Index 
Texts adopted
Thursday, 4 April 2019 - Brussels 
Non-objection to a delegated act: date until which counterparties may continue to apply their risk-management procedures for certain OTC derivative contracts not cleared by a CCP
 Non-objection to a delegated act: date at which the clearing obligation takes effect for certain types of contracts
 Request for waiver of the immunity of Georgios Epitideios
 Request for waiver of the immunity of Lampros Fountoulis
 Request for waiver of the immunity of Eleftherios Synadinos
 Listing the third countries whose nationals must be in possession of visas when crossing the external borders and those whose nationals are exempt from that requirement, as regards the UK's withdrawal from the EU ***I
 Guidelines for the employment policies of the Member States *
 Waste management
 Enforcement requirements and specific rules for posting drivers in the road transport sector ***I
 Daily and weekly driving times, minimum breaks and rest periods and positioning by means of tachographs ***I
 Adapting to development in the road transport sector ***I
 Common rules for the internal market for natural gas ***I
 European Maritime and Fisheries Fund ***I
 Multiannual plan for the fisheries exploiting demersal stocks in the western Mediterranean Sea ***I
 Strengthening the security of identity cards and of residence documents issued to Union citizens ***I
 Road infrastructure safety management ***I
 Pan-European Personal Pension Product (PEPP) ***I
 Work-life balance for parents and carers ***I
 Protection of the Union's budget in case of generalised deficiencies as regards the rule of law in the Member States ***I
 European Social Fund Plus (ESF+) ***I
 Computerising the movement and surveillance of excise goods ***I
 Re-use of public sector information ***I
 Multiannual recovery plan for Mediterranean swordfish ***I
 Minimum level of training of seafarers ***I
 Adjustment of annual pre-financing for the years 2021 to 2023 ***I
 Temporary reintroduction of border control at internal borders ***I
 Seeking an opinion from the Court of Justice relating to the EU accession to the Convention on preventing and combating violence against women and domestic violence
 Tax treatment of pension products, including the pan European Personal Pension Product

Non-objection to a delegated act: date until which counterparties may continue to apply their risk-management procedures for certain OTC derivative contracts not cleared by a CCP
PDF 128kWORD 43k
European Parliament decision to raise no objections to the Commission delegated regulation of 28 March 2019 amending Delegated Regulation (EU) 2016/2251 supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council as regards the date until which counterparties may continue to apply their risk-management procedures for certain OTC derivative contracts not cleared by a CCP ((C(2019)02530 – 2019/2679(DEA))
P8_TA-PROV(2019)0331B8-0234/2019

The European Parliament,

–  having regard to the Commission delegated regulation (C(2019)02530),

–  having regard to the Commission’s letter of 28 March 2019 asking Parliament to declare that it will raise no objections to the delegated regulation,

–  having regard to the letter from the Committee on Economic and Monetary Affairs to the Chair of the Conference of Committee Chairs of 1 April 2019,

–  having regard to Article 290 of the Treaty on the Functioning of the European Union,

–  having regard to Regulation (EU) No 648/2012 of the European Parliament and of the Council of 4 July 2012 on OTC derivatives, central counterparties and trade repositories(1), and in particular Articles 11(5) and 82(6) thereof,

–  having regard to Commission Delegated Regulation (EU) 2019/397 of 19 December 2018 amending Delegated Regulation (EU) 2016/2251 supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council as regards the date until which counterparties may continue to apply their risk-management procedures for certain OTC derivative contracts not cleared by a CCP(2),

–  having regard to the recommendation for a decision of the Committee on Economic and Monetary Affairs,

–  having regard to Rule 105(6) of its Rules of Procedure,

–  having regard to the fact that no objections have been raised within the period laid down in the third and fourth indents of Rule 105(6) of its Rules of Procedure, which expired on 4 April 2019,

A.  whereas pursuant to Article 4 of Commission Delegated Regulation (EU) 2019/397, the regulation is to apply from the date following that on which the Treaties cease to apply to and in the United Kingdom pursuant to Article 50(3) of the Treaty on European Union (TEU), unless a withdrawal agreement has entered into force by that date or the two-year period referred to in Article 50(3) of the TEU has been extended;

B.  whereas on 22 March 2019 the European Council adopted Decision (EU) 2019/476(3) extending the period under Article 50(3) of the TEU in agreement with the United Kingdom, and whereas, consequently, the second condition for the application of Delegated Regulation (EU) 2019/397, namely that the two-year period referred to in Article 50(3) of the TEU has not been extended, will not be fulfilled;

C.  whereas the reasons underlying Delegated Regulation (EU) 2019/397 will remain, regardless of any extension of the period referred to in Article 50(3) of the TEU, and whereas Parliament declared on 13 February 2019 that it had no objections to Delegated Regulation (EU) 2019/397;

D.  whereas Parliament still agrees on the importance for competent authorities and financial markets of exempting certain transactions resulting from a novation, for a limited period of 12 months, if the counterparty established in the UK is changed to a counterparty within the EU-27, and in this context welcomes the delegated regulation of 28 March 2019 which addresses the new development of the extension of the period under Article 50(3) of the TEU by European Council Decision (EU) No 2019/476;

1.  Declares that it has no objections to the delegated regulation;

2.  Instructs its President to forward this decision to the Council and the Commission.

(1) OJ L 201, 27.7.2012, p. 1.
(2) OJ L 71, 13.3.2019, p. 15.
(3) European Council Decision (EU) 2019/476 taken in agreement with the United Kingdom of 22 March 2019 extending the period under Article 50(3)TEU (OJ L 80I, 22.3.2019, p. 1),


Non-objection to a delegated act: date at which the clearing obligation takes effect for certain types of contracts
PDF 127kWORD 43k
European Parliament decision to raise no objections to the Commission delegated regulation of 28 March 2019 amending Delegated Regulation (EU) 2015/2205, Delegated Regulation (EU) 2016/592 and Delegated Regulation (EU) 2016/1178 supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council as regards the date at which the clearing obligation takes effect for certain types of contracts (C(2019)02533 – 2019/2680(DEA))
P8_TA-PROV(2019)0332B8-0235/2019

The European Parliament,

–  having regard to the Commission delegated regulation (C(2019)02533),

–  having regard to the Commission’s letter of 28 March 2019 asking Parliament to declare that it will raise no objections to the delegated regulation,

–  having regard to the letter from the Committee on Economic and Monetary Affairs to the Chair of the Conference of Committee Chairs of 1 April 2019,

–  having regard to Article 290 of the Treaty on the Functioning of the European Union,

–  having regard to Regulation (EU) No 648/2012 of the European Parliament and of the Council of 4 July 2012 on OTC derivatives, central counterparties and trade repositories(1), and in particular Articles 5(2) and 82(6) thereof,

–  having regard to Commission Delegated Regulation (EU) 2019/396 of 19 December 2018 amending Delegated Regulation (EU) 2015/2205, Delegated Regulation (EU) 2016/592 and Delegated Regulation (EU) 2016/1178 supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council as regards the date at which the clearing obligation takes effect for certain types of contracts(2),

–  having regard to the recommendation for a decision of the Committee on Economic and Monetary Affairs,

–  having regard to Rule 105(6) of its Rules of Procedure,

–  having regard to the fact that no objections have been raised within the period laid down in the third and fourth indents of Rule 105(6) of its Rules of Procedure, which expired on 4 April 2019,

A.  whereas pursuant to Article 4 of Commission Delegated Regulation (EU) 2019/396, the regulation is to apply from the date following that on which the Treaties cease to apply to and in the United Kingdom pursuant to Article 50(3) of the Treaty on European Union (TEU), unless a withdrawal agreement has entered into force by that date or the two‑year period referred to in Article 50(3) of the TEU has been extended;

B.  whereas on 22 March 2019 the European Council adopted Decision (EU) 2019/476(3) extending the period under Article 50(3) of the TEU in agreement with the United Kingdom, and whereas, consequently, the second condition for the application of Delegated Regulation (EU) 2019/396, namely that the two‑year period referred to in Article 50(3) of the TEU has not been extended, will not be fulfilled;

C.  whereas the reasons underlying Delegated Regulation (EU) 2019/396 will remain, regardless of any extension of the period referred to in Article 50(3) of the TEU, and whereas Parliament declared on 13 February 2019 that it had no objections to Delegated Regulation (EU) 2019/396;

D.  whereas Parliament still agrees on the importance for competent authorities and financial markets of exempting certain transactions resulting from a novation, for a limited period of 12 months, if the counterparty established in the UK is changed to a counterparty within the EU-27, and in this context welcomes the delegated regulation of 28 March 2019 which addresses the new development of the extension of the period under Article 50(3) of the TEU by European Council Decision (EU) No 2019/476;

1.  Declares that it has no objections to the delegated regulation;

2.  Instructs its President to forward this decision to the Council and the Commission.

(1) OJ L 201, 27.7.2012, p. 1.
(2) OJ L 71, 13.3.2019, p. 11.
(3) European Council Decision (EU) 2019/476 taken in agreement with the United Kingdom of 22 March 2019 extending the period under Article 50(3)TEU (OJ L 80I, 22.3.2019, p. 1).


Request for waiver of the immunity of Georgios Epitideios
PDF 133kWORD 44k
European Parliament decision of 4 April 2019 on the request for waiver of the immunity of Georgios Epitideios (2018/2268(IMM))
P8_TA-PROV(2019)0333A8-0185/2019

The European Parliament,

–  having regard to the request for waiver of the immunity of Georgios Epitideios, forwarded on 12 October 2018 by the Deputy Public Prosecutor of the Supreme Court of Greece, in connection with procedure No ABM: 2017/10839 and announced in plenary on 13 November 2018,

–  having heard Georgios Epitideios in accordance with Rule 9(6) of its Rules of Procedure,

–  having regard to Articles 8 and 9 of Protocol No 7 on the Privileges and Immunities of the European Union, and to Article 6(2) of the Act of 20 September 1976 concerning the election of the members of the European Parliament by direct universal suffrage,

–  having regard to the judgments of the Court of Justice of the European Union of 12 May 1964, 10 July 1986, 15 and 21 October 2008, 19 March 2010, 6 September 2011 and 17 January 2013(1),

–  having regard to Article 62 of the Constitution of Greece,

–  having regard to Rule 5(2), Rule 6(1) and Rule 9 of its Rules of Procedure,

–  having regard to the report of the Committee on Legal Affairs (A8-0185/2019),

A.  whereas the Deputy Public Prosecutor’s Office of the Supreme Court of Greece has requested the waiver of the immunity of Georgios Epitideios, Member of the European Parliament, in connection with possible legal action concerning an alleged offence;

B.  whereas Article 9 of Protocol No 7 on the Privileges and Immunities of the European Union states that Members of the European Parliament enjoy, in the territory of their own state, the immunities accorded to members of the parliament of that state;

C.  whereas Article 62 of the Constitution of Greece provides that, during their parliamentary term, members of parliament may not be prosecuted, arrested, imprisoned or otherwise confined without prior leave granted by parliament;

D.  whereas the request of the Deputy Public Prosecutor of the Supreme Court of Greece relates to proceedings concerning alleged breach of Article 45 and Article 232A of the Greek Criminal Code, which concern joint violation of a court ruling;

E.  whereas Georgios Epitideios is accused of having failed to comply with the interim ruling No 3603/2015 of the Athens single-judge court of first instance ordering the removal of all cameras from the ground floor and the entrance of the building located at No 73 Odos Grammou in Marousi (Attica) and the payment of a fine of EUR 600 (six hundred euros) for each future infringement of the ruling of 25 May 2015;

F.  whereas, pursuant to Rule 9(8) of the Rules of Procedure, the Committee on Legal Affairs shall not, under any circumstances, pronounce on the guilt or otherwise of the Member, nor on whether or not the opinions or acts attributed to him justify prosecution, even if, in considering the request, the committee acquires detailed knowledge of the facts of the case;

G.  whereas it is also not for the European Parliament to take a stance on the guilt or otherwise of the Member or whether the acts attributed to the Member warrant the opening of criminal proceedings, nor to pronounce itself on the relative merits of national legal and judicial systems;

H.  whereas in accordance with Rule 5(2) of the Rules of Procedure of the European Parliament, parliamentary immunity is not a Member’s personal privilege but a guarantee of the independence of Parliament as a whole and of its Members;

I.  whereas the purpose of parliamentary immunity is to protect Parliament and its Members from legal proceedings in relation to activities carried out in the performance of parliamentary duties and which cannot be separated from those duties;

J.  whereas the prosecution does not concern opinions expressed or votes cast in the performance of the duties of the Member of the European Parliament in question for the purposes of Article 8 of Protocol No 7 on the Privileges and Immunities of the European Union;

K.  whereas on the basis of the information and explanations provided in this case, there is no reason to suspect that the intention underlying criminal proceedings is to damage a Member’s political activity or reputation and thus the independence of Parliament (fumus persecutionis);

1.  Decides to waive the immunity of Georgios Epitideios;

2.  Instructs its President to forward this decision and the report of its committee responsible immediately to the Greek authorities and to Georgios Epitideios.

(1) Judgment of the Court of Justice of 12 May 1964, Wagner v Fohrmann and Krier, 101/63, ECLI:EU:C:1964:28; judgment of the Court of Justice of 10 July 1986, Wybot v Faure and others, 149/85, ECLI:EU:C:1986:310; judgment of the General Court of 15 October 2008, Mote v Parliament, T-345/05, ECLI:EU:T:2008:440; judgment of the Court of Justice of 21 October 2008, Marra v De Gregorio and Clemente, C-200/07 and C-201/07, ECLI:EU:C:2008:579; judgment of the General Court of 19 March 2010, Gollnisch v Parliament, T-42/06, ECLI:EU:T:2010:102; judgment of the Court of Justice of 6 September 2011, Patriciello, C-163/10, ECLI: EU:C:2011:543; judgment of the General Court of 17 January 2013, Gollnisch v Parliament, T-346/11 and T-347/11, ECLI:EU:T:2013:23.


Request for waiver of the immunity of Lampros Fountoulis
PDF 133kWORD 44k
European Parliament decision of 4 April 2019 on the request for waiver of the immunity of Lampros Fountoulis (2018/2269(IMM))
P8_TA-PROV(2019)0334A8-0183/2019

The European Parliament,

–  having regard to the request for waiver of the immunity of Lampros Fountoulis, forwarded on 12 October 2018 by the Deputy Public Prosecutor of the Supreme Court of Greece, in connection with procedure No ABM: 2017/10839 and announced in plenary on 13 November 2018,

–  having heard Lampros Fountoulis in accordance with Rule 9(6) of its Rules of Procedure,

–  having regard to Articles 8 and 9 of Protocol No 7 on the Privileges and Immunities of the European Union, and to Article 6(2) of the Act of 20 September 1976 concerning the election of the members of the European Parliament by direct universal suffrage,

–  having regard to the judgments of the Court of Justice of the European Union of 12 May 1964, 10 July 1986, 15 and 21 October 2008, 19 March 2010, 6 September 2011 and 17 January 2013(1),

–  having regard to Article 62 of the Constitution of Greece,

–  having regard to Rule 5(2), Rule 6(1) and Rule 9 of its Rules of Procedure,

–  having regard to the report of the Committee on Legal Affairs (A8-0183/2019),

A.  whereas the Deputy Public Prosecutor’s Office of the Supreme Court of Greece has requested the waiver of the immunity of Lampros Fountoulis, Member of the European Parliament, in connection with possible legal action concerning an alleged offence;

B.  whereas Article 9 of Protocol No 7 on the Privileges and Immunities of the European Union states that Members of the European Parliament enjoy, in the territory of their own state, the immunities accorded to members of the parliament of that state;

C.  whereas Article 62 of the Constitution of Greece provides that, during their parliamentary term, members of parliament may not be prosecuted, arrested, imprisoned or otherwise confined without prior leave granted by parliament;

D.  whereas the request of the Deputy Public Prosecutor of the Supreme Court of Greece relates to proceedings concerning alleged breach of Article 45 and Article 232A of the Greek Criminal Code, which concern joint violation of a court ruling;

E.  whereas Lampros Fountoulis is accused of having failed to comply with the interim ruling No 3603/2015 of the Athens single-judge court of first instance ordering the removal of all cameras from the ground floor and the entrance of the building located at No 73 Odos Grammou in Marousi (Attica) and the payment of a fine of EUR 600 (six hundred euros) for each future infringement of the ruling of 25 May 2015;

F.  whereas, pursuant to Rule 9(8) of the Rules of Procedure, the Committee on Legal Affairs shall not, under any circumstances, pronounce on the guilt or otherwise of the Member, nor on whether or not the opinions or acts attributed to him justify prosecution, even if, in considering the request, the committee acquires detailed knowledge of the facts of the case;

G.  whereas it is also not for the European Parliament to take a stance on the guilt or otherwise of the Member or whether the acts attributed to the Member warrant the opening of criminal proceedings, nor to pronounce itself on the relative merits of national legal and judicial systems;

H.  whereas in accordance with Rule 5(2) of the Rules of Procedure of the European Parliament, parliamentary immunity is not a Member’s personal privilege but a guarantee of the independence of Parliament as a whole and of its Members;

I.  whereas the purpose of parliamentary immunity is to protect Parliament and its Members from legal proceedings in relation to activities carried out in the performance of parliamentary duties and which cannot be separated from those duties;

J.  whereas the prosecution does not concern opinions expressed or votes cast in the performance of the duties of the Member of the European Parliament in question for the purposes of Article 8 of Protocol No 7 on the Privileges and Immunities of the European Union;

K.  whereas on the basis of the information and explanations provided in this case, there is no reason to suspect that the intention underlying criminal proceedings is to damage a Member’s political activity or reputation and thus the independence of Parliament (fumus persecutionis);

1.  Decides to waive the immunity of Lampros Fountoulis;

2.  Instructs its President to forward this decision and the report of its committee responsible immediately to the Greek authorities and to Lampros Fountoulis.

(1) Judgment of the Court of Justice of 12 May 1964, Wagner v Fohrmann and Krier, 101/63, ECLI:EU:C:1964:28; judgment of the Court of Justice of 10 July 1986, Wybot v Faure and others, 149/85, ECLI:EU:C:1986:310; judgment of the General Court of 15 October 2008, Mote v Parliament, T-345/05, ECLI:EU:T:2008:440; judgment of the Court of Justice of 21 October 2008, Marra v De Gregorio and Clemente, C-200/07 and C-201/07, ECLI:EU:C:2008:579; judgment of the General Court of 19 March 2010, Gollnisch v Parliament, T-42/06, ECLI:EU:T:2010:102; judgment of the Court of Justice of 6 September 2011, Patriciello, C-163/10, ECLI: EU:C:2011:543; judgment of the General Court of 17 January 2013, Gollnisch v Parliament, T-346/11 and T-347/11, ECLI:EU:T:2013:23.


