parliament and of the Council of 25 March 2010 establishing a European Progress Microfinance Facility for employment and social inclusion (OJ L 87, 7.4.2010, p. 1). |
— |
Marguerite:
|
— |
European Energy Efficiency Fund (EEEF): Regulation (EU) No 1233/2010 of the European Parliament and of the Council of 15 December 2010 amending Regulation (EC) No 663/2009 establishing a programme to aid economic recovery by granting Community financial assistance to projects in the field of energy (OJ L 346, 30.12.2010, p. 5). |
ANNEX V
Market failures, sub-optimal investment situations, additionality and excluded activities
A. Market failures, sub-optimal investment situations and additionality
In accordance with Article 209 of the Financial Regulation the EU guarantee shall address market failures or sub-optimal investment situations (Article 209(2)(a)) and achieve additionality by preventing the replacement of potential support and investment from other public or private sources (Article 209(2)(b)).
In order to comply with points (a) and (b) of Article 209(2) of the Financial Regulation, the financing and investment operations benefitting from the EU guarantee shall fulfil the following requirements laid down in points 1 and 2 below:
1. |
Market failures and sub-optimal investment situations To address market failures or sub-optimal investment situations as referred to in Article 209(2)(a) of the Financial Regulation, the investments targeted by the financing and investment operations shall include one of following features:
|
2. |
Additionality Financing and investment operations shall fulfil both aspects of additionality as referred to in Article 209(2)(b) of the Financial Regulation. This means the operations would not have been carried out or not to the same extent by other public or private sources without the InvestEU Fund support. For the purposes of this Regulation, these shall be understood as financing and investment operations having to meet the following two criteria:
|
To demonstrate that the financing and investment operations benefitting from the EU guarantee are additional to the existing market and other public support, the implementing partners shall provide information demonstrating at least one of the following features:
(a) |
Support provided through subordinated positions in relation to other public or private lenders or within the funding structure. |
(b) |
Support provided through equity and quasi-equity or through debt with long tenors, pricing, collateral requirements or other conditions not sufficiently available on the market or from other public sources. Support to operations that carry a higher risk profile than the risk generally accepted by the implementing partner's own standard activities or support to implementing partners in exceeding own capacity to support such operations. |
(c) |
Participation in risk-sharing mechanisms targeting policy areas that exposes the implementing partner to higher risk levels compared to the levels generally accepted by the implementing partner or that private financial actors are able or willing to accept. |
(d) |
Support that catalyses/crowds in additional private or public financing and is complementary to other private and commercial sources, in particular from traditionally risk-averse investor classes or institutional investors, as a result of the signalling effect of the support provided under the InvestEU Fund. |
(e) |
Support provided through financial products not available or not offered to a sufficient level in the targeted countries or regions due to missing, underdeveloped or incomplete markets. |
For intermediated financing and investment operations, notably for SME support, the additionality shall be verified at the level of the intermediary, rather than at the level of the final recipient. Additionality is deemed to exist when InvestEU Fund supports a financial intermediary in setting up a new portfolio with a higher level of risk or increasing the volume of activities that are already high risk, compared to the risk levels that private and public financial actors are currently able or willing to accept in the targeted Member State(s) or regions.
The EU guarantee shall not be granted for supporting refinancing operations (such as replacing existing loan agreements or other forms of financial support for projects which have already partially or fully materialised), except in specific exceptional and well justified circumstances in which it is demonstrated that the operation under the EU guarantee will enable a new investment in an eligible policy area of an amount, additional to customary volume of activity by the implementing partner or financial intermediary, at least equivalent to the amount of the operation that fulfils the eligibility criteria set out in this Regulation. The aforementioned criteria regarding market failure, sub-optimal investment situations and additionality shall apply also to such refinancing operations.
B. Excluded activities
The InvestEU Fund shall not support:
(1) |
activities which limit people’s individual rights and freedom or violate human rights; |
(2) |
in the area of defence activities, the use, development, or production of products and technologies that are prohibited by applicable international law; |
(3) |
tobacco related products and activities (production, distribution, processing, and trade); |
(4) |
activities excluded in Article [X] of the [Horizon Europe] Regulation: research on human cloning for reproductive purposes; activities intended to modify the genetic heritage of human beings which could make such changes heritable, activities to create human embryos solely for the purpose of research or for the purpose of stem cell procurement, including by means of somatic cell nuclear transfer; |
(5) |
gambling (production, construction, distribution, processing, trade or software related activities); |
(6) |
sex trade and related infrastructure, services and media; |
(7) |
activities involving live animals for experimental and scientific purposes insofar as compliance with the ‘Council of Europe’s Convention for the Protection of Vertebrate Animals used for Experimental and other Scientific Purposes’ cannot be guaranteed; |
(8) |
real estate development activity, i.e. an activity with a sole purpose of renovating and re-leasing or re-selling existing buildings as well as building new projects; however, activities in the real-estate sector that are related to the specific objectives of the InvestEU as specified in Article 3(2) of this Regulation and/or to the eligible areas for financing and investment operations under Annex II to this Regulation, such as investments in energy efficiency projects or social housing, shall be eligible; |
(9) |
financial activities such as purchasing or trading in financial instruments. In particular, interventions targeting buy-out intended for asset stripping or replacement capital intended for asset stripping shall be excluded. |
(10) |
activities forbidden by applicable national legislation; |
(11) |
the decommissioning, the operation, the adaptation or the construction of nuclear power stations; |
(12) |
Investments related to mining / extraction, processing, distribution, storage or combustion of solid fossil fuels and oil as well as investments related to extraction of gas. This exclusion does not apply to:
|
(13) |
Investments in facilities for the disposal of waste in landfill. This exclusion does not apply to investments in:
|
(14) |
Investments in Mechanical Biological Treatment (MBT) plants. This exclusion does not apply to investments to retrofit existing MBT plants for waste-to-energy purposes or recycling operations of separated waste such as composting and anaerobic digestion. |
(15) |
Investments in incinerators for the treatment of waste. This exclusion does not apply to investments in:
|
The implementing partners shall remain responsible for ensuring compliance at signature and monitoring the compliance of the financing and investment operations with exclusion criteria during the implementation of the project and undertaking appropriate remedial actions where relevant.
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/1060 |
P8_TA(2019)0434
European Maritime Single Window environment ***I
European Parliament legislative resolution of 18 April 2019 on the proposal for a Regulation of the European Parliament and of the Council establishing a European Maritime Single Window environment and repealing Directive 2010/65/EU (COM(2018)0278 — C8-0193/2018 — 2018/0139(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/78)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2018)0278), |
— |
having regard to Article 294(2) and Article 100(2) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0193/2018), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
having regard to the opinion of the European Economic and Social Committee of 17 October 2018 (1) , |
— |
after consulting the Committee of the Regions, |
— |
having regard to the provisional agreement approved by the committee responsible under Rule 69f(4) of its Rules of Procedure and the undertaking given by the Council representative by letter of 14 February 2019 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
— |
having regard to Rule 59 of its Rules of Procedure, |
— |
having regard to the report of the Committee on Transport and Tourism (A8-0006/2019), |
1. |
Adopts its position at first reading hereinafter set out; |
2. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
3. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
P8_TC1-COD(2018)0139
Position of the European Parliament adopted at first reading on 18 April 2019 with a view to the adoption of Regulation (EU) 2019/… of the European Parliament and of the Council establishing a European Maritime Single Window environment and repealing Directive 2010/65/EU
(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) 2019/1239.)