Request for waiver of the immunity of Eleftherios Synadinos
PDF 133kWORD 44k
European Parliament decision of 4 April 2019 on the request for waiver of the immunity of Eleftherios Synadinos (2018/2270(IMM))
P8_TA-PROV(2019)0335A8-0184/2019

The European Parliament,

–  having regard to the request for waiver of the immunity of Eleftherios Synadinos, forwarded on 12 October 2018 by the Deputy Public Prosecutor of the Supreme Court of Greece, in connection with procedure No ABM: 2017/10839 and announced in plenary on 13 November 2018,

–  having heard Eleftherios Synadinos in accordance with Rule 9(6) of its Rules of Procedure,

–  having regard to Articles 8 and 9 of Protocol No 7 on the Privileges and Immunities of the European Union, and to Article 6(2) of the Act of 20 September 1976 concerning the election of the members of the European Parliament by direct universal suffrage,

–  having regard to the judgments of the Court of Justice of the European Union of 12 May 1964, 10 July 1986, 15 and 21 October 2008, 19 March 2010, 6 September 2011 and 17 January 2013(1),

–  having regard to Article 62 of the Constitution of Greece,

–  having regard to Rule 5(2), Rule 6(1) and Rule 9 of its Rules of Procedure,

–  having regard to the report of the Committee on Legal Affairs (A8-0184/2019),

A.  whereas the Deputy Public Prosecutor’s Office of the Supreme Court of Greece has requested the waiver of the immunity of Eleftherios Synadinos, Member of the European Parliament, in connection with possible legal action concerning an alleged offence;

B.  whereas Article 9 of Protocol No 7 on the Privileges and Immunities of the European Union states that Members of the European Parliament enjoy, in the territory of their own state, the immunities accorded to members of the parliament of that state;

C.  whereas Article 62 of the Constitution of Greece provides that, during their parliamentary term, members of parliament may not be prosecuted, arrested, imprisoned or otherwise confined without prior leave granted by parliament;

D.  whereas the request of the Deputy Public Prosecutor of the Supreme Court of Greece relates to proceedings concerning alleged breach of Article 45 and Article 232A of the Greek Criminal Code, which concern joint violation of a court ruling;

E.  whereas Eleftherios Synadinos is accused of having failed to comply with the interim ruling No 3603/2015 of the Athens single-judge court of first instance ordering the removal of all cameras from the ground floor and the entrance of the building located at No 73 Odos Grammou in Marousi (Attica) and the payment of a fine of EUR 600 (six hundred euros) for each future infringement of the ruling of 25 May 2015;

F.  whereas, pursuant to Rule 9(8) of the Rules of Procedure, the Committee on Legal Affairs shall not, under any circumstances, pronounce on the guilt or otherwise of the Member, nor on whether or not the opinions or acts attributed to him justify prosecution, even if, in considering the request, the committee acquires detailed knowledge of the facts of the case;

G.  whereas it is also not for the European Parliament to take a stance on the guilt or otherwise of the Member or whether the acts attributed to the Member warrant the opening of criminal proceedings, nor to pronounce itself on the relative merits of national legal and judicial systems;

H.  whereas in accordance with Rule 5(2) of the Rules of Procedure of the European Parliament, parliamentary immunity is not a Member’s personal privilege but a guarantee of the independence of Parliament as a whole and of its Members;

I.  whereas the purpose of parliamentary immunity is to protect Parliament and its Members from legal proceedings in relation to activities carried out in the performance of parliamentary duties and which cannot be separated from those duties;

J.  whereas the prosecution does not concern opinions expressed or votes cast in the performance of the duties of the Member of the European Parliament in question for the purposes of Article 8 of Protocol No 7 on the Privileges and Immunities of the European Union;

K.  whereas on the basis of the information and explanations provided in this case, there is no reason to suspect that the intention underlying criminal proceedings is to damage a Member’s political activity or reputation and thus the independence of Parliament (fumus persecutionis);

1.  Decides to waive the immunity of Eleftherios Synadinos;

2.  Instructs its President to forward this decision and the report of its committee responsible immediately to the Greek authorities and to Eleftherios Synadinos.

(1) Judgment of the Court of Justice of 12 May 1964, Wagner v Fohrmann and Krier, 101/63, ECLI:EU:C:1964:28; judgment of the Court of Justice of 10 July 1986, Wybot v Faure and others, 149/85, ECLI:EU:C:1986:310; judgment of the General Court of 15 October 2008, Mote v Parliament, T-345/05, ECLI:EU:T:2008:440; judgment of the Court of Justice of 21 October 2008, Marra v De Gregorio and Clemente, C-200/07 and C-201/07, ECLI:EU:C:2008:579; judgment of the General Court of 19 March 2010, Gollnisch v Parliament, T-42/06, ECLI:EU:T:2010:102; judgment of the Court of Justice of 6 September 2011, Patriciello, C-163/10, ECLI: EU:C:2011:543; judgment of the General Court of 17 January 2013, Gollnisch v Parliament, T-346/11 and T-347/11, ECLI:EU:T:2013:23.


Listing the third countries whose nationals must be in possession of visas when crossing the external borders and those whose nationals are exempt from that requirement, as regards the UK's withdrawal from the EU ***I
PDF 182kWORD 49k
Resolution
Consolidated text
European Parliament legislative resolution of 4 April 2019 on the proposal for a regulation of the European Parliament and of the Council amending Council Regulation (EC) No 539/2001 listing the third countries whose nationals must be in possession of visas when crossing the external borders and those whose nationals are exempt from that requirement, as regards the withdrawal of the United Kingdom from the Union (COM(2018)0745 – C8-0483/2018 – 2018/0390(COD))
P8_TA-PROV(2019)0336A8-0047/2019

(Ordinary legislative procedure: first reading)

The European Parliament,

–  having regard to the Commission proposal to Parliament and the Council (COM(2018)0745),

–  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 (C8‑0483/2018),

–  having regard to Article 294(3) of the Treaty on the Functioning of the European Union,

–  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 2 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 (A8-0047/2019),

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.

Position of the European Parliament adopted at first reading on 4 April 2019 with a view to the adoption of Regulation (EU) 2019/… of the European Parliament and of the Council amending ▌Regulation (EU) 2018/1806 listing the third countries whose nationals must be in possession of visas when crossing the external borders and those whose nationals are exempt from that requirement, as regards the withdrawal of the United Kingdom from the Union

P8_TC1-COD(2018)0390


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 77(2)(a) 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)  On 29 March 2017, the United Kingdom notified the European Council of its intention to withdraw from the Union pursuant to Article 50 of the Treaty on European Union (TEU). On 21 March 2019, the European Council agreed to extend the period provided for in Article 50(3) TEU to 22 May 2019, provided that the United Kingdom House of Commons approves the Agreement on the withdrawal of the United Kingdom of Great Britain and Northern Ireland from the European Union and the European Atomic Energy Community(2) ('Withdrawal Agreement'). In the event the United Kingdom House of Commons does not approve the Withdrawal Agreement, the European Council agreed to an extension until 12 April 2019.

(2)  Under Article 21 of the Treaty on the Functioning of the European Union (TFEU) and Directive 2004/38/EC of the European Parliament and of the Council(3), citizens of the Union have the right to move and reside freely within the territory of the Member States, including the right to enter the territory of the Member States without a visa or equivalent formalities.

(3)  As a consequence of the United Kingdom’s withdrawal from the Union, the Treaties and Directive 2004/38/EC, along with the right to enter the territory of the Member States without a visa or equivalent formalities, will cease to apply to nationals of the United Kingdom who are British citizens ▌. It is therefore necessary to include the United Kingdom in one of the annexes to ▌Regulation (EU) 2018/1806 of the European Parliament and of the Council(4). Annex I lists the third countries whose nationals are required to be in possession of a visa when crossing the external borders of the Member States and Annex II lists those third countries whose nationals are exempt from that requirement.

(4)  Gibraltar is not part of the United Kingdom. Union law has been applicable to Gibraltar to the extent provided for in the 1972 Act of Accession only by virtue of Article 355(3) TFEU. The addition of the United Kingdom to Part 1 of Annex II to Regulation (EU) 2018/1806 will not cover British overseas territories citizens who have acquired their citizenship from a connection with Gibraltar. Gibraltar should thus be listed along with other British overseas territories in Part 3 of Annex II to Regulation (EU) 2018/1806.

(5)  The criteria which should be taken into account when determining ▌, on the basis of a case-by-case assessment, the third countries whose nationals are subject to, or exempt from, the visa requirement are laid down in Article ▌1 of Regulation (EU) 2018/1806. Those criteria include illegal immigration, public policy and security, economic benefit, in particular in terms of tourism and foreign trade, and the Union’s external relations with the relevant third countries, including, in particular, considerations of human rights and fundamental freedoms, as well as the implications of regional coherence and reciprocity.

(6)  Taking account of all the criteria listed in Article ▌1 of Regulation (EU) 2018/1806, it is appropriate to exempt nationals of the United Kingdom who are British citizens from the visa requirement when travelling to the territory of the Member States. Considering the geographical proximity, the link between economies, the level of trade and the extent of short-term movements of persons between the United Kingdom and the Union for business, leisure or other purposes, visa-free travel should facilitate tourism and economic activity, thereby bringing benefits to the Union.

(7)  The United Kingdom should thus be included in Annex II to Regulation (EU) 2018/1806 as regards British citizens.

(8)  This Regulation is based on the expectation that, in the interest of maintaining close relations, the United Kingdom will grant full visa reciprocity to the nationals of all Member States. In the event that the United Kingdom introduces a visa requirement for nationals of at least one Member State in the future, the reciprocity mechanism provided for in ▌Article 7 of Regulation (EU) 2018/1806 should apply. The European Parliament, the Council, the Commission and the Member States should act without delay in applying the reciprocity mechanism. The Commission should monitor the respect of the principle of reciprocity on a continuous basis and immediately inform the European Parliament and the Council of any developments which could endanger the respect of that principle.

(9)  As regards Iceland and ▌Norway, this Regulation constitutes a development of the provisions of the Schengen acquis within the meaning of the Agreement concluded by the Council of the European Union and the Republic of Iceland and the Kingdom of Norway concerning the latters' association ▌with the implementation, application and development of the Schengen acquis(5), which fall within the area referred to in point B of Article 1 of Council Decision 1999/437/EC(6).

(10)  As regards Switzerland, this Regulation constitutes a development of the provisions of the Schengen acquis within the meaning of the Agreement between the European Union, the European Community and the Swiss Confederation on the Swiss Confederation’s association with the implementation, application and development of the Schengen acquis(7) which fall within the area referred to in points (B) and (C) of Article 1 of Decision 1999/437/EC read in conjunction with Article 3 of Council Decision 2008/146/EC(8).

(11)  As regards ▌ Liechtenstein, this Regulation constitutes a development of the provisions of the Schengen acquis within the meaning of the Protocol between the European Union, the European Community, the Swiss Confederation and the Principality of Liechtenstein on the accession of the Principality of Liechtenstein to the Agreement between the European Union, the European Community and the Swiss Confederation on the Swiss Confederation’s association with the implementation, application and development of the Schengen acquis(9) which fall within the area referred to in points (B) and (C) of Article 1 of Decision 1999/437/EC read in conjunction with Article 3 of Council Decision 2011/350/EU(10).

(12)  This Regulation constitutes a development of the provisions of the Schengen acquis in which the United Kingdom does not take part, in accordance with Council Decision 2000/365/EC(11); the United Kingdom is therefore not taking part in the adoption of this Regulation and is not bound by it or subject to its application.

(13)  This Regulation constitutes a development of the provisions of the Schengen acquis in which Ireland does not take part, in accordance with Council Decision 2002/192/EC(12); Ireland is therefore not taking part in the adoption of this Regulation and is not bound by it or subject to its application.

(14)  This Regulation constitutes an act building upon, or otherwise relating to, the Schengen acquis within, respectively, the meaning of Article 3(1) of the 2003 Act of Accession, Article 4(1) of the 2005 Act of Accession and Article 4(1) of the 2011 Act of Accession.

(15)  This Regulation should enter into force ▌ on the day following that on which Union law ceases to apply to the United Kingdom.

(16)  Regulation (EU) 2018/1806 should therefore be amended,

HAVE ADOPTED THIS REGULATION:

Article 1

Regulation (EU) 2018/1806 is amended as follows:

(1)  In Article 6(2), point (d) is replaced by the following:"

“(d) without prejudice to the requirements stemming from the European Agreement on the Abolition of Visas for Refugees of the Council of Europe signed at Strasbourg on 20 April 1959, recognised refugees and stateless persons and other persons who do not hold the nationality of any country who reside in Ireland and are holders of a travel document issued by Ireland, which is recognised by the Member State concerned.”;

"

(2)  in Part 1 of Annex II, the following is inserted:"

“United Kingdom (excluding British nationals as referred to in Part 3)”;

"

(3)  the title of Part 3 of Annex II is replaced by the following:"

“BRITISH NATIONALS WHO ARE NOT BRITISH CITIZENS”;

"

(4)  in Part 3 of Annex II, the following is added after the words “British overseas territories citizens (BOTC)”: "

“These territories include Anguilla, Bermuda, British Antarctic Territory, British Indian Ocean Territory, British Virgin Islands, Cayman Islands, Falkland Islands, Gibraltar*, Montserrat, Pitcairn, Saint Helena, Ascension and Tristan da Cunha, South Georgia and South Sandwich Islands and Turks and Caicos Islands.

_____________________________

* Gibraltar is a colony of the British Crown. There is a controversy between Spain and the United Kingdom concerning the sovereignty over Gibraltar, a territory for which a solution has to be reached in light of the relevant resolutions and decisions of the General Assembly of the United Nations.”.

"

Article 2

Where the United Kingdom introduces a visa requirement for nationals of at least one Member State, the reciprocity mechanism provided for in Article 7 of Regulation (EU) 2018/1806 shall apply. The European Parliament, the Council, the Commission and the Member States shall act without delay in applying the reciprocity mechanism.

Article 3

▌This Regulation shall enter into force on ▌the day following that on which Union law ceases to apply to the United Kingdom.

▌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 For the Council

The President The President

(1)Position of the European Parliament of 4 April 2019.
(2) OJ C 66I, 19.2.2019, p. 1.
(3)Directive 2004/38/EC of the European Parliament and of the Council of 29 April 2004 on the right of citizens of the Union and their family members to move and reside freely within the territory of the Member States amending Regulation (EEC) No 1612/68 and repealing Directives 64/221/EEC, 68/360/EEC, 72/194/EEC, 73/148/EEC, 75/34/EEC, 75/35/EEC, 90/364/EEC, 90/365/EEC and 93/96/EEC (OJ L 158, 30.4.2004, p. 77).
(4)Regulation (EU) 2018/1806 of the European Parliament and of the Council of 14 November 2018 listing the third countries whose nationals must be in possession of visas when crossing the external borders and those whose nationals are exempt from that requirement (OJ L 303, 28.11.2018, p. 39).
(5)OJ L 176, 10.7.1999, p. 36.
(6)Council Decision 1999/437/EC of 17 May 1999 on certain arrangements for the application of the Agreement concluded by the Council of the European Union and the Republic of Iceland and the Kingdom of Norway concerning the association of those two States with the implementation, application and development of the Schengen acquis (OJ L 176, 10.7.1999, p. 31).
(7)OJ L 53, 27.2.2008, p. 52.
(8)Council Decision 2008/146/EC of 28 January 2008 on the conclusion, on behalf of the European Community, of the Agreement between the European Union, the European Community and the Swiss Confederation on the Swiss Confederation’s association with the implementation, application and development of the Schengen acquis (OJ L 53, 27.2.2008, p. 1).
(9)OJ L 160, 18.6.2011, p. 21.
(10)Council Decision 2011/350/EU of 7 March 2011 on the conclusion, on behalf of the European Union, of the Protocol between the European Union, the European Community, the Swiss Confederation and the Principality of Liechtenstein on the accession of the Principality of Liechtenstein to the Agreement between the European Union, the European Community and the Swiss Confederation on the Swiss Confederation’s association with the implementation, application and development of the Schengen acquis, relating to the abolition of checks at internal borders and movement of persons (OJ L 160, 18.6.2011, p. 19).
(11)Council Decision 2000/365/EC of 29 May 2000 concerning the request of the United Kingdom of Great Britain and Northern Ireland to take part in some of the provisions of the Schengen acquis (OJ L 131, 1.6.2000, p. 43).
(12)Council Decision 2002/192/EC of 28 February 2002 concerning Ireland’s request to take part in some of the provisions of the Schengen acquis (OJ L 64, 7.3.2002, p. 20).


Guidelines for the employment policies of the Member States *
PDF 122kWORD 41k
European Parliament legislative resolution of 4 April 2019 on the proposal for a Council decision on guidelines for the employment policies of the Member States (COM(2019)0151 – C8-0131/2019 – 2019/0056(NLE))
P8_TA-PROV(2019)0337A8-0177/2019

(Consultation)

The European Parliament,

–  having regard to the Commission proposal to the Council (COM(2019)0151),

–  having regard to Article 148(2) of the Treaty on the Functioning of the European Union, pursuant to which the Council consulted Parliament (C8‑0131/2019),

–  having regard to Rule 78c of its Rules of Procedure,

–  having regard to the report of the Committee on Employment and Social Affairs (A8-0177/2019),

1.  Approves the Commission proposal;

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

3.  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.


Waste management
PDF 136kWORD 47k
European Parliament resolution of 4 April 2019 on waste management (2019/2557(RSP))
P8_TA-PROV(2019)0338B8-0231/2019

The European Parliament,

–  having regard to Article 191 of the Treaty on the Functioning of the European Union (TFEU),

–  having regard to Directive (EU) 2018/851 of the European Parliament and of the Council of 30 May 2018 amending Directive 2008/98/EC on waste(1) (the Waste Framework Directive),

–  having regard to Directive (EU) 2018/850 of the European Parliament and of the Council of 30 May 2018 amending Directive 1999/31/EC on the landfill of waste(2),

–  having regard to Directive (EU) 2018/852 of the European Parliament and of the Council of 30 May 2018 amending Directive 94/62/EC on packaging and packaging waste(3),

–  having regard to Directive (EU) 2018/849 of the European Parliament and of the Council of 30 May 2018 amending Directives 2000/53/EC on end-of-life vehicles, 2006/66/EC on batteries and accumulators and waste batteries and accumulators, and 2012/19/EU on waste electrical and electronic equipment(4),

–  having regard to Regulation (EU) 2018/842 of the European Parliament and of the Council of 30 May 2018 on binding annual greenhouse gas emission reductions by Member States from 2021 to 2030 contributing to climate action to meet commitments under the Paris Agreement and amending Regulation (EU) No 525/2013(5) (the Climate Action Regulation),

–  having regard to Directive 2009/125/EC of the European Parliament and of the Council of 21 October 2009 establishing a framework for the setting of ecodesign requirements for energy-related products(6), and to the implementing regulations and voluntary agreements adopted under that directive,

–  having regard to its resolution of 13 September 2018 on a European strategy for plastics in a circular economy(7),

–  having regard to its resolution of 17 April 2018 on the implementation of the 7th Environment Action Programme(8),

–  having regard to its resolution of 6 July 2017 on EU action for sustainability(9),

–  having regard to its resolution of 4 July 2017 on a longer lifetime for products: benefits for consumers and companies(10),

–  having regard to its resolution of 31 May 2018 on the implementation of the Ecodesign Directive (2009/125/EC)(11),

–  having regard to the provisional political agreement reached by the co-legislators on 19 December 2018 on the proposal for a directive on the reduction of the impact of certain plastic products on the environment,

–  having regard to the Commission communication of 26 January 2017 on the role of waste-to-energy in the circular economy (COM(2017)0034),

–  having regard to the Commission communication of 16 January 2018 on the implementation of the circular economy package: options to address the interface between chemical, product and waste legislation (COM(2018)0032) and to the related staff working document (SWD(2018)0020),

–  having regard to the Commission communication of 2 December 2015 entitled ‘Closing the loop – An EU action plan for the Circular Economy’ (COM(2015)0614),

–  having regard to the more than 60 petitions on waste management received from Belgium, Bulgaria, Greece, Italy, Poland, Slovakia, Spain and the UK by the European Parliament during the last few years,

–  having regard to the fact-finding visits of the Committee on Petitions to Bulgaria, Greece and Italy in recent years on waste management issues, and in particular the conclusions and specific recommendations of the subsequent reports,

–  having regard to its resolution of 2 February 2012 on the issues raised by petitioners in relation to the application of the Waste Management Directive, and related directives, in the Member States of the European Union(12),

–  having regard to Rule 216(2) of its Rules of Procedure,

A.  whereas progress has been made across the EU in reducing the impacts of waste generation on the environment and human health, yet many challenges remain and urgent measures need to be taken to ensure sustainable resource management, especially in relation to the relatively high amounts of untreated waste that are still landfilled in many Member States;

B.  whereas two of the key challenges for the future are to reduce levels of waste generation and to align waste management objectives with those of the circular economy, in particular by boosting reuse and recycling rates;

C.  whereas prevention has been established as the top priority of the waste hierarchy through Waste Framework Directive 2008/98/EC;

D.  whereas inappropriate waste management practices have a severe environmental impact in terms of soil, water and air pollution; whereas petitioners have pointed out that landfills and incinerators have been authorised and made operational in close proximity to residential and agricultural sites and in areas where geological and hydrogeological conditions have not been taken duly into account by the Member States’ competent authorities, and represent a direct threat to public health;

E.  whereas more than 80 % of a product’s environmental impact is determined at the design stage, which thus plays an important role in promoting waste prevention and all circular economy aspects, such as the durability, upgradability, reparability, reuse and recycling of a product;

F.  whereas in addition to making more sustainable and resource-efficient products, the principles of the sharing economy and the service economy can also serve the purpose of reducing waste generation in Europe;

G.  whereas the Commission has handled numerous infringement procedures concerning breach of EU waste management legislation in several Member States; whereas several of these cases have been referred to the Court of Justice of the European Union, some of them recently;

H.  whereas the latest report from the Commission on the implementation of EU waste legislation, including the early warning report for Member States at risk of falling behind in their preparations for reaching the 2020 reuse/recycling target for municipal waste, showed that there are serious gaps that must be swiftly addressed if Europe is to reap the environmental and economic benefits of the circular economy;

I.  whereas recent data accompanying numerous petitions have highlighted the fact that the waste management situation in several Member States and regions is still seriously problematic, providing strong evidence of the need to significantly improve the implementation of the Waste Framework Directive and the rest of the EU legislation related to waste prevention and treatment measures;

J.  whereas an economy that prioritises repair, reuse, remanufacturing and recycling of materials is more labour-intensive than one based on a philosophy of disposal, thus creating increased job opportunities; whereas the proper implementation of the existing legislation on waste prevention and management could unlock the job creation potential of the reuse and recycling sectors;

K.  whereas proper management of waste and waste prevention is essential for improving the quality of life in Europe and achieving a non-toxic environment;

1.  Stresses that numerous petitions submitted on the failure of Member States to implement waste legislation point to various health and environmental problems linked to inappropriate waste management practices, such as poor air quality in urban areas, contamination of underground water resources, excessive noise levels and odorous emissions;

2.  Underlines that in order to support the transition towards a more circular economy, public financing of waste management, whether at national or EU level, should be consistent with the goal of shifting upwards in the implementation of the waste hierarchy; therefore believes that funds should be directed towards prevention, reuse, separate collection and recycling plans and projects;

3.  Calls on the Member States to make more progress in setting out effective plans and projects for prevention, reuse, separate collection and recycling as being crucial for reducing the environmental burden of waste, reaping the economic benefits of the circular economy and improving resource efficiency; urges the Commission to support Member States in their implementation efforts, including through technical assistance and EU funds; suggests adopting adequate economic instruments as laid down in the Waste Framework Directive and implementing efficient and cost-effective extended producer responsibility schemes to boost the transition towards the circular economy;

4.  Calls on the Member States to take measures to clean up litter and improve waste management (collection, sorting and recycling), and to adopt economic instruments and awareness-raising campaigns to prevent littering;

5.  Welcomes the Commission’s willingness to undertake high-level circular economy/waste visits to Member States which are at risk of not meeting the 2020 municipal waste targets and to engage with relevant stakeholders, including associations of local and regional actors and Europe-wide organisations that are genuinely promoting a zero waste culture and associated policies;

6.  Stresses that the Member States need to mitigate the environmental impacts of waste generation, in particular by reducing the amount of municipal waste generation; calls on the Member States, to this end, to take waste prevention measures as set out in the revised Waste Framework Directive;

7.  Highlights that national, regional and local actors have a crucial role in waste management and in policy development and implementation on the matter; recalls that a coherent policy, together with advancement of the appropriate infrastructure in line with the waste hierarchy, can only be established by coordination and cooperation at all levels in the EU; asks the Commission to reward best practices at all levels and facilitate their exchange, as well as to concretely and adequately support pioneering projects;

8.  Calls on Member States and industries, as key partners in the waste management sector, to improve their engagement in promoting circular supply chains, in order to gain access to high-quality secondary raw materials, often at competitive prices, that should be recovered for further use and production;

9.  Calls for the provision of training and the promotion of a range of types of employment, including financial support for high-level skills training and social jobs, in particular in the areas of repair and preparation for reuse;

10.  Believes strongly that new business models focused on waste prevention, reuse and recycling must be adequately promoted and supported with a view to boosting more effectively the transition towards a circular economy;

11.  Underlines that the proper implementation of the circular economy package provides opportunities throughout the EU, including investment, which will help rationalise the use of natural resources;

12.  Highlights that raising resource productivity by boosting efficiency and reducing resource waste through measures such as reuse, recycling and remanufacturing can greatly reduce both resource consumption and GHG emissions, a goal which is at the heart of the circular economy; underlines that in a circular economy the resources are retained within the economy and remain in productive use when a product has reached the end of its life, thus reducing resource consumption; believes, in the context of the waste legislation, that improved circular product design will help close the production cycles and bring about a switch in production and consumption patterns, thereby reducing the levels of toxic substances and the overall amount of waste;

13.  Invites the Member States to ensure full transparency over the volume and end destination of residues from different waste treatment options, especially in respect of those communities that are potentially affected by sites and new projects, and to consult them in the decision-making process; urges the Member States, moreover, to implement fully and thoroughly the provisions of Directive 2011/92/EU of the European Parliament and of the Council of 13 December 2011 on the assessment of the effects of certain public and private projects on the environment (the Environmental Impact Assessment Directive)(13) and other relevant EU legislation aimed at protecting the environment and public health;

14.  Considers that door-by-door separate collection of waste is an effective way to raise awareness across the population of the strategic importance of a circular economy, and to more effectively achieve a collective engagement to this end; underlines that such systems allow better accounting regarding the types and amounts of household waste produced and their related processing needs, with a view to maximising preparation for reuse and recycling, as well as enabling the introduction of fairer incentivising/de-incentivising economic measures;

15.  Recalls that incineration remains second only to landfilling at the bottom of the waste hierarchy;

16.  Recalls that hazardous waste poses specific treatment challenges which cannot be overlooked and should be specifically addressed; calls on the Member States to fully implement the provisions of the Waste Framework Directive relevant to the management of hazardous waste;

17.  Supports the Commission in its ongoing infringement procedures against Member States not complying with the waste legislation; calls on the Commission to use the full potential of the early warning system as laid down in the revised waste directives; suggests that penalty fines collected by the Commission should be reinvested in projects that are consistent with the highest levels of the waste hierarchy;

18.  Regrets the fact that, according to petitioners, landfills have been authorised and located in close proximity to residential and agricultural sites; calls on the Member States’ competent authorities to ensure full protection of human health and to adopt structural measures aimed at finding a solution to groundwater contamination;

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

(1) OJ L 150, 14.6.2018, p. 109.
(2) OJ L 150, 14.6.2018, p. 100.
(3) OJ L 150, 14.6.2018, p. 141.
(4) OJ L 150, 14.6.2018, p. 93.
(5) OJ L 156, 19.6.2018, p. 26.
(6) OJ L 285, 31.10.2009, p. 10.
(7) Texts adopted, P8_TA(2018)0352.
(8) Texts adopted, P8_TA(2018)0100.
(9) OJ C 334, 19.9.2018, p. 151.
(10) OJ C 334, 19.9.2018, p. 60.
(11) Texts adopted, P8_TA(2018)0241.
(12) OJ C 239 E, 20.8.2013, p. 60.
(13) OJ L 26, 28.1.2012, p. 1.


Enforcement requirements and specific rules for posting drivers in the road transport sector ***I
PDF 270kWORD 100k
European Parliament legislative resolution of 4 April 2019 on the proposal for a directive of the European Parliament and of the Council amending Directive 2006/22/EC as regards enforcement requirements and laying down specific rules with respect to Directive 96/71/EC and Directive 2014/67/EU for posting drivers in the road transport sector (COM(2017)0278 – C8-0170/2017 – 2017/0121(COD))
P8_TA-PROV(2019)0339A8-0206/2018

(Ordinary legislative procedure: first reading)

The European Parliament,

–  having regard to the Commission proposal to Parliament and the Council (COM(2017)0278),

–  having regard to Article 294(2) and Article 91(1) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0170/2017),

–  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 18 January 2018(1),

–  having regard to the opinion of the Committee of the Regions of 1 February 2018(2),

–  having regard to Rule 59 of its Rules of Procedure,

–  having regard to the report of the Committee on Transport and Tourism and the opinion of the Committee on Employment and Social Affairs (A8-0206/2018),

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.