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/1061 |
P8_TA(2019)0435
Disclosures relating to sustainable investments and sustainability risks ***I
European Parliament legislative resolution of 18 April 2019 on the proposal for a regulation of the European Parliament and of the Council on disclosures relating to sustainable investments and sustainability risks and amending Directive (EU) 2016/2341 (COM(2018)0354 — C8-0208/2018 — 2018/0179(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/79)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2018)0354), |
— |
having regard to Article 294(2) and Article 114 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0208/2018), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
having regard to the opinion of the European Economic and Social Committee of 17 October 2018 (1), |
— |
having regard to the opinion of the Committee of the Regions of 5 December 2018 (2), |
— |
having regard to the provisional agreement approved by the committee responsible under Rule 69f(4) of its Rules of Procedure and the undertaking given by the Council representative by letter of 27 March 2019 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
— |
having regard to Rule 59 of its Rules of Procedure, |
— |
having regard to the report of the Committee on Economic and Monetary Affairs and the opinion of the Committee on the Environment, Public Health and Food Safety (A8-0363/2018), |
1. |
Adopts its position at first reading hereinafter set out; |
2. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
3. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
P8_TC1-COD(2018)0179
Position of the European Parliament adopted at first reading on 18 April 2019 with a view to the adoption of Regulation (EU) 2019/… of the European Parliament and of the Council on sustainability-related disclosures in the financial services sector
(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) 2019/2088.)
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/1062 |
P8_TA(2019)0436
Persistent organic pollutants ***I
European Parliament legislative resolution of 18 April 2019 on the proposal for a regulation of the European Parliament and of the Council on persistent organic pollutants (recast) (COM(2018)0144 — C8-0124/2018 — 2018/0070(COD))
(Ordinary legislative procedure — recast)
(2021/C 158/80)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2018)0144), |
— |
having regard to Article 294(2) and Article 192(1) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0124/2018), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
having regard to the opinion of the European Economic and Social Committee of 12 July 2018 (1), |
— |
after consulting the Committee of the Regions, |
— |
having regard to the Interinstitutional Agreement of 28 November 2001 on a more structured use of the recasting technique for legal acts (2), |
— |
having regard to the letter of 10 September 2018 sent by the Committee on Legal Affairs to the Committee on the Environment, Public Health and Food Safety in accordance with Rule 104(3) of its Rules of Procedure, |
— |
having regard to the provisional agreement approved by the committee responsible under Rule 69f(4) of its Rules of Procedure and the undertaking given by the Council representative by letter of 1 March 2019 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
— |
having regard to Rules 104 and 59 of its Rules of Procedure, |
— |
having regard to the report of the Committee on the Environment, Public Health and Food Safety (A8-0336/2018), |
A. |
whereas, according to the Consultative Working Party of the legal services of the European Parliament, the Council and the Commission, the Commission proposal does not include any substantive amendments other than those identified as such in the proposal and whereas, as regards the codification of the unchanged provisions of the earlier acts together with those amendments, the proposal contains a straightforward codification of the existing texts, without any change in their substance; |
1. |
Adopts its position at first reading hereinafter set out (3), taking into account the recommendations of the Consultative Working Party of the legal services of the European Parliament, the Council and the Commission; |
2. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
3. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
(1) OJ C 367, 10.10.2018, p. 93.
(3) This position replaces the amendments adopted on 15 November 2018 (Texts adopted, P8_TA(2018)0463).
P8_TC1-COD(2018)0070
Position of the European Parliament adopted at first reading on 18 April 2019 with a view to the adoption of Regulation (EU) 2019/… of the European Parliament and of the Council on persistent organic pollutants (recast)
(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) 2019/1021.)
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/1064 |
P8_TA(2019)0437
Clearing obligation, reporting requirements and risk-mitigation techniques for OTC derivatives, and trade repositories ***I
European Parliament legislative resolution of 18 April 2019 on the proposal for a regulation of the European Parliament and of the Council amending Regulation (EU) No 648/2012 as regards the clearing obligation, the suspension of the clearing obligation, the reporting requirements, the risk-mitigation techniques for OTC derivatives contracts not cleared by a central counterparty, the registration and supervision of trade repositories and the requirements for trade repositories (COM(2017)0208 — C8-0147/2017 — 2017/0090(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/81)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2017)0208), |
— |
having regard to Article 294(2) and Article 114 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0147/2017), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
having regard to the opinion of the European Central Bank of 11 October 2017 (1), |
— |
having regard to the opinion of the European Economic and Social Committee of 20 September 2017 (2), |
— |
having regard to the provisional agreement approved by the committee responsible under Rule 69f(4) of its Rules of Procedure and the undertaking given by the Council representative by letter of 6 March 2019 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
— |
having regard to Rule 59 of its Rules of Procedure, |
— |
having regard to the report of the Committee on Economic and Monetary Affairs (A8-0181/2018), |
1. |
Adopts its position at first reading hereinafter set out; |
2. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
3. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
P8_TC1-COD(2017)0090
Position of the European Parliament adopted at first reading on 18 April 2019 with a view to the adoption of Regulation (EU) 2019/… of the European Parliament and of the Council amending Regulation (EU) No 648/2012 as regards the clearing obligation, the suspension of the clearing obligation, the reporting requirements, the risk-mitigation techniques for OTC derivative contracts not cleared by a central counterparty, the registration and supervision of trade repositories and the requirements for trade repositories
(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) 2019/834.)