Text proposed by the Commission   Amendment
Amendment 764
Proposal for a directive
Title 1
Proposal for a
Proposal for a
DIRECTIVE OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
DIRECTIVE OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
amending Directive 2006/22/EC as regards enforcement requirements and laying down specific rules with respect to Directive 96/71/EC and Directive 2014/67/EU for posting drivers in the road transport sector
amending Directive 2006/22/EC as regards enforcement requirements and laying down specific rules with respect to Directive 96/71/EC and Directive 2014/67/EU for posting drivers in the road transport sector and amending Regulation (EU) No 1024/2012 on administrative cooperation through the Internal Market Information System (‘IMI Regulation’)
Amendment 765
Proposal for a directive
Recital -1 (new)
(-1)   Given the high mobility of workforce in the road transport sector, sector-specific rules are needed to ensure the balance between the freedom to provide cross-border services for operators, the free movement of goods and the social protection of drivers. Therefore, the aim of this Directive is to provide legal certainty and clarity, to contribute to the harmonisation and fostering of enforcement and to the fight against illegal practices and lower administrative burden.
Amendment 766
Proposal for a directive
Recital 1
(1)  In order to create a safe, efficient and socially responsible road transport sector it is necessary to ensure adequate working conditions and social protection for drivers, on the one hand, and suitable business and fair competition conditions for operators, on the other.
(1)  In order to create a safe, efficient and socially responsible road transport sector it is necessary to ensure the free movement of goods and the freedom to provide services, adequate working conditions and social protection for drivers and to provide a suitable business and competitive environment for operators, while respecting the fundamental freedoms, the free movement of goods and the freedom to provide services in particular as guaranteed by the Treaties.
Amendment 767
Proposal for a directive
Recital 1 a (new)
(1a)   Any national rules applied to road transport must be proportionate and justified and must not hinder or make less attractive the exercise of fundamental freedoms guaranteed by the Treaty, such as the freedom of movement of services, in order to maintain or increase the competitiveness of the Union, whilst respecting the working conditions and social protection for the drivers.
Amendment 768
Proposal for a directive
Recital 2
(2)  The inherent high mobility of road transport services requires particular attention in assuring that drivers benefit from the rights to which they are entitled and that operators are not faced with disproportionate administrative barriers unduly restricting their freedom to provide cross-border services.
(2)  The inherent high mobility of road transport services requires particular attention in assuring that drivers benefit from the rights to which they are entitled and that operators, most (90%) of which are SMEs with fewer than 10 workers, are not faced with disproportionate administrative barriers or abusive and discriminatory controls, unduly restricting their freedom to provide cross-border services.
Amendment 769
Proposal for a directive
Recital 2 a (new)
(2a)   Any national rules applied to road transport must be proportionate as well as justified and must not hinder or make less attractive the exercise of fundamental freedoms guaranteed by the Treaty, such as the free movement of goods and the freedom to provide services in order to maintain or even increase the competitiveness of the Union, including the costs of products and services by respecting the working conditions and social protection for drivers as well as respecting the specificities of the sector since drivers are highly mobile workers, not posted workers.
Amendment 770
Proposal for a directive
Recital 3
(3)  The balance between enhancing social and working conditions for drivers and facilitating the exercise of the freedom to provide road transport services based on fair competition between national and foreign operators is crucial for the smooth functioning of the internal market.
(3)  The balance between enhancing social and working conditions for drivers and facilitating the exercise of the freedom to provide road transport services based on fair, proportionate, non-discriminatory competition between national and foreign operators is crucial for the smooth functioning of the internal market. Any piece of national legislation or policy for implementation at national level in the transport sector must therefore be conducive to the development and strengthening of the single European transport area and in no way contribute to the fragmentation of the internal market. 
Amendment 771
Proposal for a directive
Recital 4
(4)  Having evaluated the effectiveness and efficiency of the current Union social legislation in road transport, certain loopholes in the existing provisions and deficiencies in their enforcement were identified. Furthermore a number of discrepancies exist between Member States in interpretation, application and implementation of the rules. This creates legal uncertainty and unequal treatment of drivers and operators, which is detrimental to the working, social and competition conditions in the sector.
(4)  Having evaluated the effectiveness and efficiency of the current Union social legislation in road transport, certain loopholes in the existing provisions and deficiencies in their enforcement were identified, as well as illegal practices, such as the use of letterbox companies. Additional emphasis should be put on fighting against undeclared work in the transport sector. Furthermore a number of discrepancies exist between Member States in interpretation, application and implementation of the rules, creating a heavy administrative burden for drivers and operators. This creates legal uncertainty, which is detrimental to the working, social and competition conditions in the sector.
Amendment 772
Proposal for a directive
Recital 4 a (new)
(4a)  In order to ensure that Directives 96/71/EC1a. and 2014/67/EU1b of the European Parliament and of the Council. are correctly applied, controls and cooperation at Union level to combat fraud relating to the posting of drivers should be strengthened, and stricter checks should be carried out to ensure that social contributions for posted drivers are actually paid.
_________________
1a.   Directive 96/71/EC of the European Parliament and of the Council of 16 December 1996 concerning the posting of workers in the framework of the provision of services (OJ L 18, 21.1.97, p.1).
1b .Directive 2014/67/EU of the European Parliament and of the Council of 15 May 2014 on the enforcement of Directive 96/71/EC concerning the posting of workers in the framework of the provision of services and amending Regulation (EU) No 1024/2012 on administrative cooperation through the Internal Market Information System (‘the IMI Regulation’) (OJ L 159, 28.5.2014, p. 11).
Amendment 773
Proposal for a directive
Recital 5
(5)  Adequate, effective and consistent enforcement of the working time provisions is crucial for protecting the working conditions of drivers and preventing the distortions of competition resulting from non-compliance. Therefore it is desirable to extend the existing uniform enforcement requirements set out in Directive 2006/22/EC to controlling compliance with the working time provisions set out in Directive 2002/15/EU.
(5)  Adequate, effective and consistent enforcement of the working time and rest time provisions is crucial for improving road safety, protecting the working conditions of drivers and preventing the distortions of competition resulting from non-compliance. Therefore it is desirable to extend the existing uniform enforcement requirements set out in Directive 2006/22/EC to controlling compliance with the working time provisions set out in Directive 2002/15/EU. The possibility of combining checks on driving time and working time with checks on rules on posting of drivers should be also available without additional administrative burden. Checks of compliance with working time should be limited to checks carried out at the premises of transport operators until technology is available that allows the checks on working time to be carried out effectively at the roadside.
Amendment 774
Proposal for a directive
Recital 5 a (new)
(5a)   Bearing in mind the specific character of transport services and the direct impact on the free movement of goods, with a special focus on road safety and security, roadside checks should be limited to the minimum. Drivers should not be liable for additional administrative obligations of their respective companies. Rules on working time should be controlled at the premises of the transport operator only.
Amendment 775
Proposal for a directive
Recital 5 b (new)
(5b)   In order to allow more efficient, faster and more numerous roadside checks while reducing the administrative burden on drivers, compliance with Directive 2002/15/EC should be verified in the context of inspections on company premises rather than roadside checks.
Amendment 776
Proposal for a directive
Recital 6 a (new)
(6 a)  With a view to fostering effective administrative cooperation and an effective exchange of information, Member States should interconnect their national electronic registers (NER) through the European Register of Road Transport Undertakings (ERRU) system, with a legal basis in Article 16(5) of Regulation (EC) No 1071/2009. Member States should take all necessary measures to ensure that the national electronic registers are interconnected, so that the competent authorities of the Member States, including road inspectors, can have direct real-time access to the data and information in the ERRU.
Amendment 777
Proposal for a directive
Recital 6 b (new)
(6 b)  To facilitate better and more uniform application of the minimum conditions for the implementation of Regulation (EC) No 561/2006, Regulation (EU) No 165/2014 and Directive 2002/15/EC, and to facilitate road transport operators' compliance with administrative requirements when posting drivers, the Commission should develop one or several modules of IMI for submitting declarations in posting and an electronic application that will provide inspectors direct real-time access to the ERRU and IMI during roadside checks.
Amendment 778
Proposal for a directive
Recital 7 a (new)
(7 a)  In order to ensure fair competition and a level playing field for workers and business, there is a need to make progress towards smart enforcement and to provide all possible support for the full introduction and use of risk-rating systems. To this end, the enforcement authorities need to be given real-time access to national electronic registers (NERs), while making maximum use of the European Register of Road Transport Undertakings (ERRU).
Amendment 779
Proposal for a directive
Recital 8 a (new)
(8a)   Rules for the posting of workers applicable to road transport activities should be balanced, simple, and with a low administrative burden for Member States and transport undertakings. They should not aim to discourage operations outside the country of establishment of an undertaking.
Amendment 780
Proposal for a directive
Recital 9
(9)  Difficulties have also been experienced in applying the rules on posting of workers specified in Directive 96/71/EC of the European Parliament and of the Council15 and the rules on the administrative requirements laid down in Directive 2014/67/EU of the European Parliament and of the Council16 to the highly mobile road transport sector. The uncoordinated national measures on the application and enforcement of the provisions on posting of workers in the road transport sector have generated high administrative burdens for non-resident Union operators. This created undue restrictions to the freedom to provide cross-border road transport services having negative side-effects on jobs.
(9)  Difficulties have also been experienced in applying the rules on posting of workers specified in Directive 96/71/EC of the European Parliament and of the Council15 and the rules on the administrative requirements laid down in Directive 2014/67/EU of the European Parliament and of the Council16 to the highly mobile road transport sector. The uncoordinated national measures on the application and enforcement of the provisions on posting of workers in the road transport sector have generated legal uncertainty, distortions of competition in the transport sector and high administrative burdens for non-resident Union operators. This created undue restrictions to the freedom to provide cross-border road transport services having negative side-effects on jobs and the competitiveness of transport companies. Administrative requirements and control measures need to be harmonised to prevent carriers from suffering unnecessary or arbitrary delays.
_________________
_________________
15 Directive 96/71/EC of the European Parliament and of the Council of 16 December 1996 concerning the posting of workers in the framework of the provision of services (OJ L 18, 21.1.97, p.1)
15 Directive 96/71/EC of the European Parliament and of the Council of 16 December 1996 concerning the posting of workers in the framework of the provision of services (OJ L 18, 21.1.97, p.1)
16 Directive 2014/67/EU of the European Parliament and of the Council of 15 May 2014 on the enforcement of Directive 96/71/EC concerning the posting of workers in the framework of the provision of services and amending Regulation (EU) No 1024/2012 on administrative cooperation through the Internal Market Information System (‘the IMI Regulation’) (OJ L 159, 28.5.2014, p. 11).
16 Directive 2014/67/EU of the European Parliament and of the Council of 15 May 2014 on the enforcement of Directive 96/71/EC concerning the posting of workers in the framework of the provision of services and amending Regulation (EU) No 1024/2012 on administrative cooperation through the Internal Market Information System (‘the IMI Regulation’) (OJ L 159, 28.5.2014, p. 11).
Amendment 781
Proposal for a directive
Recital 9 a (new)
(9a)  Member States should exchange data and information, engage in administrative cooperation and provide mutual assistance via the Internal Market Information System (IMI), the legal basis of which is provided by Regulation (EU) No 1034/2012, with a view to ensuring full compliance with the rules. Similarly, the IMI should be used to submit and update posting declarations between transport operators and the competent authorities of the receiving Member States. In order to achieve this latter objective, it would be necessary to develop a parallel public interface within the IMI system to which transport operators would have access.
Amendment 782
Proposal for a directive
Recital 9 b (new)
(9b)  All actors in the delivery chain for goods should bear their fair share of responsibility for infringements of the rules provided for in this Directive. This should be the case where the actors have actually known of infringements or where, in the light of all the relevant circumstances, they ought to know of them.
Amendment 783
Proposal for a directive
Recital 9 c (new)
(9c)  In order to ensure that control measures for the posting of drivers in the road transport sector are correctly applied as defined by Directives 96/71/EC and 2014/67/EU, controls and cooperation at Union level to tackle fraud relating to the posting of drivers should be strengthened.
Amendment 784
Proposal for a directive
Recital 9 d (new)
(9d)  Contractors should be encouraged to act with social responsibility by using transport operators that comply with the rules provided for by this Directive. To make it easier for contractors to find such transport operators, the Commission should asses existing instruments and best practices promoting socially responsible behaviour of all actors in the delivery chain for goods with a view to establishing a European platform of trusted transport companies, if appropriate.
Amendment 785
Proposal for a directive
Recital 9 e (new)
(9e)  Failure to comply with the rules on the establishment of international road transport companies creates differences across the internal market and contributes to unfairness in inter-company competition. The conditions governing the establishment of international road transport companies should therefore be tightened and made easier to monitor, particularly with a view to combating the creation of ‘letterbox’ companies.
Amendment 786
Proposal for a directive
Recital 10 a (new)
(10a)   Given the fact that there is a lack of drivers in Europe, working conditions should be significantly improved in order to increase the attractiveness of the profession.
Amendment 787
Proposal for a directive
Recital 11
(11)  In order to ensure the effective and proportionate implementation of Directive 96/71/EC in the road transport sector, it is necessary to establish sector-specific rules reflecting the particularity of the highly mobile workforce in the road transport sector and providing a balance between the social protection of drivers and the freedom to provide cross-border services for operators.
(11)  In order to ensure the effective and proportionate implementation of Directive 96/71/EC in the road transport sector, it is necessary to establish sector-specific rules reflecting the particularity of the highly mobile workforce in the road transport sector and providing a balance between the social protection of drivers and the freedom to provide cross-border services for operators. Provisions on the posting of workers, in Directive 96/71/EC, and on the enforcement of those provisions, in Directive 2014/67/EU should apply to road transport sector under the terms of this Directive.
Amendment 788
Proposal for a directive
Recital 12
(12)  Such balanced criteria should be based on a concept of a sufficient link of a driver with a territory of a host Member State. Therefore, a time threshold should be established, beyond which the minimum rate of pay and the minimum annual paid holidays of the host Member State shall apply in case of international transport operations. This time threshold should not apply to cabotage operations as defined by Regulations 1072/2009 and 1073/2009 since the entire transport operation is taking place in a host Member State. As a consequence the minimum rate of pay and the minimum annual paid holidays of the host Member State should apply to cabotage irrespective of the frequency and duration of the operations carried out by a driver.
(12)  Such balanced criteria should be based on a concept of a sufficient link of a driver with a territory of a host Member State. This sufficient link exists in case of cabotage operations as defined by Regulations 1072/2009 and 1073/2009 since the entire transport operation is taking place in a host Member State. As a consequence, Directive 96/71/EC and Directive 2014/67/EU should apply to cabotage.
Amendment 789
Proposal for a directive
Recital 12 a (new)
(12a)  In case of international transport, the predominant link of a driver in the bilateral international transport would be to a Member State of establishment of the transport company, as the driver returns regularly back to the Member State of establishment of the transport company. A driver may undertake several bilateral transport operations during one journey. On the other hand, there is a sufficient link with the territory of a host Member State when a driver performs other types of operations, notably non-bilateral international transport operations, in that Member State.
Amendment 790
Proposal for a directive
Recital 12 b (new)
(12b)  In order to ensure efficient use of transport resources, take into account the operational realities and to reduce number of empty runs, which is an important element in achieving objectives of Paris agreement in relation to reduction of CO2 emissions, a limited number of additional transport activities should be possible without triggering the posting rules. Such activities consists of operations performed during a period in the course of or following bilateral international transport operation from the Member State of establishment and before the return journey to the Member State of establishment.
Amendment 791
Proposal for a directive
Recital 12 c (new)
(12c)  In case that the driver is engaged in a combined transport operation, the nature of the service provided during the initial or final road leg is closely linked with the Member State of establishment provided that the road leg on its own is a bilateral transport operation. On the other hand, there is a sufficient link with the territory of a host Member State when the transport operation during the road leg is carried out within the host Member State or, as a non-bilateral international transport operation, and therefore posting rules should apply in such a case.
Amendment 792
Proposal for a directive
Recital 12 d (new)
(12d)   Since there is no sufficient link of a driver with a territory of a Member State of transit, transit operations should not be considered as posting situations. It should also be clarified that the fact that passengers get down of the bus during a stop for hygienic reasons does not change the qualification of the transport operation.
Amendment 793
Proposal for a directive
Recital 12 e (new)
(12e)  Road transport is a highly mobile sector and requires a common approach to certain aspects of remuneration in the sector. Transport undertakings need legal certainty about the rules and requirements with which they have to comply. Those rules and requirements should be clear, understandable and easily accessible to transport undertakings, and should enable effective checks. It is important that new rules do not introduce unnecessary administrative burden and that they duly take into account the interests of SMEs.
Amendment 794
Proposal for a directive
Recital 12 f (new)
(12f)  Where, in accordance with national law, traditions and practice, including respect for the autonomy of social partners, the terms and conditions of employment referred to in Article 3 of Directive 96/71/EC are laid down in collective agreements in accordance with Article 3(1) and (8) of that Directive, Member States should ensure that, in line with Directive 2014/67/EU, those terms and conditions are made available in an accessible and transparent way to transport undertakings from other Member States and to posted drivers, and should seek the involvement of the social partners in that respect. The relevant information should, in particular, cover the different remunerations and their constituent elements, including elements of remunerations provided for in the locally or regionally applicable collective agreements, the method used to calculate the remuneration due and, where relevant, the qualifying criteria for classification in the different wage categories. In accordance with Directive (EU) 2018/957/EU amending Directive 96/71/EC transport undertakings should not be penalized for non-compliance with elements of remuneration, the method used to calculate the remuneration due and, where relevant, the qualifying criteria for classification in the different wage categories which are not publically available.
Amendment 795
Proposal for a directive
Recital 13
(13)  In order to ensure effective and efficient enforcement of the sector-specific rules on posting of workers and to avoid disproportionate administrative burdens for non-resident operators sector, specific administrative and control requirements should be established in the road transport sector, taking full advantage of control tools such as the digital tachograph.
(13)  In order to ensure effective and efficient enforcement of the sector-specific rules on posting of workers and to avoid disproportionate administrative burdens for non-resident operators sector, specific administrative and control requirements should be established in the road transport sector, taking full advantage of control tools such as the digital tachograph. With a view to minimising the complexity of the obligations laid down in this Directive and Directive 96/71, Member States should be free to impose only the administrative requirements specified in this Directive – which have been tailored to suit the road transport sector – on road transport operators.
Amendment 796
Proposal for a directive
Recital 13 a (new)
(13a)   With a view to minimising the administrative burden and document management tasks incumbent on drivers, transport operators shall provide, at the request of the competent authorities in the Member State in which the operator is based, all necessary documents, as set out in the provisions of Chapter III of Directive 2014/67/EU on mutual assistance and cooperation between Member States.
Amendment 797
Proposal for a directive
Recital 13 b (new)
(13b)   In order to facilitate the implementation, application and enforcement of this Directive, the internal Market Information System (IMI) established by Regulation (EU) No 1024/2012 should be used in Member States for the enhanced exchange of information between regional and local authorities across borders. It could also be an advantage to extend the features of IMI to include the submission and transmission of simple declarations.
Amendment 798
Proposal for a directive
Recital 13 c (new)
(13c)   In order to reduce administrative burden of transport operators which are often small and medium-sized enterprises, it would be appropriate to simplify the process of sending declarations on posting by transport operators through standardised forms with some pre-defined elements translated in all official languages of the Union.
Amendment 799
Proposal for a directive
Recital 13 d (new)
(13d)   A general implementation and application of the rules for the posting of workers to road transport could impact the structure of the Union road freight transport industry. Therefore, Member States and the Commission should closely monitor the impact of this process.
Amendment 800
Proposal for a directive
Recital 13 e (new)
(13e)   Enforcement should concentrate on inspections at the premises of the undertakings. Roadside checks should not be excluded but should be undertaken in a non-discriminatory manner only for consignment notes or their electronic versions, confirmations of the pre-registration and attestation for return to country of operator´s establishment or driver´s residence. Roadside checks should control in the first place tachographs data which is important to determine the activity of a driver and vehicle over a four-week rolling period and the geographical coverage of this activity. The recording of the country code can help.
Amendment 801
Proposal for a directive
Recital 13 f (new)
(13f)   The impact of the application and the enforcement of the rules for the posting of workers on the road transport industry should be repeatedly evaluated by the Commission and reported to the Parliament and the Council, and proposals should be made to further simplify them and reduce the administrative burden.
Amendment 802
Proposal for a directive
Recital 13 g (new)
(13g)   In recognition of the need for specific treatment for the transport sector, in which movement is the very essence of the work undertaken by drivers, the application of Directive 96/71/EU to the road transport sector should coincide with the date of entry into force of the amendment of Directive 2006/22/EC as regards enforcement requirements, and specific rules with respect to Directive 96/71/EC and Directive 2014/67/EU for posting drivers in the road transport sector.
Amendment 803
Proposal for a directive
Recital 13 h (new)
(13h)   In order to adapt the Annexes of this Directive to developments in best practice, 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 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 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.
Amendment 804
Proposal for a directive
Recital 14 a (new)
(14a)  The exchange of information in the context of effective administrative cooperation and mutual assistance between Member States should comply with the rules on personal data protection laid down in Regulation (EU) 2016/679.
Amendment 805
Proposal for a directive
Recital 14 b (new)
(14b)   Rules to safeguard good social conditions across the European road haulage market should be respected by all partners in the supply chain. In order to create an economically and socially sustainable European internal market, a chain of responsibility that covers all actors in the logistical chain should be established and implemented. Enforcing transparency and liability and increasing social and economic equality will increase the attractiveness of the driver as a profession and promote healthy competition.
Amendment 806
Proposal for a directive
Article 1 – paragraph 1 – point 3 – point a
Directive 2006/22/EC
Article 2 – paragraph 1 – subparagraph 2
These checks shall cover each year a large and representative cross-section of mobile workers, drivers, undertakings and vehicles falling within the scope of Regulations (EC) No 561/2006 and (EU) No 165/2014 and of mobile workers and drivers falling withing the scope of Directive 2002/15/EC.
These checks shall cover each year a large and representative cross-section of mobile workers, drivers, undertakings and vehicles falling within the scope of Regulations (EC) No 561/2006 and (EU) No 165/2014 and, in the case of checks at premises, of mobile workers and drivers falling withing the scope of Directive 2002/15/EC. Member States shall organise roadside checks on the implementation of Directive 2002/15/EC only after the introduction of technology enabling effective checks to be carried out. Until then those checks shall be carried out exclusively at the premises of the transport undertakings.
Amendment 807
Proposal for a directive
Article 1 – paragraph 1 – point 3 – point b
Directive 2006/22/EC
Article 2 – paragraph 3 – subparagraph 1
Each Member State shall organise checks in such a way that at least 3% of days worked by drivers of vehicles falling within the scope of Regulation (EC) No 561/2006, Regulation (EU)165/2014 and Directive 2002/15/EC are checked.
Each Member State shall organise checks in such a way that at least 3% of days worked by drivers of vehicles falling within the scope of Regulation (EC) No 561/2006, Regulation (EU)165/2014 and Directive 2002/15/EC are checked. Following roadside checks and where the driver is not in capacity to submit one or more of the required documents, the drivers shall be released to continue their transport operation and the transport operator in the Member State of establishment is obliged to submit the required documents via competent authorities.
Amendment 808
Proposal for a directive
Article 1 – paragraph 1 – point 3 – point c
Directive 2006/22/EC
Article 2 – paragraph 4
4.  The information submitted to the Commission in accordance with Article 17 of Regulation (EC) No 561/2006 shall include the number of drivers checked at the roadside, the number of checks at the premises of undertakings, the number of working days checked and the number and type of infringements reported, together with a record of whether passengers or goods were transported.
4.  The information submitted to the Commission in accordance with Article 17 of Regulation (EC) No 561/2006 shall include the number of drivers checked at the roadside, the number of checks at the premises of undertakings, the number of working days checked at premises and the number and type of infringements reported, together with a record of whether passengers or goods were transported.
Amendment 809
Proposal for a directive
Article 1 – paragraph 1 – point 3 a (new)
Directive 2006/22/EC
Article 5
(3a)  Article 5 is replaced by the following:
Article 5
“Article 5
Concerted checks
Concerted checks
Member States shall, at least six times per year, undertake concerted roadside checks on drivers and vehicles falling within the scope of Regulations (EEC) No 3820/85 or (EEC) 3821/85. Such checks shall be undertaken at the same time by the enforcement authorities of two or more Member States, each operating in its own territory.
Member States shall, at least six times per year, undertake concerted roadside checks and at the premises on drivers and vehicles falling within the scope of Regulation (EC) No 561/2006 or (EU) 165/2014. Such checks shall be undertaken at the same time by the enforcement authorities of two or more Member States, each operating in its own territory. The summary results of the concerted checks shall be made public in line with 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.
Amendment 810
Proposal for a directive
Article 1 – paragraph 1 – point 4
Directive 2006/22/EC
Article 6 – paragraph 1
1.  Checks at premises shall be planned in the light of past experience in relation to the various types of transport and undertakings. They shall also be carried out if serious infringements of Regulation (EC) No 561/2006 or (EU) No 165/2014 or Directive 2002/15/EC have been detected at the roadside.
1.  Checks at premises shall be planned in the light of past experience in relation to the various types of transport and undertakings. They shall also be carried out if serious infringements of Regulations (EC) No 561/2006 and (EU) No 165/2014 have been detected at the roadside.
Amendment 811
Proposal for a directive
Article 1 – paragraph 1 – point 4 a (new)
Directive 2006/22/EC
Article 7 – paragraph 1– point b
(4a)  in Article 7(1), point (b) is replaced by the following:
(b)  to forward the biennial statistical returns to the Commission under Article 16 (2) of Regulation (EEC) No 3820/85;
“(b) to forward the biennial statistical returns to the Commission under Article 17 of Regulation (EC) No 561/2006;”
Amendment 812
Proposal for a directive
Article 1 – paragraph 1 – point 6 – point -a (new)
Directive 2006/22/EC
Article 8 – paragraph 1 – introductory part
(-a)  In Article 8(1), the introductory part is replaced by the following:
1.  Information made available bilaterally under Article 17(3) of Regulation (EEC) No 3820/85 or Article 19(3) of Regulation (EEC) No 3821/85 shall be exchanged between the designated bodies notified to the Commission in accordance with Article 7(2):
1.  Information made available bilaterally under Article 22(2) of Regulation (EC) No 561/2006 or Article 40 of Regulation (EU) No 165/2014 shall be exchanged between the designated bodies notified to the Commission in accordance with Article 7:
Amendment 813
Proposal for a directive
Article 1 – paragraph 1 – point 6 – point a
Directive 2006/22/EC
Article 8 – paragraph 1–point b
(b)  upon reasoned request by a Member State in individual cases.
(b)  at the specific request of a Member State in individual cases, provided that the information required is not available through direct consultation of national electronic registers refered to in Article 16 (5) of Regulation (EC) No 1071/2009.
Amendment 814
Proposal for a directive
Article 1 – paragraph 1 – point 6 – point b
Directive 2006/22/EC
Article 8 – paragraph 1 a – subparagraph 1
1a.  Member State shall submit the information requested by other Member States pursuant to paragraph 1(b) of this Article within 25 working days from the receipt of the request in cases requiring in-depth examination or involving checks at premises of the undertakings concerned. A shorter time limit may be mutually agreed between the Member States. In urgent cases or cases requiring simple consultation of registers, such as of a risk rating system, the requested information shall be submitted within three working days.
1a.  Member States shall submit the information requested by other Member States pursuant to paragraph 1(b) of this Article within 10 working days from the receipt of the request. In duly justified cases requiring in-depth examination or involving checks at the premises of the undertakings concerned, the time limit shall be 20 working days. A shorter time limit may be mutually agreed between the Member States. In urgent cases or cases requiring simple consultation of registers, such as of a risk rating system, the requested information shall be submitted within three working days.
Amendment 815
Proposal for a directive
Article 1 – paragraph 1 – point 6 – point b
Directive 2006/22/EC
Article 8 – paragraph 1 a – subparagraph 2
Where the requested Member State considers that the request is insufficiently reasoned, it shall inform the requesting Member State accordingly within 10 working days. The requesting Member State shall further substantiate the request. Where this is not possible, the request may be rejected by the Member State.
Where the requested Member State considers that the request is insufficiently reasoned, it shall inform the requesting Member State accordingly within five working days. The requesting Member State shall further substantiate the request. Where this is not possible, the request may be rejected by the Member State.
Amendment 816
Proposal for a directive
Article 1 – paragraph 1 – point 6 – point b
Directive 2006/22/EC
Article 8 – paragraph 1 a – subparagraph 3
Where it is difficult or impossible to comply with a request for information or to carry out checks, inspections or investigations, the Member State in question shall inform the requesting Member State accordingly within 10 working days, giving reasons. The Member States concerned shall discuss with each other with a view to finding a solution for any difficulty raised.
Where it is difficult or impossible to comply with a request for information or to carry out checks, inspections or investigations, the requested Member State shall inform the requesting Member State accordingly within five working days, and provide reasons to duly justify the difficulty or impossibility of providing the relevant information. The Member States concerned shall discuss with each other with a view to finding a solution for any difficulty raised.
Amendment 817
Proposal for a directive
Article 1 – paragraph 1 – point 6 – point b
Directive 2006/22/EC
Article 8 – paragraph 1 a – subparagraph 3 a (new)
Where the Commission becomes aware of a persisting problem in the exchange of information or a permanent refusal to supply information, it may take all necessary measures to remedy the situation, including, where necessary, it may open an investigation and eventually apply sanctions to the Member State.
Amendment 818
Proposal for a directive
Article 1 – paragraph 1 – point 6 – point b a (new)
Directive 2006/22/EC
Article 8 – paragraph 2
(ba)  paragraph 2 is replaced by the following:
2.  Member States shall seek to establish systems for the electronic exchange of information. In accordance with the procedure referred to in Article 12(2), the Commission shall define a common methodology for effective information exchange.
2.  By way of derogation from Article 21 of Directive 2014/67/EU, the exchange of information between the competent authorities of the Member States provided for in paragraphs 1 and 1a of this Article shall be implemented through the Internal Market Information System (IMI), established by Regulation (EU) No 1024/2012. Competent authorities of the Member States shall have direct access in real time to data in national electronic registers via the European Register of Road Transport Undertakings (ERRU) as referred to in Article 16 of Regulation (EC) No 1071/2009.
Amendment 819
Proposal for a directive
Article 1 – paragraph 1 – point 6 – point b b (new)
Directive 2006/22/EC
Article 8 – paragraph 2 a
(bb)  in Article 8, the following paragraph is added:
“2a. The Commission shall develop an electronic application common to all EU Member States that will provide inspectors direct real-time access to the ERRU and IMI during roadside checks and premises by 2020. This application shall be developed via a pilot project.”,
Amendment 820
Proposal for a directive
Article 1 – paragraph 1 – point 7 – point a
Directive 2006/22/EC
Article 9 – paragraph 1 – subparagraph 2
The Commission shall, by means of implementing acts, establish a common formula for calculating a risk rating of undertakings, which shall take into account the number, severity and frequency of occurrence of infringements as well as the results of controls where no infringement has been detected and whether a road transport undertaking has been using the smart tachograph, pursuant to Chapter II of Regulation (EU) No 165/2014, on all its vehicles. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 12(2) of this Directive.
The Commission is empowered to adopt delegated acts in accordance with Article 15a establishing a common formula for calculating a risk rating of undertakings, which shall take into account the number, severity and frequency of occurrence of infringements as well as the results of controls where no infringement has been detected and whether a road transport undertaking has been using the smart tachograph, pursuant to Chapter II of Regulation (EU) No 165/2014, on its vehicles.
Amendment 821
Proposal for a directive
Article 1 – paragraph 1 – point 7 – point b a (new)
Directive 2006/22/EC
Article 9 – paragraph 3 – subparagraph 1
(ba)  in paragraph 3, the first subparagraph is replaced by the following:
3.  An initial list of infringements of Regulations (EEC) No 3820/85 and (EEC) No 3821/85 is set out in Annex III.
3.  An initial list of infringements of Regulations (EC) No 561/2006 and (EU) No 165/2014 is set out in Annex III.
Amendment 822
Proposal for a directive
Article 1 – paragraph 1 – point 7 – point b b (new)
Directive 2006/22/EC
Article 9 – paragraph 3 – subparagraph 2
(bb)  in paragraph 3, the second subparagraph is replaced by the following:
With a view to giving guidelines on the weighting of infringements of Regulations (EEC) No 3820/85 or (EEC) 3820/85, the Commission may, as appropriate, in accordance with the procedure referred to in Article 12(2), adapt Annex III with a view to establishing guidelines on a common range of infringements, divided into categories according to their gravity.
With a view to giving guidelines on the weighting of infringements of Regulation (EC) No 561/2006 or (EU) No 165/2014, the Commission is empowered to adopt delegated acts in accordance with Article 15a amending Annex III with a view to establishing guidelines on a common range of infringements, divided into categories according to their gravity.”;
Amendment 823
Proposal for a directive
Article 1 – paragraph 1 – point 7 – point b c (new)
Directive 2006/22/EC
Article 9 – paragraph 3 – subparagraph 3
(b c)  in paragraph 3, the third subparagraph is replaced by the following:
The category for the most serious infringements should include those where failure to comply with the relevant provisions of Regulations (EEC) No 3820/85 or (EEC) 3821/85 create a serious risk of death or serious personal injury.
The category for the most serious infringements should include those where failure to comply with the relevant provisions of Regulations (EC) No 561/2006 or (EU) 165/2014 create a serious risk of death or serious personal injury.”;
Amendment 824
Proposal for a directive
Article 1 – paragraph 1 – point 7 – point c
Directive 2006/22/EC
Article 9 – paragraph 4
4.  In order to facilitate targeted roadside checks, the data contained in the national risk rating system shall be accessible at the time of control to all the competent control authorities of the Member State concerned.
4.  In order to facilitate targeted roadside checks, the data contained in the national risk rating system and the national registers of transport undertakings and activities shall be accessible at the time of the check to all the competent control authorities of the Member State concerned through at least an electronic application common to all Member States, through which they will have direct real-time access to the ERRU.
Amendment 825
Proposal for a directive
Article 1 – paragraph 1 – point 7 – point c
Directive 2006/22/EC
Article 9 – paragraph 5
5.  Member States shall make the information contained in the national risk rating system available upon request or directly accessible to all competent authorities of other Member States in accordance with the time limits set out in Article 8.
5.  Member States shall make the information contained in the national risk rating system directly accessible through interoperable national electronic registers as referred to in Article 16 of Regulation (EC) No. 1071/2009 to all competent authorities of other Member States. (AM 228, 229, 230, 231). In this regard, the exchange of information and data on transport operators infringements and risk rating shall be concentrated and carried out through the interconnection that ERRU provides between the different national registers in the Member States.
Amendment 826
Proposal for a directive
Article 1 – paragraph 1 – point 8
Directive 2006/22/EC
Article 11 – paragraph 3
3.  The Commission shall establish a common approach to recording and controlling periods of other work, as defined in point (e) of Article 4 of Regulation (EC) No 561/2006, and periods of at least one week during which a driver is away from the vehicle, by implementing acts. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 12(2);
3.  The Commission is empowered to adopt delegated acts in accordance with Article 15a establishing a common approach to the recording and controlling of periods of other work, as defined in point (e) of Article 4 of Regulation (EC) No 561/2006, including the form of the recording and specific cases in which it is to take place and to the recording and controlling of periods of at least one week during which a driver is away from the vehicle and is unable to carry out any activities with that vehicle.
Amendment 827
Proposal for a directive
Article 1 – paragraph 1 – point 8 a (new)
Directive 2006/22/EC
Article 12
(8a)  Article 12 is replaced by the following:
Article 12
“Article 12
Committee procedure
Committee procedure
1.  The Commission shall be assisted by the Committee set up by Article 18(1) of Regulation (EEC) No 3821/85.
1.  The Commission shall be assisted by the Committee set up by Article 42(1) of Regulation (EU) No 165/2014. That committee shall be a committee within the meaning of Regulation (EU) No 182/2011.
2.  Where reference is made to this paragraph, Articles 5 and 7 of Decision 1999/468/EC shall apply, having regard to the provisions of Article 8 thereof.
2.  Where reference is made to this paragraph, Article 5 of Regulation (EU) No 182/2011 shall apply.
The period laid down in Article 5(6) of Decision 1999/468/EC shall be set at three months.
3.  The Committee shall adopt its Rules of Procedure.
Amendment 828
Proposal for a directive
Article 1 – paragraph 1 – point 8 b (new)
Directive 2006/22/EC
Article 13 – point b
(8b)  in Article 13, point (b) is replaced by the following:
(b)  to encourage a coherence of approach between enforcement authorities and a harmonised interpretation of Regulation (EEC) No 3820/85 between enforcement authorities;
“(b) to encourage a coherence of approach between enforcement authorities and a harmonised interpretation of Regulation (EC) No 561/2006 between enforcement authorities;”
Amendment 829
Proposal for a directive
Article 1 – paragraph 1 – point 8 c (new)
Directive 2006/22/EC
Article 14
(8c)  Article 14 is replaced by the following:
Article 14
“Article 14
Negotiations with third countries
Negotiations with third countries
Once this Directive has entered into force, the Community shall begin negotiations with the relevant third countries with a view to the application of rules equivalent to those laid down in this Directive.
Once this Directive has entered into force, the Union shall begin negotiations with the relevant third countries with a view to the application of rules equivalent to those laid down in this Directive.
Pending the conclusion of these negotiations, Member States shall include data on checks carried out on vehicles from third countries in their returns to the Commission as set out in Article 16 (2) of Regulation (EEC) No 3820/85.
Pending the conclusion of these negotiations, Member States shall include data on checks carried out on vehicles from third countries in their returns to the Commission as set out in Article 17 of Regulation (EC) No 561/2006.
Amendment 830
Proposal for a directive
Article 1 – paragraph 1 – point 8 d (new)
Directive 2006/22/EC
Article 15
(8d)  Article 15 is replaced by the following:
Article 15
“Article 15
Updating of the Annexes
Updating of the Annexes
Amendments to the Annexes which are necessary to adapt them to developments in best practice shall be adopted in accordance with the procedure referred to in Article 12(2).
The Commission is empowered to adopt delegated acts in accordance with Article 15a amending Annexes I and II to introduce necessary adaptations to developments in best practice.”
Amendment 831
Proposal for a directive
Article 1 – paragraph 1 – point 8 e (new)
Directive 2006/22/EC
Article 15 a (new)
(8e)  The following Article is inserted:
“Article 15a
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 9(3) and Article 15 shall be conferred on the Commission for a period of 5 years from [date of entry into force of this Directive]. The Commission shall draw up a report in respect of the delegation of power not later than nine months before the end of the five-year period. The delegation of power shall be tacitly extended for periods of an identical duration, unless the European Parliament or the Council opposes such extension not later than three months before the end of each period.
3.   The delegation of power referred to in Article 9(3) and Article 15 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 9(3) and Article 15 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.”
Amendment 832
Proposal for a directive
Article 1 – paragraph 1 – point 9 –point -a (new)
Directive 2006/22/EC
Annex I – Part A – point 1
(-a)  in Part A, point (1) is replaced by the following:
(1)  daily and weekly driving times, breaks and daily and weekly rest periods; also the preceding days' record sheets which have to be carried on board the vehicle in accordance with Article 15 (7) of Regulation (EEC) No 3821/85 and/or the data stored for the same period on the driver card and/or in the memory of the recording equipment in accordance with Annex ΙΙ to this Directive and/or on printouts;
(1) daily and weekly driving times, breaks and daily and weekly rest periods; also the preceding days' record sheets which have to be carried on board the vehicle in accordance with Article 36 (1) and (2) of Regulation (EU) No 165/2014 and/or the data stored for the same period on the driver card and/or in the memory of the recording equipment in accordance with Annex ΙΙ to this Directive and/or on printouts;
Amendment 833
Proposal for a directive
Article 1 – paragraph 1 – point 9 –point -a a (new)
Directive 2006/22/EC
Annex I – part A – point 2
(-aa)  in Part A, the point (2) is replaced by the following:
(2)   for the period referred to in Article 15 (7) of Regulation (EEC) No 3821/85, any cases where the vehicle's authorised speed is exceeded, to be defined as being any periods of more than one minute during which the vehicle's speed exceeds 90 km/h for category N 3 vehicles or 105 km/h for category M 3 vehicles (categories N 3 and M 3 being defined in Annex II, Part A to Council Directive 70/156/EEC of 6 February 1970 on the approximation of the laws of the Member States relating to the type-approval of motor vehicles and their trailers1a;
(2) for the period referred to in Article 36 paragraphs (1) and (2) of Regulation (EU) No 165/2014, any cases where the vehicle's authorised speed is exceeded, to be defined as being any periods of more than one minute during which the vehicle's speed exceeds 90 km/h for category N 3 vehicles or 105 km/h for category M 3 vehicles (categories N 3 and M 3 as defined in Directive 2007/46/EC1a;
__________________
__________________
1a OJ L 42, 23.2.1970, p. 1. Directive as last amended by Commission Directive 2006/28/EC (OJ L 65, 7.3.2006, p. 27).
1a Directive 2007/46/EC of the European Parliament and of the Council of 5 September 2007 establishing a framework for the approval of motor vehicles and their trailers, and of systems, components and separate technical units intended for such vehicles(Framework Directive).”
Amendment 834
Proposal for a directive
Article 1 – paragraph 1 – point 9 – point -a b (new)
Directive 2006/22/EC
Annex I – Part A – point 4
(-ab)  in Part A, point (4) is replaced by the following:
(4)  the correct functioning of the recording equipment (determination of possible misuse of the equipment and/or the driver card and/or record sheets) or, where appropriate, presence of the documents referred to in Article14 (5) of Regulation (EEC) No 3820/85;
“(4) the correct functioning of the recording equipment (determination of possible misuse of the equipment and/or the driver card and/or record sheets) or, where appropriate, presence of the documents referred to in Article16(2) of Regulation (EC) No 561/2006;”
Amendment 835
Proposal for a directive
Article 1 – paragraph 1 – point 9 – point a
Directive 2006/22/EC
Annex I – Part A – point 6
(6)  weekly working times as set out in Articles 4 and 5 of Directive 2002/15/EC.
(6)  weekly working times as set out in Articles 4 and 5 of Directive 2002/15/EC, provided that technology enables effective checks to be carried out.
Amendment 836
Proposal for a directive
Article 1 – paragraph 1 – point 9 – point b a (new)
Directive 2006/22/EC
Annex I – Part B – paragraph 2
(ba)  in Part B, paragraph 2 is replaced by the following:
Member States may, if appropriate, check on the joint liability of other instigators or accessories in the transport chain, such as shippers, freight forwarders or contractors, if an infringement is detected, including verification that contracts for the provision of transport permit compliance with Regulations (EEC) No 3820/85 and (EEC) No 3821/85.
“Member States may, if appropriate, check on the joint liability of other instigators or accessories in the transport chain, such as shippers, freight forwarders or contractors, if an infringement is detected, including verification that contracts for the provision of transport permit compliance with Regulations (EC) No 561/2006 and (EU) No 165/2014.
Amendment 837
Proposal for a directive
Article 2 – paragraph 2 – subparagraph 1
1a.  These specific rules shall apply to drivers employed by undertakings established in a Member State which take one of the transnational measures referred to in Article 1(3) (a) of Directive 96/71/EC.
2.  Member States shall not apply points (b) and (c) of the first subparagraph of Article 3 (1) of Directive 96/71/EC to drivers in the road transport sector employed by undertakings referred to in Article 1(3)(a) of that Directive, when performing international carriage operations as defined by Regulations 1072/2009 and 1073/2009 where the period of posting to their territory to perform these operations is shorter than or equal to 3 days during a period of one calendar month.