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/1066 |
P8_TA(2019)0438
Authorisation of CCPs and recognition of third-country CCPs ***I
European Parliament legislative resolution of 18 April 2019 on the proposal for a regulation of the European Parliament and of the Council amending Regulation (EU) No 1095/2010 establishing a European Supervisory Authority (European Securities and Markets Authority) and amending Regulation (EU) No 648/2012 as regards the procedures and authorities involved for the authorisation of CCPs and requirements for the recognition of third-country CCPs (COM(2017)0331 — C8-0191/2017 — 2017/0136(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/82)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2017)0331), |
— |
having regard to Article 294(2) and Article 114 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0191/2017), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
having regard to the opinion of the European Central Bank of 4 October 2017 (1), |
— |
having regard to the opinion of the European Economic and Social Committee of 20 September 2017 (2), |
— |
having regard to the provisional agreement approved by the committee responsible under Rule 69f(4) of its Rules of Procedure and the undertaking given by the Council representative by letter of 20 March 2019 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
— |
having regard to Rule 59 of its Rules of Procedure, |
— |
having regard to the report of the Committee on Economic and Monetary Affairs (A8-0190/2018), |
1. |
Adopts its position at first reading hereinafter set out; |
2. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
3. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
P8_TC1-COD(2017)0136
Position of the European Parliament adopted at first reading on 18 April 2019 with a view to the adoption of Regulation (EU) 2019/… of the European Parliament and of the Council amending Regulation (EU) No 648/2012 as regards the procedures and authorities involved for the authorisation of CCPs and requirements for the recognition of third-country CCPs
(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) 2019/2099.)
30.4.2021 |
EN |
Official Journal of the European Union |
C 158/1068 |
P8_TA(2019)0439
Promotion of the use of SME growth markets ***I
European Parliament legislative resolution of 18 April 2019 on the proposal for a regulation of the European Parliament and of the Council amending Regulations (EU) No 596/2014 and (EU) 2017/1129 as regards the promotion of the use of SME growth markets (COM(2018)0331 — C8-0212/2018 — 2018/0165(COD))
(Ordinary legislative procedure: first reading)
(2021/C 158/83)
The European Parliament,
— |
having regard to the Commission proposal to Parliament and the Council (COM(2018)0331), |
— |
having regard to Article 294(2) and Article 114 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0212/2018), |
— |
having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
— |
having regard to the opinion of the European Economic and Social Committee of 19 September 2018 (1), |
— |
having regard to the provisional agreement approved by the responsible committee under Rule 69f(4) of its Rules of Procedure and the undertaking given by the Council representative by letter of 20 March 2019 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
— |
having regard to Rule 59 of its Rules of Procedure, |
— |
having regard to the report of the Committee on Economic and Monetary Affairs (A8-0437/2018), |
1. |
Adopts its position at first reading hereinafter set out; |
2. |
Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal; |
3. |
Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
P8_TC1-COD(2018)0165
Position of the European Parliament adopted at first reading on 18 April 2019 with a view to the adoption of Regulation (EU) 2019/… of the European Parliament and of the Council amending Directive 2014/65/EU and Regulations (EU) No 596/2014 and (EU) 2017/1129 as regards the promotion of the use of SME growth markets
(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) 2019/2115.)