2.  A driver shall not be considered to be posted for the purpose of Directive 96/71/EC when performing bilateral transport operations.
For the purpose of this Directive, a bilateral transport operation in respect of goods is the movement of goods, based on a transport contract, from the Member State of establishment, as defined in Article 2(8) of Regulation (EC) No 1071/2009 to another Member State or a third country, or from another Member State or third country to the Member State of establishment.
2a.  From the date on which drivers shall record border crossing data manually, as required in Article 34(7) of Regulation (EU) No 165/2014, Member States shall also apply the exemption set out in paragraph 2 in respect of goods transport when:
—  the driver performing a bilateral transport operation in addition thereto performs one activity of loading and/or unloading in the Member States or third countries that the driver crosses, provided that the driver does not load goods and unloads them in the same Member State.
Where a bilateral transport operation starting from the Member State of establishment during which no additional activity was performed is followed by a bilateral transport operation to the Member State of establishment, the exception shall apply for up to two additional activities of loading and/or unloading, under the conditions set out above.
This exemption shall apply only until the date on which the smart tachograph complying with the recording of border crossing and additional activities referred to in Article 8(1) subparagraph 1 of Regulation (EU) 165/2014 shall be fitted in the vehicles registered in a Member States for the first time, as specified in Article 8(1) subparagraph 2 of that Regulation. From that date the exemption referred to in the first subparagraph shall apply solely to drivers using vehicles fitted with a smart tachograph as provided in Articles 8, 9 and 10 of that Regulation.
2b.  A driver engaged in international occasional or regular carriage of passengers, as defined in Regulation (EC) No 1073/2009, shall not be considered to be posted for the purpose of Directive 96/71/EC when:
—  picking up passengers in the Member State of establishment and setting them down in another Member State or a third country; or
—  picking up passengers in a Member State or a third country and setting them down in the Member State of establishment; or
—  picking up and setting down passengers in the Member State of establishment for the purpose of local excursions, as defined in Regulation (EC) No 1073/2009.
2c.  A driver performing cabotage as defined by Regulations (EC) No 1072/2009 and 1073/2009 shall be considered to be posted under Directive 96/71/EC.
2d.  Notwithstanding Article 2(1) of Directive 96/71/EC, a driver shall not be considered to be posted to the territory of a Member State that the driver transits through without loading or unloading freight and without picking up or setting down passengers.
2e.  In case where the driver is performing the initial or final road leg of a combined transport operation as defined in Directive 92/106/EEC, the driver shall not be considered posted for the purpose of Directive 96/71/EC if the road leg on its own consists of bilateral transport operations as defined in paragraph 2.
2f.  Member States shall ensure that, in line with Directive 2014/67/EU, terms and conditions of employment referred to in Article 3 of Directive 96/71/EC, which are laid down in collective agreements in accordance with Article 3(1) and (8) of that Directive are made available in an accessible and transparent way to transport undertakings from other Member States and to posted drivers. The relevant information shall, in particular, cover the different remunerations and their constituent elements, including elements of remunerations provided for in the locally or regionally applicable collective agreements, the method used to calculate the remuneration due and, where relevant, the qualifying criteria for classification in the different wage categories. In accordance with Directive (EU) 2018/957/EU amending Directive 96/71/EC transport undertakings shall not be penalized for non-compliance with elements of remuneration, the method used to calculate the remuneration due and, where relevant, the qualifying criteria for classification in the different wage categories which are not publically available.
2g.  Transport undertakings established in a non-member State must not be given more favourable treatment than undertakings established in a Member State.
Member States shall implement equivalent measures to Directive 96/71/EC and this Directive [XX/XX] (lex specialis) in their bilateral agreements with third countries when granting access to the EU market to road transport undertakings established in such third countries. Member States shall also strive to implement such equivalent measures in the context of multilateral agreements with third countries. Member States shall notify the relevant provisions of their bilateral and multilateral agreements with third countries to the Commission.
For the purpose of ensuring adequate control of these equivalent measures on posting by third country operators, Member States shall ensure that the revised rules in Regulation (EU) XXX/XXX as regards positioning by means of tachograph [Regulation modifying Regulation 165/2014] are implemented in the framework of the European Agreement concerning the Work of Crews of Vehicles engaged in International Road Transport (AETR).
Amendment 838
Proposal for a directive
Article 2 – paragraph 2 – subparagraph 2
When the period of posting is longer than 3 days, Member States shall apply points (b) and (c) of the first subparagraph of Article 3 (1) of Directive 96/71/EC for the entire period of posting to their territory during the period of one calendar month referred to in the first subparagraph.
deleted
Amendment 839
Proposal for a directive
Article 2 – paragraph 3 – introductory part
3.   For the purposes of the calculation of the periods of posting referred to in paragraph 2:
deleted
Amendment 840
Proposal for a directive
Article 2 – paragraph 3 – point a
(a)   a daily working period shorter than six hours spent in the territory of a host Member State shall be considered as half a day;
deleted
Amendment 841
Proposal for a directive
Article 2 – paragraph 3 – point b
(b)   a daily working period of six hours or more spent in the territory of a host Member State shall be considered as a full day;
deleted
Amendment 842
Proposal for a directive
Article 2 – paragraph 3 – point c
(c)  breaks and rest periods as well as periods of availability spent in the territory of a host Member State shall be considered as working period.
deleted
Amendment 843
Proposal for a directive
Article 2 – paragraph 4 – introductory part
4.  Member States may only impose the following administrative requirements and control measures:
4.  By way of derogation from Article 9 of Directive 2014/67/EU, Member States may only impose the following administrative requirements and control measures:
Amendment 844
Proposal for a directive
Article 2 – paragraph 4 – point a – introductory part
(a)  an obligation for the road transport operator established in another Member State to send a posting declaration to the national competent authorities at the latest at the commencement of the posting, in electronic form, in an official language of the host Member State or in English, containing only the following information:
(a)  an obligation for the road transport operator established in another Member State to submit a declaration and any update to it in electronic form via the Internal Market Information System (IMI) established by Regulation (EU) No 1024/2012 to the national competent authorities of the Member State to which a driver is posted at the latest at the commencement of the posting, in an official language of the European Union, containing only the following information:
Amendment 845
Proposal for a directive
Article 2 – paragraph 4 – point a – point i
(i)  the identity of the road transport operator;
(i)  the identity of the road transport operator by means of its intra-Community tax identification number or the number of the Community Licence;
Amendment 846
Proposal for a directive
Article 2 – paragraph 4 – point a – point iii
(iii)  the anticipated number and the identities of posted drivers;
(iii)  information about the posted driver including the following: the identity, the country of residence, the country of payment of social contributions, the social security number and the number of the driving licence;
Amendment 847
Proposal for a directive
Article 2 – paragraph 4 – point a – point iv
(iv)  the anticipated duration, envisaged beginning and end date of the posting;
(iv)  the envisaged beginning date and the estimated duration, and end date of the posting and the law applicable to the employment contract;
Amendment 848
Proposal for a directive
Article 2 – paragraph 4 – point a – point iv a (new)
(iva)  for the road haulage operators: the identity and the contact details of consignees, provided that the transport operator does not use e-CMR;
Amendment 849
Proposal for a directive
Article 2 – paragraph 4 – point a – point vi a (new)
(via)  for the road haulage operators: addresses of loading(s) and unloading(s), provided that the transport operator does not use e-CMR.
Amendment 850
Proposal for a directive
Article 2 – paragraph 4 – point b
(b)  an obligation for the driver to keep and make available, where requested at the roadside control, in paper or electronic form, a copy of the posting declaration and evidence of transport operation taking place in the host Member State, such as an electronic consignment note (e-CMR) or evidence referred to in Article 8 of Regulation (EC) No 1072/2009 of the European Parliament and of the Council.
(b)  an obligation for the road transport operator to ensure that the driver has at his/her disposal, where requested at the roadside control, in paper or electronic form, a copy of the declaration and evidence of transport operation taking place in the host Member State, such as an electronic consignment note (e-CMR) or evidence referred to in Article 8 of Regulation (EC) No 1072/2009 of the European Parliament and of the Council.
Amendment 851
Proposal for a directive
Article 2 – paragraph 4 – point c
(c)  an obligation for the driver to keep and make available, where requested at the roadside control, the tachograph records, and in particular the country codes of Member States where the driver has been present when carrying out international road transport operations or cabotage operations;
(c)  an obligation for the road transport operator to ensure that the driver has at his/her disposal where requested at the roadside control, the tachograph records, and in particular the country codes of Member States where the driver has been present when carrying out international road transport operations or cabotage operations;
Amendment 852
Proposal for a directive
Article 2 – paragraph 4 – point c a (new)
(ca)  during the roadside checks referred to in points (b) and (c) of this Article, the driver shall be allowed to contact the head office, the transport manager or any other person or entity which may provide the requested documents;
Amendment 854
Proposal for a directive
Article 2 – paragraph 4 – point d
(d)  an obligation for the driver to keep and make available, where requested at the roadside control, in paper or electronic form, a copy of the employment contract or an equivalent document within the meaning of Article 3 of Council Directive 91/533/EEC20 , translated into one of the official languages of the host Member State or into English;
deleted
__________________
20 Council Directive 91/533/EEC of 14 October 1991 on an employer's obligation to inform employees of the conditions applicable to the contract or employment relationship (OJ L 288, 18.10.1991, p. 32)
Amendment 855
Proposal for a directive
Article 2 – paragraph 4 – point e
(e)  an obligation for the driver to make available, where requested at the roadside control, in paper or electronic form, a copy of payslips for last two months; during the roadside check, the driver shall be allowed to contact the head office, the transport manager or any other person or entity which may provide this copy;
deleted
Amendment 853
Proposal for a directive
Article 2 – paragraph 4 – point f
(f)  an obligation for the road transport operator to deliver, after the period of posting, in paper or electronic form, copies of documents referred to in points (b), (c) and (e), at the request of the authorities of the host Member State within a reasonable period of time;
(f)   an obligation for the road transport operator to send via the IMI public interface, after the period of posting [...] copies of documents referred to in points (b) and (c), at the request of the authorities of the Member State to which a driver is posted as well as documentation of the remuneration of posted drivers which relate to the period of posting and their employment contract or an equivalent document within the meaning of Article 3 of Council Directive 91/533/EEC1a, time-sheets relating to the driver's work and proof of payments.
The road transport operator shall provide the requested documentation by using the IMI public interface within 2 months from the date of the request.
Where the road transport operator fails to provide all requested documentation via the IMI public interface within the set deadline, the competent authorities of the Member State where the posting took place may, in accordance with Articles 6 and 7 of Directive 2014/67, request the assistance of the competent authorities of the Member State of establishment of the operator. When such request is made via IMI, the competent authorities of the Member State of establishment of the operator shall have access to the posting declaration and other relevant information submitted by the operator via IMI public interface.
The competent authorities of the Member State of establishment of the operator shall ensure that the documents requested by the competent authorities of the Member State where the posting took place is provided via IMI within 25 working days from the date of the request.
__________________
1a Council Directive 91/533/EEC of 14 October 1991 on an employer's obligation to inform employees of the conditions applicable to the contract or employment relationship (OJ L 288, 18.10.1991, p. 32).
Amendment 856
Proposal for a directive
Article 2 – paragraph 5
5.  For the purposes of point (a) of paragraph 4 the road transport operator may provide a posting declaration covering a period of a maximum of six months.
5.  For the purposes of point (a) of paragraph 4 the road transport operator may provide a declaration covering a period of a maximum of six months.
Amendment 857
Proposal for a directive
Article 2 – paragraph 5 a (new)
5a.  The information from the declarations shall be saved in the repository of IMI for the purpose of checks for a period of 18 months and shall be directly and real time accessible to all competent authorities of other Member States designated in accordance with Article 3 of Directive 2014/67/EU, Article 18 of Regulation (EC) No 1071/2009, and Article 7 of Directive 2006/22/EC.
The national competent authority may allow social partners in accordance with national law and practices access to the information provided that the information:
—  relates to posting to the territory of the Member State concerned;
—  is used for the purpose of enforcement of the rules on posting; and
—  data processing is in line with 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.
Amendment 858
Proposal for a directive
Article 2 – paragraph 5 b (new)
5b.  The Commission shall adopt implementing acts developing a standardised forms in all official languages of the Union to be used for submitting declarations via the IMI public interface, specify the functionalities of the declaration in the IMI and how the information referred to point (a)(i) to (via) of paragraph 4 is to be presented in the declaration and ensure that those information from declarations are automatically translated in a language of a host Member State. The implementing acts shall be adopted in accordance with the examination procedure referred to in Article 2a(2).
Amendment 859
Proposal for a directive
Article 2 – paragraph 5 c (new)
5c.   Member States shall avoid unnecessary delays in the implementation of the control measures that may affect the duration and dates of the posting.
Amendment 860
Proposal for a directive
Article 2 – paragraph 5 d (new)
5d.   The competent authorities in the Member States shall cooperate closely and shall provide each other with mutual assistance and all relevant information, within the conditions laid down in Directive 2014/67/EU and in Regulation (EC) No 1071/2009.
Amendment 861
Proposal for a directive
Article 2 a (new)
Article 2a
1.   The Commission shall be assisted by the Committee set up by Article 42(1) of Regulation (EU) No 165/2014. 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.
Amendment 862
Proposal for a directive
Article 2 b (new)
Article 2b
Member States shall provide for penalties against consignors, freight forwarders, contractors and subcontractors for non-compliance with Article 2 of this Directive, where they know, or, in the light of all relevant circumstances ought to know, that the transport services that they commission infringe of this Directive.
The Member States shall lay down the rules on penalties applicable to infringements of the provisions of this Directive and shall take all measures necessary to ensure that they are implemented. Those penalties shall be effective, proportionate, dissuasive and non-discriminatory.
Amendment 863
Proposal for a directive
Article 2 c (new)
Article 2c
The Commission shall assess existing instruments and best practices promoting socially responsible behaviour of all actors in the delivery chain for goods and make a legislative proposal to establish a European Platform of Trust, if appropriate, by ...[two years after entry into force of this Directive].
Amendment 864
Proposal for a directive
Article 2 d (new)
Article 2d
Smart enforcement
1.   Without prejudice to Directive 2014/67/EU and in order to further enforce the obligations stipulated under Article 2 of this Directive, Member States shall ensure that a coherent national enforcement strategy is applied on their territory. That strategy shall focus on undertakings with a high-risk rating, referred to in Article 9 of Directive 2006/22/EC of the European Parliament and of the Council.
2.   Each Member State shall ensure that the checks provided for in Article 2 of Directive 2006/22/EC will include, where relevant, a check on posting and that these check shall be carried out without discrimination, in particularly without discrimination based on the number plates of vehicles used in posting.
3.   Member States shall target those undertakings which are classed as posing an increased risk of infringing the provisions of Article 2 of this Directive, applicable to them. For that purpose, Member States shall, within the risk classification system established by them under Article 9 of Directive 2006/22/EC of the European Parliament and of the Council and extended in accordance with Article 12 of Regulation (EC) No 1071/2009 of the European Parliament and of the Council, treat the risk of such infringements as a risk in its own right.
4.   For the purpose of paragraph 3, Member States shall have access to relevant information and data recorded, processed or stored by the smart tachograph referred to in Chapter II of Regulation (EU) No 165/2014, posting declarations referred to in Article 2 (4) of this Directive and in electronic transport documents, such as electronic consignment notes under the Convention on the Contract for the International Carriage of Goods by Road (eCMR).
5.   The Commission is empowered to adopt delegated acts to stipulate the characteristics of the data to which Member States shall have access to, the conditions for their use and the technical specifications for their transmission or access, specifying in particular:
(a)   a detailed list of information and data to which national competent authorities shall have access to, which shall include at least the time and location of border crossings, loading and unloading operations, the registration plate of the vehicle and the driver details;
(b)   the access rights of the competent authorities, differentiated where appropriate according to the type of competent authorities, the type of access and the purpose for which the data is used;
(c)   the technical specifications for the transmission or access to the data referred to in point (a), including, where relevant, the maximum duration that the data is retained, differentiated where appropriate according to the type of data.
6.   Any personal data referred to in this Article shall be accessed or stored for no longer than is strictly necessary for the purposes for which the data were collected or for which they are further processed. Once such data are no longer needed for those purposes, they shall be destroyed.
7.   Member States shall, at least three times per year, undertake concerted roadside checks on posting, which may coincide with checks performed in accordance with Article 5 of Directive 2006/22/EC. Such checks shall be undertaken at the same time by the national authorities in charge of enforcing the rules in the field of posting of two or more Member States, each operating in its own territory. Member States shall exchange information on the number and type of infringements detected after the concerted roadside checks have taken place.
The summary results of the concerted checks shall be made public in line with 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.
Amendment 865
Proposal for a directive
Article 2 e (new)
Article 2 e
Amendment to Regulation (EU) No 1024/2012
In the Annex to Regulation (EU) No 1024/2012 the following points are added:
“12a. Directive 2006/22/EC of the European Parliament and of the Council of 15 March 2006 on minimum conditions for the implementation of Regulations (EC) No 561/2006 and EU No 165/2014 and Directive 2002/15/EC of the European Parliament and of the Council as regards social legislation relating to road transport activities, and repealing Council Directive 88/599/EEC: Article 8
12b.   Directive of the European Parliament and of the Council of amending Directive 2006/22/EC as regards enforcement requirements and laying down specific rules with respect to Directive 96/71/EC and Directive 2014/67/EU for posting drivers in the road transport sector: Article 2(5).
Amendment 866
Proposal for a directive
Article 3
Article 3
Reporting and review
1.  The Commission shall evaluate the implementation of this Directive, in particular the impact of Article 2, by [3 years after the date for transposition of this Directive] and report to the European Parliament and the Council on the application of this Directive. The report by the Commission shall, if appropriate, be accompanied by a legislative proposal.
1.  Member States shall report annually to the Commission on the implementation of this Directive, in particular on the implementation of smart enforcement referred to in Article 2d and on the potential difficulties in enforcement.
In order to enable the effectiveness of enforcement information to be assessed, the report shall include information on the effectiveness of:
—  the smart tachograph, referred to in Chapter II of Regulation (EU) No 165/2014;
—  the use of IMIs, referred to in Article 2 (5a) and (5b) of this Directive;
—  the use of electronic transport documents, such as electronic consignment notes under the Convention on the Contract for the International Carriage of Goods by Road (eCMR);
—  the exchange of information between competent authorities via ERRU and IMI, as well as the information on the effectiveness of authorities direct and real time access to both ERRU and IMI via the EU application during road side checks, as referred to in Articles 8 and 9 of Directive 2006/22/EC; and
—  the implementation of the training programme aiming to help drivers and all other actors involved in the procedure, including undertakings, administrations, inspectors to adapt to the new rules and requirements affecting them.
2.  Following the report referred to in paragraph 1, the Commission shall regularly evaluate this Directive and submit the evaluation results to the European Parliament and the Council.
2.  The Commission may adopt implementing acts specifying the format of, and setting guidelines for, the reporting referred to in paragraph 1.
Those implementing acts may include rules requiring that Member States provide the Commission with data on traffic flows and data on the Member States of registration of vehicles collected by toll systems in Member States, where such data exists, for the purpose of assessment of the effectiveness of enforcement of this Directive.
3.  Where appropriate, the reports referred to in paragraphs 1 and 2 shall be accompanied by relevant proposals.
3.  No later than 31 December 2025, the Commission shall submit a report to the European Parliament and the Council on the implementation and effects of this Directive, in particular as regards the effectiveness of enforcement, including a cost benefit analysis of use of weighing sensors for the purpose of automatic recording of loading/unloading points. The Commission report shall be accompanied, if appropriate, by a legislative proposal. The report shall be made public.
Amendment 867
Proposal for a directive
Article 3 a (new)
Article 3a
Training
In the interests of ensuring compliance with the provisions of this Directive, both the Commission and the Member States shall establish a comprehensive and integrated programme of training and adaptation to the new rules and requirements for drivers and all other actors involved in the procedure, undertakings, administrations, inspectors
Amendment 868
Proposal for a directive
Article 4 – paragraph 1 – subparagraph 1
Member States shall adopt and publish, by […] [The time limit for transposition will be as short as possible and, generally, will not exceed two years] at the latest, the laws, regulations and administrative provisions necessary to comply with this Directive. They shall forthwith communicate to the Commission the text of those provisions.
Member States shall adopt and publish, by 30 July 2020 the laws, regulations and administrative provisions necessary to comply with this Directive. They shall forthwith communicate to the Commission the text of those provisions.
Amendment 869
Proposal for a directive
Article 4 – paragraph 1 – subparagraph 1 a (new)
The transport sector, due to its recognised highly mobile nature, is exempt from the measures deriving from the legislative act amending Directive 96/71/EC until this Directive shall become applicable.
Amendment 870
Proposal for a directive
Article 4 – paragraph 1 – subparagraph 1 b (new)
The transport sector is exempt from the measures deriving from the legislative act amending Directive 96/71/EC until the entry into force of enforcement requirements laying down specific rules with respect to transport of this Directive.

(1) OJ C 197, 8.6.2018, p. 45.
(2) OJ C 176, 23.5.2018, p. 57.


Daily and weekly driving times, minimum breaks and rest periods and positioning by means of tachographs ***I
PDF 243kWORD 97k
European Parliament legislative resolution of 4 April 2019 on the proposal for a regulation of the European Parliament and of the Council amending Regulation (EC) No 561/2006 as regards on minimum requirements on maximum daily and weekly driving times, minimum breaks and daily and weekly rest periods and Regulation (EU) 165/2014 as regards positioning by means of tachographs (COM(2017)0277 – C8-0167/2017 – 2017/0122(COD))
P8_TA-PROV(2019)0340A8-0205/2018

(Ordinary legislative procedure: first reading)

The European Parliament,

–  having regard to the Commission proposal to Parliament and the Council (COM(2017)0277),

–  having regard to Article 294(2) and Article 91(1) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8‑0167/2017),

–  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 18 January 2018(1),

–  having regard to the opinion of the Committee of the Regions of 1 February 2018(2),

–  having regard to Rule 59 of its Rules of Procedure,

–  having regard to the report of the Committee on Transport and Tourism and the opinion of the Committee on Employment and Social Affairs (A8-0205/2018),

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.

Text proposed by the Commission   Amendment
Amendment 346
Proposal for a regulation
Recital 1
(1)  Good working conditions for drivers and fair business conditions for road transport undertakings are of paramount importance to creating a safe, efficient and socially accountable road transport sector. To facilitate that process it is essential that the Union social rules in road transport are clear, fit for purpose, easy to apply and to enforce and implemented in an effective and consistent manner throughout the Union.
(1)  Good working conditions for drivers and fair business conditions for road transport undertakings are of paramount importance to creating a safe, efficient and socially accountable and non-discriminatory road transport sector, which is able to attract qualified workers. To facilitate that process it is essential that the Union social rules in road transport are clear, proportionate, fit for purpose, easy to apply and to enforce and implemented in an effective and consistent manner throughout the Union.
Amendment 347
Proposal for a regulation
Recital 2
(2)  Having evaluated the effectiveness and efficiency of the implementation of the existing set of Union social rules in road transport, and in particular Regulation (EC) No 561/2006 of the European Parliament and of the Council9 , certain deficiencies were identified in the existing legal framework. Unclear and unsuitable rules on weekly rest, resting facilities, breaks in multi-manning and the absence of rules on the return of drivers to their home, lead to diverging interpretations and enforcement practices in the Member States. Several Member States recently adopted unilateral measures further increasing legal uncertainty and unequal treatment of drivers and operators.
(2)  Having evaluated the effectiveness and efficiency of the implementation of the existing set of Union social rules in road transport, and in particular Regulation (EC) No 561/2006 of the European Parliament and of the Council9, certain deficiencies were identified in the implementation of the legal framework. Unclear rules on weekly rest, resting facilities, breaks in multi-manning and the absence of rules on the return of drivers to their home or to another location of their choice, lead to diverging interpretations and enforcement practices in the Member States. Several Member States recently adopted unilateral measures further increasing legal uncertainty and unequal treatment of drivers and operators.
On the other hand, the maximum driving periods per day and per week, as set out in Regulation (EC) No 561/2006, are effective in improving the social conditions of road drivers and road safety in general and therefore steps should be taken to ensure that they are respected.
–––––––––––––––––––––––
––––––––––––––––––––––
9 Regulation (EC) No 561/2006 of the European Parliament and of the Council of 15 March 2006 on the harmonisation of certain social legislation relating to road transport and amending Council Regulations (EEC) No 3821/85 and (EC) No 2135/98 and repealing Council Regulation (EEC) No 3820/85 (OJ L 102, 11.4.2006, p. 1).
9 Regulation (EC) No 561/2006 of the European Parliament and of the Council of 15 March 2006 on the harmonisation of certain social legislation relating to road transport and amending Council Regulations (EEC) No 3821/85 and (EC) No 2135/98 and repealing Council Regulation (EEC) No 3820/85 (OJ L 102, 11.4.2006, p. 1).
Amendment 348
Proposal for a regulation
Recital 2 a (new)
.(2a) It is in the interests of road safety and enforcement that all drivers should be fully aware of both the rules on driving and rest times and the availability of rest facilities. Therefore, it is appropriate for Member States to work to produce guidance that presents this Regulation in a clear and simple manner, gives useful information on parking and rest facilities and underlines the importance combating fatigue.
Amendment 349
Proposal for a regulation
Recital 2 b (new)
(2b)   It is in the interests of road safety to encourage transport undertakings to adopt a safety culture which includes safety policies and procedures issued by senior management, the commitment to implementing safety policy shown by the line management and the willingness to comply with safety rules shown by the workforce. There should be a clear focus on road transport safety issues, including fatigue, liability, journey planning, rostering, performance-based pay and ´just in time´ management.
Amendment 350
Proposal for a regulation
Recital 3
(3)  The ex-post evaluation of Regulation (EC) No 561/2006 confirmed that inconsistent and ineffective enforcement of the Union social rules was mainly due to unclear rules, inefficient use of the control tools and insufficient administrative cooperation between the Member States.
(3)  The ex-post evaluation of Regulation (EC) No 561/2006 confirmed that inconsistent and ineffective enforcement of the Union social rules was mainly due to unclear rules, inefficient and unequal use of the control tools and insufficient administrative cooperation between the Member States, increasing the fragmentation of the European internal market.
Amendment 351
Proposal for a regulation
Recital 4
(4)  Clear, suitable and evenly enforced rules are also crucial for achieving the policy objectives of improving working conditions for drivers, and in particular ensuring undistorted competition between operators and contributing to road safety for all road users.
(4)  Clear, suitable and evenly enforced rules are also crucial for achieving the policy objectives of improving working conditions for drivers, and in particular ensuring undistorted and fair competition between operators and contributing to road safety for all road users.
Amendment 352
Proposal for a regulation
Recital 4 a (new)
(4a)   Any national rules applied to road transport must be proportionate as well as justified and must not hinder or make less attractive the exercise of fundamental freedoms guaranteed by the Treaty, such as the free movement of goods and the freedom to provide services in order to maintain or even increase the competitiveness of the European Union.
Amendment 353/rev
Proposal for a regulation
Recital 4 b (new)
(4b)  In order to ensure a European wide-level playing field in road transport, this Regulation should apply to all vehicles exceeding 2,4 tonnes engaged in international transport.
Amendment 354
Proposal for a regulation
Recital 5 a (new)
(5a)   Transporting goods is fundamentally different from transporting people. Coach drivers are in close contact with their passengers and should be in a position to take breaks with greater flexibility without extending driving periods or shortening rest periods and breaks.
Amendment 355
Proposal for a regulation
Recital 6
(6)  Drivers engaged in long-distance international transport operations spend long periods away from their home. The current requirements on the regular weekly rest unnecessarily prolong those periods. It is thus desirable to adapt the provision on the regular weekly rest in such a way that it is easier for drivers to carry out transport operations in compliance with the rules and to reach their home for a regular weekly rest, and be fully compensated for all reduced weekly rest periods. It is also necessary to provide that operators organise the work of drivers in such a way that these periods away from home are not excessively long.
(6)  Drivers engaged in long-distance international transport operations spend long periods away from their home. The current requirements on the regular weekly rest unnecessarily prolong those periods. It is thus desirable to adapt the provision on the regular weekly rest in such a way that it is easier for drivers to carry out transport operations in compliance with the rules and to reach their home or a destination of their choosing for a regular weekly rest, and be fully compensated for all reduced weekly rest periods. It is also necessary to provide that operators organise the work of drivers in such a way that these periods away from home are not excessively long When a driver chooses to spend this rest period at home, the transport undertaking should provide the driver with the means to return.
Amendment 356
Proposal for a regulation
Recital 6 a (new)
(6a)   Where the work of a driver predictably includes activities for the employer other than his/her professional driving tasks, such as loading / unloading, finding parking space, maintaining the vehicle, route preparation etc, the time he/she needs to perform these tasks should be taken into account when determining both his/her working time, the possibility for adequate rest and pay.
Amendment 357
Proposal for a regulation
Recital 6 b (new)
(6b)   In order to safeguard working conditions of the drivers at places of loading and unloading, owners and operators of such facilities should provide the driver with the access to hygienic facilities.
Amendment 358
Proposal for a regulation
Recital 6 c (new)
(6c)  Rapid technological progress is resulting in the development of autonomous driving systems with increasing levels of sophistication. In the future, those systems could allow for a differentiated usage of vehicles the manoeuvring of which does not involve a driver. This could lead to new operational possibilities, such as truck platooning. As a result, existing legislation, including rules on driving and resting times, will need to be adapted, for which progress at the UNECE Working Party level is essential. The Commission shall come forward with an evaluation report of the use of autonomous driving systems in the Member States, accompanied, if appropriate, by a legislative proposal to take into account the benefits of autonomous driving technologies. The intention of this legislation is to guarantee road safety, a level-playing field and proper working conditions, whilst enabling the EU to pioneer new innovative technologies and practices.
Amendment 359
Proposal for a regulation
Recital 7
(7)  There are differences among Member States in the interpretation and implementation of the weekly rest requirements as regards the place where the weekly rest should be taken. It is therefore appropriate to clarify that requirement to ensure that drivers are provided with adequate accommodation for their regular weekly rest periods if they are taken away from home.
(7)  There are differences among Member States in the interpretation and implementation of the weekly rest requirements as regards the place where the weekly rest should be taken. In order to ensure good working conditions and the safety of drivers, it is therefore appropriate to clarify that requirement to ensure that drivers are provided with quality and gender friendly accommodation or another location as chosen by the driver and paid for by the employer for their regular weekly rest periods if they are taken away from home. Member States should ensure the availability of sufficient secure parking areas that are adapted to the needs of the drivers.
Amendment 360
Proposal for a regulation
Recital 7 a (new)
(7a)  Dedicated Parking areas should have all of the facilities necessary for good resting conditions, that is to say sanitary, culinary, security and others.
Amendment 361
Proposal for a regulation
Recital 7 b (new)
(7b)  Adequate resting facilities are crucial for improving drivers working conditions in the sector and maintaining road safety. As rest in the cabin is characteristic for the transport sector and in certain cases desirable from a comfort and suitability perspective, drivers should be allowed to take their rest in their vehicle, if the vehicle is equipped with suitable sleeping facilities. Therefore the creation of dedicated parking areas should not be disproportionally hindered or obstructed by Member States.
Amendment 362
Proposal for a regulation
Recital 7 c (new)
(7c)  The revised TEN-T guidelines foresee the development of parking area’s on motorways approximately every 100 km to provide parking space for commercial road users with an appropriate level of safety and security and therefore Member States should be encouraged to implement the TEN-T guidelines and sufficiently support and invest in safe and suitably adapted parking areas.
Amendment 363
Proposal for a regulation
Recital 7 d (new)
(7d)  In order to provide good quality affordable rest facilities, the Commission and Member States should encourage the establishment of social, commercial, public and other enterprises for the operation of dedicated parking areas.
Amendment 364
Proposal for a regulation
Recital 8 a (new)
(8a)  Many road transport operations within the Union involve transport by ferry or by rail for part of the journey. Clear, appropriate provisions regarding rest periods and breaks should therefore be laid down for such operations.
Amendment 365
Proposal for a regulation
Recital 9 a (new)
(9a)  In order to guarantee effective enforcement, it is essential that the competent authorities, when carrying out roadside checks should be able to ascertain that driving times and rest periods have been properly observed on the day of the check and over the preceding 56 days.
Amendment 366
Proposal for a regulation
Recital 9 b (new)
(9b)   In order to ensure that rules are clear, easy to understand and enforceable, information must be made accessible to the drivers. This should be achieved through the coordination of the Commission. Drivers should also receive information on rest areas and secure parking to allow for better planning of journeys. Furthermore, through the Commission's coordination a free telephone hotline should be installed to alert control services in case undue pressure is put on drivers, fraud or illegal behaviour.
Amendment 367
Proposal for a regulation
Recital 9 c (new)
(9c)  Article 6 of Regulation (EC) No 1071/2009 obliges Member States to apply common classification of infringements when assessing good repute. Member States should take all measures necessary to ensure that national rules on penalties applicable to infringements of Regulation (EC) No 561/2006 and Regulation (EU) No 165/2014 are implemented in an effective, proportionate and dissuasive manner. Further steps are needed to ensure that all penalties applied by Member States are non-discriminatory and proportionate to the seriousness of infringement.
Amendment 368
Proposal for a regulation
Recital 11
(11)  To enhance cost-effectiveness of enforcement of the social rules the potential of the current and future tachograph systems should be fully exploited. Therefore the functionalities of the tachograph should be improved to allow for more precise positioning, in particular during international transport operations.
(11)  To enhance cost-effectiveness of enforcement of the social rules the current and smart tachograph systems should be mandatory in international transport. Therefore the functionalities of the tachograph should be improved to allow for more precise positioning.
Amendment 369
Proposal for a regulation
Recital 11 a (new)
(11a)   The rapid development of new technologies and digitalisation throughout the Union economy and the need for a level playing field among companies in international road transport make it necessary to shorten the transitional period for the installation of the smart tachograph in registered vehicles. The smart tachograph will contribute to simplified controls and thus facilitate the work of national authorities.
Amendment 370
Proposal for a regulation
Recital 11 b (new)
(11b)   Taking into account the wide-spread use of smartphones and the continuous development of their functionalities, and in view of the deployment of Galileo, which offers increasing opportunities for real time localisation, which many mobile already use, the Commission should explore the possibility of developing and certifying a mobile application that offers the same benefits as those offered by the smart tachograph, at the same associated costs.”
Amendment 371
Proposal for a regulation
Recital 11 c (new)
(11c)  In order to guarantee appropriate health and safety standards for drivers, it is necessary to establish or upgrade secure parking areas, adequate sanitary facilities and quality accommodation. A sufficient network of parking areas should exist within the Union.
Amendment 372
Proposal for a regulation
Recital 12 a (new)
(12a)  Acknowledges that transporting goods is different from transporting people. Coach drivers are in close contact with their passengers and should be given more suitable conditions within the framework of this Regulation without extending driving times or shortening rest periods and breaks. Therefore, the Commission shall evaluate if specific rules for this sector can be adopted, especially for occasional services as defined in Article 2 paragraph 1 number 4 of Regulation (EC) No 1073/2009 of the European Parliament and the Council of 21 October 2009 on common rules for access to the international market for coach and bus services.
Amendment 373
Proposal for a regulation
Article 1 – paragraph 1 – point -1 (new)
Regulation (EC) No 561/2006
Article 2 – paragraph 1 – point -a a (new)
(-1)  In Article 2(1), the following point is inserted:
"(-aa) of goods in international transport operations, where the maximum permissible mass of the vehicle, including any trailer, or semi-trailer, exceeds 2,4 tonnes, or"
Amendment 374
Proposal for a regulation
Article 1 – paragraph 1 – point -1 a (new)
Regulation (EC) No 561/2006
Article 3 – paragraph 1 – point a a
(aa)  vehicles or combinations of vehicles with a maximum permissible mass not exceeding 7,5 tonnes used for carrying materials, equipment or machinery for the driver’s use in the course of his work, and which are used only within a 100 km radius from the base of the undertaking and on the condition that driving the vehicle does not constitute the driver’s main activity;
“(aa) vehicles or combinations of vehicles with a maximum permissible mass not exceeding 7,5 tonnes used for carrying materials, equipment or machinery for the driver’s use in the course of his work, or delivering goods which have been produced on a craft basis in the undertaking employing the driver and which are used only within a 150 km radius from the base of the undertaking and on the condition that driving the vehicle does not constitute the driver’s main activity;”
Amendment 375
Proposal for a regulation
Article 1 – paragraph 1 – point 1 a (new)
Regulation (EC) No 561//2006
Article 3 – point h a (new)
(1a)  In Article 3, the following point is inserted:
“(ha) light commercial vehicles that are used for the transport of goods, where the transport is not effected for hire or reward, but on the own account of the company or the driver, and where driving does not constitute the main activity of the person driving the vehicle;”
Amendment 376
Proposal for a regulation
Article 1 – paragraph 1 – point 2
Regulation (EC) No 561/2006
Article 4 – point r
(r)  'non-commercial carriage' means any carriage by road, other than carriage for hire or reward or for own account, for which no remuneration is received and which does not generate any income.
(r)  non-commercial carriage means any carriage by road, other than carriage for hire or reward or for own account, for which no remuneration is received and which does not generate any income or turnover.
Amendment 377
Proposal for a regulation
Article 1 – paragraph 1 – point 2 a (new)
Regulation (EC) No 561/2006
Article 4 – point r a (new)
(2a)   In Article 4, the following point is added:
“(ra) ‘home’ means the registered residence of the driver in a Member State.”
Amendment 378
Proposal for a regulation
Article 1 – paragraph 1 – point 2 b (new)
Regulation (EC) No 561/2006
Article 5 – paragraph 1
(2b)   In Article 5, paragraph 1 is replaced by the following:
1.  The minimum age for conductors shall be 18 years.
1. The minimum age for drivers shall be 18 years.
Amendment 379
Proposal for a regulation
Article 1 – paragraph 1 – point 5 – point a
Regulation (EC) No 561/2006
Article 8 – paragraph 6 – subparagraph 1
(a)  in paragraph 6, the first subparagraph is replaced by the following:
deleted
“6. In any four consecutive weeks a driver shall take at least:
(a)  four regular weekly rest periods, or
(b)  two regular weekly rest periods of at least 45 hours and two reduced weekly rest periods of at least 24 hours.
For the purposes of point (b), the reduced weekly rest periods shall be compensated by an equivalent period of rest taken en bloc before the end of the third week following the week in question.”
Amendment 381
Proposal for a regulation
Article 1 – paragraph 1 – point 5 – point b
Regulation (EC) No 561/2006
Article 8 – paragraph 7
7.  Any rest period taken as compensation for a reduced weekly rest period shall immediately precede or follow a regular weekly rest period of at least 45 hours.
7.  Any rest period taken as compensation for a reduced weekly rest period shall be attached to a regular weekly rest period of at least 45 hours.
Amendment 382
Proposal for a regulation
Article 1 – paragraph 1 – point 5 – point c
Regulation (EC) No 561/2006
Article 8 – paragraph 8 a – introductory part
8a.  The regular weekly rest periods and any weekly rest of more than 45 hours taken in compensation for previous reduced weekly rest shall not be taken in a vehicle. They shall be taken in a suitable accommodation, with adequate sleeping and sanitary facilities;
8a.  The regular weekly rest periods, and any weekly rest of more than 45 hours taken in compensation for previous reduced weekly rest shall not be taken in a vehicle. They shall be taken in a quality and gender friendly accommodation, outside the cabin, with adequate sanitary and sleeping facilities for the driver. That accommodation shall be:
Amendment 383
Proposal for a regulation
Article 1 – paragraph 1 – point 5 – point c
Regulation (EC) No 561/2006
Article 8 – paragraph 8 a – point a
(a)  either provided or paid for by the employer, or
(a)  either provided by or paid for by the employer, or
Amendment 384
Proposal for a regulation
Article 1 – paragraph 1 – point 5 – point c
Regulation (EC) No 561/2006
Article 8 – paragraph 8 a – point b
(b)  at home or at another private location chosen by the driver.
((b) at the driver’s home or at another private location chosen by the driver.
Amendment 385
Proposal for a regulation
Article 1 – paragraph 1 – point 5 – point c
Regulation (EC) No 561/2006
Article 8 – paragraph 8 b – subparagraph 1
8b.  A transport undertaking shall organise the work of drivers in such a way that the drivers are able to spend at least one regular weekly rest period or a weekly rest of more than 45 hours taken in compensation for reduced weekly rest at home within each period of three consecutive weeks.
8b.  A transport undertaking shall organise the work of drivers in such a way that the drivers are able to spend at least one regular weekly rest period or a weekly rest of more than 45 hours taken in compensation for reduced weekly rest at home or another location of the driver's choosing before the end of each period of four consecutive weeks. The driver shall inform the transport undertaking in writing no later than two weeks before such rest period, if it will be taken in a place other than the driver’s home. When a driver chooses to take this rest at home, the transport undertaking shall provide the driver with the necessary means to return home. The undertaking shall document how it fulfils this obligation and shall keep the documentation at its premises in order to present it on request of control authorities.
Amendment 386
Proposal for a regulation
Article 1 – paragraph 1 – point 5 – point c
Regulation (EC) No 561/2006
Article 8 – paragraph 8 b – subparagraph 1 a (new)
In Article 8, paragraph 8b, the following subparagraph is added:
“The driver shall declare that a regular weekly rest period or a weekly rest of more than 45 hours taken in compensation for a reduced weekly rest, has been taken in a location of driver’s choice. The declaration shall be kept at the premises of undertaking.”
Amendment 380
Proposal for a regulation
Article 1 – paragraph 1 – point 5 – point c a (new)
Regulation (EC) No 561/2006
Article 8 – paragraph 9 a (new)
(ca)  the following paragraph is added:
“9a. The Commission shall no later than … [two years after entry into force of this amending Regulation]evaluate and report to Parliament and Council if more adequate rules for drivers engaged in occasional services of carriage of passengers can be adopted, as defined in Article 2 paragraph 1 number 4 of Regulation (EC) No 1073/2009 of the European Parliament and the Council of 21 October 2009 on common rules for access to the international market for coach and bus services.”
Amendment 387
Proposal for a regulation
Article 1 – paragraph 1 – point 5 a (new)
Regulation (EC) No 561/2006
Article 8 a (new)
(5a)  The following Article is inserted:
"Article 8a
1.  By [six months after the entry into force of this Regulation] Member States shall communicate to the Commission the locations of Dedicated Parking Areas (DPA) available on their territories and shall subsequently notify any changes to this information. The Commission shall list all publicly accessible DPA on a single official website that is regularly updated.
2.  All parking areas that have at least the facilities and features set out in Annex 1 and which are published by the Commission in accordance with paragraph 2 may indicate at their entrance that they are DPA.
3.  Member States shall ensure that random checks are carried out on a regular basis to verify compliance of parking characteristics with the DPA criteria set out in Annex.
4.  Member States shall investigate complaints of certified DPAs that are non-compliant with the criteria set out in Annex.
5.  Member States shall encourage the creation of Dedicated Parking areas in line with the provisions set out in point (c) of Article 39(2) of the Regulation (EU) No 1315/2013.
The Commission shall, by 31 December 2020 at the latest, present a report to the European Parliament and the Council on the availability of suitable rest facilities for drivers and secured parking facilities. This report shall be accompanied by the draft regulation establishing standards and procedures for certification of DPA referred to in paragraph 4 of this Article. This report shall be updated annually on the basis of information gathered by the Commission under paragraph 5 and contain a list of proposed measures to increase the number and quality of suitable rest facilities for drivers and secured parking facilities.”
Amendment 388
Proposal for a regulation
Article 1 – paragraph 1 – point 6
Regulation (EC) No 561/2006
Article 9 – paragraph 1
1.  By way of derogation from Article 8, where a driver accompanies a vehicle which is transported by ferry or train, and takes a regular daily rest period or reduced weekly rest period, that period may be interrupted not more than twice by other activities not exceeding one hour in total. During that regular daily rest or reduced weekly rest period the driver shall have access to a bunk or couchette at their disposal.
1.  By way of derogation from Article 8, where a driver accompanies a vehicle which is transported by ferry or train, and takes a regular daily rest period or reduced weekly rest period, that period may be interrupted not more than twice by other activities not exceeding one hour in total. During that regular daily rest or reduced weekly rest period the driver shall have access to a sleeper cabin, bunk or couchette at their disposal.
Amendment 389
Proposal for a regulation
Article 1 – paragraph 1 – point 6 a (new)
Regulation (EC) No 561/2006
Article 9 – paragraph 1 a (new)
(6a)  in Article 9, the following paragraph is inserted:
"1a. The derogation in paragraph 1 may be extended to regular weekly rests when the ferry journey is 12 hours or more in duration. During that weekly rest period the driver shall have access to a sleeper cabin."
Amendment 390
Proposal for a regulation
Article 1 – paragraph 1 – point 6 a (new)
Regulation (EC) No 561/2006
Article 10 – paragraph 1
(6a)  in Article 10, paragraph 1 is replaced by the following:
1.  A transport undertaking shall not give drivers it employs or who are put at its disposal any payment, even in the form of a bonus or wage supplement, related to distances travelled and/or the amount of goods carried if that payment is of such a kind as to endanger road safety and/or encourages infringement of this Regulation.
"1. A transport undertaking shall not give drivers it employs or who are put at its disposal any extra payment, even in the form of a bonus or wage supplement, related to distances travelled, the speed of delivery and/or the amount of goods carried if that payment encourages infringement of this Regulation.
Amendment 391
Proposal for a regulation
Article 1 – paragraph 1 – point 7
Regulation (EC) No 561/2006
Article 12 – paragraph 2
Provided that road safety is not thereby jeopardised, the driver may depart from Article 8(2) and the second subparagraph of Article 8(6) to be able to reach a suitable accommodation as referred to in Article 8(8a) to take a daily or weekly rest there. Such a departure shall not result in exceeding daily or weekly driving times or shortening daily or weekly rest periods. The driver shall indicate the reason for such departure manually on the record sheet of the recording equipment or on a printout from the recording equipment or in the duty roster, at the latest on arrival at the suitable accommodation.
Provided that road safety is not thereby jeopardised, the driver may depart exceptionally from Article 6(1) and (2) after a rest of 30 minutes, so as to be able to reach within two hours the employer's operational centre where the driver is normally based and where the driver’s regular weekly rest shall begin. The driver shall indicate the reason for such departure manually on the printout from the recording equipment. This period of up to two hours shall be compensated by an equivalent period of rest taken en bloc with any rest period, by the end of the third week following the week in question.
Amendment 392
Proposal for a regulation
Article 1 – paragraph 1 – point 7 a (new)
Regulation (EC) No 561/2006
Article 13 – paragraph 1 – point d
(7a)  In Article 13(1), point (d) is replaced by the following:
(d)  vehicles or combinations of vehicles with a maximum permissible mass not exceeding 7,5 tonnes used by universal service providers as defined in Article 2(13) of 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 to deliver items as part of the universal service.
(d) vehicles or combinations of vehicles with a maximum permissible mass not exceeding 7,5 tonnes used by universal service providers as defined in Article 2 (13) of 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 to deliver items as part of postal items as defined in Article 2(6) of Directive 97/67/EC.”
Amendment 393
Proposal for a regulation
Article 1 – paragraph 1 – point 7 b (new)
Regulation (EC) No 561/2006
Article 13 – paragraph 1 – point e
(7b)   In Article 13(1), point (e) is replaced by the following:
(e)  vehicles operating exclusively on islands not exceeding 2 300 square kilometres in area which are not linked to the rest of the national territory by a bridge, ford or tunnel open for use by motor vehicles;
"(e) vehicles operating exclusively on islands or regions isolated from the rest of the national territory not exceeding 2 300 square kilometres in area which are not connected to the rest of the national territory by a bridge, ford or tunnel open for use by motor vehicles, and which do not border another Member State;"
Amendment 394
Proposal for a regulation
Article 1 – paragraph 1 – point 7 c (new)
Regulation (EC) No 561/2006
Article 13 – paragraph 1 – point p a (new)
(7c)  in Article 13(1), the following point is added:
"(pa) vehicles or combinations of vehicles with a maximum permissible mass not exceeding 44 tonnes employed by a construction undertaking up to a 100 km radius from the base of the undertaking, and on condition that driving the vehicles does not constitute the driver's main activity;"
Amendment 395
Proposal for a regulation
Article 1 – paragraph 1 – point 8
Regulation (EC) No 561/2006
Article 14 – paragraph 2
2.  In urgent cases Member States may grant, under exceptional circumstances, a temporary exception for a period not exceeding 30 days, which shall be duly justified and notified immediately to the Commission.
2.  In urgent cases Member States may grant, under exceptional circumstances, a temporary exception for a period not exceeding 30 days, which shall be duly justified and notified immediately to the Commission.
This information shall be published on a dedicated public website maintained by the Commission in all EU languages.
Amendment 396
Proposal for a regulation
Article 1 – paragraph 1 – point 9
Regulation (EC) 561/2006
Article 15
Member States shall ensure that drivers of vehicles referred to in Article 3(a) are governed by national rules which provide adequate protection in terms of permitted driving times and mandatory breaks and rest periods. Member States shall inform the Commission about the relevant national rules applicable to such drivers.
Member States shall ensure that drivers of vehicles referred to in Article 3(a) are governed by national rules which provide adequate protection in terms of permitted driving times and mandatory breaks and rest periods. It is in the interests of drivers’ working conditions, as well as road safety and enforcement that Member States provide parking and rest areas, free from snow and ice in the wintertime, especially in the outermost and/or peripheral regions of the European Union.
Amendment 397
Proposal for a regulation
Article 1 – paragraph 1 – point 9 a (new)
Regulation (EC) 561/2006
Article 17 – paragraph 3 a (new)
(9a)  In Article 17, the following paragraph is inserted:
"3a. The report shall include an evaluation of the use of autonomous driving systems in the Member States and the possibility for the driver to record the period during which an autonomous driving system is activated and shall be accompanied, if appropriate, by a legislative proposal to amend this Regulation, including the necessary requirements for the driver to record those data in the smart tachograph."
Amendment 398
Proposal for a regulation
Article 1 – paragraph 1 – point 10
Regulation (EC) 561/2006
Article 19 – paragraph 1
1.  Member States shall lay down rules on penalties applicable to infringements of this Regulation and Regulation (EU) No 165/2014 and shall take all measures necessary to ensure that they are implemented. Those penalties shall be effective, proportionate to their gravity as determined in accordance with Annex III to Directive 2006/22/EC of the European Parliament and of the Council12, dissuasive and non-discriminatory. No infringement of this Regulation and Regulation (EU) No 165/2014 shall be subjected to more than one penalty or procedure. The Member States shall notify the Commission of those measures and the rules on penalties by the date specified in the second subparagraph of Article 29. They shall notify without delay any subsequent amendments thereto. The Commission shall inform Member States accordingly.
1.  Member States shall lay down rules on penalties applicable to infringements of this Regulation and Regulation (EU) No 165/2014 and shall take all measures necessary to ensure that they are implemented. Those penalties shall be effective and proportionate to the gravity of the infringements, as indicated in Annex III to Directive 2006/22/EC of the European Parliament and of the Council12, dissuasive and non-discriminatory. No infringement of this Regulation and of Regulation (EU) No 165/2014 shall be subject to more than one penalty or procedure. The Member States shall, by the date specified in the second subparagraph of Article 29, notify the Commission of those rules and measures, along with the method and criteria chosen at national level for assessing their proportionality. The Member States shall notify without delay any subsequent amendment affecting them. The Commission shall inform Member States of those rules and measures, and of any amendments thereto.
This information shall be published on a dedicated public website maintained by the Commission in all EU languages, containing detailed information on such penalties applicable in EU Member States.
__________________
__________________
12 Directive 2006/22/EC of the European Parliament and of the Council of 15 March 2006 on minimum conditions for the implementation of Council Regulations (EEC) No 3820/85 and (EEC) No 3821/85 concerning social legislation relating to road transport activities and repealing Council Directive 88/599/EEC (OJ L 102, 11.4.2006, p. 35).
12 Directive 2006/22/EC of the European Parliament and of the Council of 15 March 2006 on minimum conditions for the implementation of Council Regulations (EEC) No 3820/85 and (EEC) No 3821/85 concerning social legislation relating to road transport activities and repealing Council Directive 88/599/EEC (OJ L 102, 11.4.2006, p. 35).
Amendment 399
Proposal for a regulation
Article 1 – paragraph 1 – point 12
Regulation (EC) 561/2006
Article 25 – paragraph 2
2.  In the cases referred to in paragraph 1 the Commission shall adopt implementing acts setting out common approaches in accordance with the advisory procedure referred to in Article 24(2).
2.  In the cases referred to in paragraph 1 the Commission shall adopt implementing acts setting out common approaches for the implementation of this Regulation, in accordance with the advisory procedure referred to in Article 24(2).
Amendment 400
Proposal for a regulation
Article 1 – paragraph 1 – point 12 a (new)
Regulation (EC) 561/2006
Annex (new)
(12a)  The following Annex is added:
"Minimum requirements for the parking areas
Part A: Service facilities
1)  Toilets with water taps, clean, in working condition and checked regularly:
—  up to 10 places, at least one toilet block with four toilets;
—  from 10 up to 25 places, at least one toilet block with eight toilets;
—  from 25 up to 50 places, at least two toilet blocks with 10 toilets each;
—  from 50 up to 75 places, at least two toilet blocks with 15 toilets each;
—  from 75 up to 125 places, at least four toilet blocks with 15 toilets each;
—  over 125 places, at least six toilet blocks with 15 toilets each.
2)  Showers clean, in working condition and checked regularly:
—  up to 10 places, at least one shower block with two showers;
—  from 25 up to 50 places, at least two shower blocks with five showers each;
—  from 50 up to 75 places, at least two shower blocks with 10 showers each;
—  from 75 up to 125 places, at least four shower blocks with 12 showers each;
—  over 125 places, at least six shower blocks with 15 showers each.
3)  Adequate access to drinking water;
4)  Suitable cooking facilities, snack-bar or restaurant;
5)  Shop present with variety of food, beverages etc. at the site or nearby;
6)  Waste bins available in adequate amount and capacity;
7)  Shelter against rain or sun near parking area;
8)  Contingency plan/ management available/ emergency contacts known to the staff;
9)  Picnic tables with benches or alternatives available in reasonable amount;
10)  Dedicated Wi-Fi service;
11)  Cashless reservation, payment and invoice system;
12)  Indication system of slot availability both at the location and online;
13)  The facilities are gender friendly.
Part B: Security features
1)  A continuous separation of the parking area and its surroundings, such as fences or alternative barriers, which prevents casual entry and intentional unlawful entry or delays the entry;
2)  Only users of the truck parking area and truck parking area staff are to be given access to the parking;
3)  Digital recording (at least 25fps) in place. The system records either continuously or in motion detection mode;
4)  CCTV system that has the possibility to cover the whole fence ensuring that all activities near or at the fence can be clearly recorded (CCTV recording view);
5)  Site surveillance by patrols or otherwise;
6)  Each crime incident shall be reported to the truck parking area staff and the police. If possible the vehicle has to be kept stationary pending instructions from police;
7)  Lighted driving and pedestrian lanes at all times;
8)  Pedestrian safety in the dedicated parking areas;
9)  Parking area surveillance through appropriate and proportionate security checks;
10)  Clearly indicated phone number(s) of emergency services."
Amendment 401
Proposal for a regulation
Article 2 – paragraph 1 – point -1 (new)
Regulation (EU) No 165/2014
Article 1 – paragraph 1
(-1)  Article 1, paragraph 1 is replaced by the following:
1.  This Regulation sets out obligations and requirements in relation to the construction, installation, use, testing and control of tachographs used in road transport, in order to verify compliance with Regulation (EC) No 561/2006, Directive 2002/15/EC of the European Parliament and of the Council14 and Council Directive 92/6/EEC15.
1. This Regulation sets out obligations and requirements in relation to the construction, installation, use, testing and control of tachographs used in road transport, in order to verify compliance with Regulation (EC) No 561/2006, Directive 2002/15/EC of the European Parliament and of the Council14 and Council Directive 92/6/EEC15, Regulation (EC) No 1072/2009, Council Directive 92/106/EEC15a, Directive 96/71/EC and Directive 2014/67/EU as far as the posting of workers in road transport is concerned, and with the Directive laying down specific rules with respect to Directive 96/71/EC and Directive 2014/67/EU for posting drivers in road transport.”
__________________
__________________
14 Directive 2002/15/EC of the European Parliament and of the Council of 11 March 2002 on the organisation of the working time of persons performing mobile road transport activities (OJ L 80, 23.3.2002, p. 35).
14 Directive 2002/15/EC of the European Parliament and of the Council of 11 March 2002 on the organisation of the working time of persons performing mobile road transport activities (OJ L 80, 23.3.2002, p. 35).
15 Council Directive 92/6/EEC of 10 February 1992 on the installation and use of speed limitation devices for certain categories of motor vehicles in the Community (OJ L 57, 2.3.1992, p. 27).
15 Council Directive 92/6/EEC of 10 February 1992 on the installation and use of speed limitation devices for certain categories of motor vehicles in the Community (OJ L 57, 2.3.1992, p. 27).
15a Council Directive 92/106/EEC of 7 December 1992 on the establishment of common rules for certain types of combined transport of goods between Member States (OJ L 368, 17.12.1992, p. 38).
Amendment 402
Proposal for a regulation
Article 2 – paragraph 1 – point -1 a (new)
Regulation (EU) No 165/2014
Article 2 – paragraph 2 – point h a (new)
(-1a)  In Article 2(2), the following point is inserted:
"(ha) ‘smart tachograph’ means a digital tachograph using a positioning service based on a satellite navigation system automatically determining its position in accordance with this Regulation;"
Amendment 403
Proposal for a regulation
Article 2 – paragraph 1 – point -1 b (new)
Regulation (EU) No 165/2014
Article 3 – paragraph 4
(-1b)  In Article 3, paragraph 4 is replaced by the following:
4.  15 years after newly registered vehicles are required to have a tachograph as provided in Articles 8, 9 and 10, vehicles operating in a Member State other than their Member State of registration shall be fitted with such a tachograph.
“4. No later than1... [OJ: 3 years after the entry into force of this amending Regulation], the following vehicles shall be fitted with a smart tachograph:
(a)  vehicles operating in a Member State other than their Member State of registration which are fitted with an analogue tachograph,
(b)  vehicles operating in a Member State other than their Member State of registration which are fitted with a digital tachograph complying with the specifications in Annex IB to Council Regulation (EEC) No 3821/85 applicable until 30 September 2011; or
(c)  vehicles operating in a Member State other than their Member State of registration which are fitted with a digital tachograph complying with the specifications in Annex IB to Council Regulation (EEC) No 3821/85 applicable from 1 October 2011.”
__________________
Assuming the entry into force of the road package in 2019, the Commission’s implementing act for smart tachograph version 2 by 2019/2020 (see Art. 11 below), applying thereafter a staggered approach to retrofitting.
Amendment 404
Proposal for a regulation
Article 2 – paragraph 1 – point -1 c (new)
Regulation (EU) No 165/2014
Article 3 – paragraph 4 a (new)
(-1c)  In Article 3, the following paragraph is inserted:
“4a. By... [OJ: 4 years after the entry into force of this amending Regulation], vehicles operating in a Member State other than their Member State of registration which are fitted with a digital tachograph complying with Annex IB to Council Regulation (EEC) No 3821/85 applicable from 1 October 2012 shall be fitted with a smart tachograph.”
Amendment 405
Proposal for a regulation
Article 2 – paragraph 1 – point -1 d (new)
Regulation (EU) No 165/2014
Article 3 – paragraph 4 b (new)
(-1d)  In Article 3, the following paragraph is inserted:
“4b. By... [OJ: 5 years after the entry into force of this amending Regulation], vehicles operating in a Member State other than their Member State of registration which are fitted with a smart tachograph complying with Annex IC to Commission Implementing Regulation (EU) 2016/7991 shall be fitted with a smart tachograph.”
_____________________________
1 Commission Implementing Regulation (EU) 2016/799 of 18 March 2016 implementing Regulation (EU) No 165/2014 of the European Parliament and of the Council laying down the requirements for the construction, testing, installation, operation and repair of tachographs and their components (OJ L 139, 26.5.2016, p. 1.)
Amendment 406
Proposal for a regulation
Article 2 – paragraph 1 – point -1 e (new)
Regulation (EU) No 165/2014
Article 4 – paragraph 2 – indent 3 a (new)
(-1e)   In Article 4(2), the following indent is inserted:
“- have enough memory capacity to store all of the data required under this Regulation;”;
Amendment 407
Proposal for a regulation
Article 2 – paragraph 1 – point -1 f (new)
Regulation (EU) No 165/2014
Article 7 – paragraph 1
(-1f)  in Article 7, paragraph 1 is replaced by the following:
1.  Member States shall ensure that the processing of personal data in the context of this Regulation is carried out solely for the purpose of verifying compliance with this Regulation and with Regulation (EC) No 561/2006, in accordance with Directives 95/46/EC and 2002/58/EC and under the supervision of the supervisory authority of the Member State referred to in Article 28 of Directive 95/46/EC.
"1. Member States shall ensure that the processing of personal data in the context of this Regulation is carried out solely for the purpose of verifying compliance with this Regulation and with Regulation (EC) No 561/2006, Directive 2002/15/EC, Council Directive 92/6/EEC, Council Directive 92/106/EEC, Regulation (EC) No 1072/2009, Directive 96/71/EC and Directive 2014/67/EU as far as posting of workers in road transport is concerned, and with the Directive laying down specific rules with respect to Directive 96/71/EC and Directive 2014/67/EU for posting drivers in road transport, in accordance with Regulation (EU) 2016/679 and Directive 2002/58/EC and under the supervision of the supervisory authority of the Member State referred to in Article 51 of Regulation (EU) No 2016/679."
Amendment 408
Proposal for a regulation
Article 2 – paragraph 1 – point -1 g (new)
Regulation (EU) No 165/2014
Article 7 – paragraph 2 – introductory part
2.  Member States shall, in particular, ensure that personal data are protected against uses other than those strictly linked to this Regulation and Regulation (EC) No 561/2006, in accordance with paragraph 1, in relation to:
"2. Member States shall, in particular, ensure that personal data are protected against uses other than those strictly linked to this Regulation and Regulation (EC) 561/2006, Directive 2002/15/EC, Council Directive 92/6/EEC, Council Directive 92/106/EEC, Regulation (EC) No 1072/2009, Directive 96/71/EC and Directive 2014/67/EU as far as posting of workers in road transport is concerned, and with the Directive laying down specific rules with respect to Directive 96/71/EC and Directive 2014/67/EU for posting drivers in road transport, in accordance with paragraph 1, in relation to:"
Amendment 409
Proposal for a regulation
Article 2 – paragraph 1 – point 1
Regulation (EU) No 165/2014
Article 8 – paragraph 1 – subparagraph 1 - indent 2
–  every three hours of accumulated driving time and every time the vehicle crosses the border;
–  every three hours of accumulated driving time and every time the vehicle crosses the border of a Member State;
Amendment 410
Proposal for a regulation
Article 2 – paragraph 1 – point 1
Regulation (EU) No 165/2014
Article 8 – paragraph 1 – subparagraph 1 - indent 2 a (new)
–  every time the vehicle performs loading or unloading activities;
Amendment 411
Proposal for a regulation
Article 2 – paragraph 1 – point 1 a (new)
Regulation (EU) No 165/2014
Article 8 – paragraph 1 – subparagraph 1 a (new)
(1a)  in Article 8(1), the following subparagraph is inserted:
In order to facilitate the verification of compliance by control authorities, the smart tachograph shall also record, if the vehicle has been employed for the carriage of goods or passengers, as required by Regulation (EC) No 561/2006.
Amendment 412
Proposal for a regulation
Article 2 – paragraph 1 – point 1 b (new)
Regulation (EU) No 165/2014
Article 8 – paragraph 1 – subparagraph 2 a (new)
(1b)  In Article 8(1), the following subparagraph is added:
“Vehicles registered for the first time from ... [24 months after the entry into force of this amending Regulation] shall be fitted with a tachograph in accordance with the second indent of the first subparagraph of Article 8(1) and the second subparagraph of Article 8(1) of this Regulation.”,
Amendment 413/rev
Proposal for a regulation
Article 2 – paragraph 1 – point 1 c (new)
Regulation (EU) No 165/2014
Article 9 – paragraph 2
(1c)  in Article 9, paragraph 2 is replaced by the following:
2.  15 years after newly registered vehicles are required to have a tachograph as provided for in this Article and in Articles 8 and 10, Member States shall equip their control authorities to an appropriate extent with remote early detection equipment necessary to permit the data communication referred to in this Article, taking into account their specific enforcement requirements and strategies. Until that time, Member States may decide whether to equip their control authorities with such remote early detection equipment.
2. By … [OJ: 1 year after entry into force of this Regulation], Member States shall equip their control authorities to an appropriate extent with remote early detection equipment necessary to permit the data communication referred to in this Article, taking into account their specific enforcement requirements and strategies. Until that time, Member States may decide whether to equip their control authorities with such remote early detection equipment."
Amendment 414
Proposal for a regulation
Article 2 – paragraph 1 – point 1 d (new)
Regulation (EU) No 165/2014
Article 9 – paragraph 3
(1d)  In Article 9, paragraph 3 is replaced by the following:
3.  The communication referred to in paragraph 1 shall be established with the tachograph only when so requested by the equipment of the control authorities. It shall be secured to ensure data integrity and authentication of the recording and control equipment. Access to the data communicated shall be restricted to control authorities authorised to check infringements of Regulation (EC) No 561/2006 and of this Regulation and to workshops in so far as it is necessary to verify the correct functioning of the tachograph.
"3. The communication referred to in paragraph 1 shall be established with the tachograph only when so requested by the equipment of the control authorities. It shall be secured to ensure data integrity and authentication of the recording and control equipment. Access to the data communicated shall be restricted to control authorities authorised to check infringements of the Union legal acts set out in Article 7(1) and of this Regulation and to workshops in so far as it is necessary to verify the correct functioning of the tachograph."
Amendment 415
Proposal for a regulation
Article 2 – paragraph 1 – point 1 e (new)
Regulation (EU) No 165/2014
Article 11 – paragraph 1
(1e)  in Article 11, paragraph 1 is replaced by the following:
In order to ensure that smart tachographs comply with the principles and requirements set out in this Regulation, the Commission shall, by means of implementing acts, adopt detailed provisions necessary for the uniform application of Articles 8, 9 and 10, excluding any provisions which would provide for the recording of additional data by the tachograph. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 42(3).
"In order to ensure that smart tachographs comply with the principles and requirements set out in this Regulation, the Commission shall, by means of implementing acts, adopt detailed provisions necessary for the uniform application of Articles 8, 9 and 10, excluding any provisions which would provide for the recording of additional data by the tachograph.”;
By … [OJ: 12 months after the entry into force of this amending Regulation], the Commission shall adopt implementing acts laying down detailed rules for recording any border crossing of the vehicle referred to in the second indent of the first subparagraph of Article 8(1) and in the second subparagraph of Article 8(1).
Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 42(3)."
Amendment 416
Proposal for a regulation
Article 2 – paragraph 1 – point 1 f (new)
Regulation (EU) No 165/2014
Article 34 – paragraph 5 – point b – point (iv)
(1f)  in Article 34(5), point b, point iv is replaced by the following:
(iv)  under the sign 20190404-P8_TA-PROV(2019)0340_EN-p0000002.png: breaks or rest.
"(iv) under the sign 20190404-P8_TA-PROV(2019)0340_EN-p0000003.png: breaks, rest, annual leave or sick leave,
under the sign "ferry/train": In addition to the sign 20190404-P8_TA-PROV(2019)0340_EN-p0000004.png: the rest period spending on a ferry or train as required by Article 9 of Regulation (EC) 561/2006."
Amendment 417
Proposal for a regulation
Article 2 – paragraph 1 – point 2
Regulation (EU) No 165/2014
Article 34 – paragraph 7 – subparagraph 1
7.  The driver shall enter in the digital tachograph the symbols of the countries in which the daily working period started and finished as well as where and when the driver has crossed a border in the vehicle on arrival at the suitable stopping place. Member States may require drivers of vehicles engaged in transport operations inside their territory to add more detailed geographic specifications to the country symbol, provided that those Member States have notified those detailed geographic specifications to the Commission before 1 April 1998.
7.  Where the tachograph is not able to automatically record the border crossing, the driver shall at the first possible and available stopping place enter the symbols of the countries in which the daily working period started and finished as well as where and when the driver has crossed a border. The country’s code after crossing a border into a new country shall be entered under the heading BEGIN on the tachograph. Member States may require drivers of vehicles engaged in transport operations inside their territory to add more detailed geographic specifications to the country symbol, provided that those Member States have notified those detailed geographic specifications to the Commission before 1 April 1998.”
Amendment 418
Proposal for a regulation
Article 2 – paragraph 1 – point 2 a (new)
Regulation (EU) No 165/2014
Article 34 – paragraph 7 a (new)
(2a)   in Article 34, the following paragraph is added:
"7a. Drivers shall be provided with training on how to correctly use a tachograph in order to achieve full use of the equipment. The driver must not be responsible for the cost of their training, which should be provided by their employer.";
Amendment 419
Proposal for a regulation
Article 2 – paragraph 1 – point 2 b (new)
Regulation (EU) No 165/2014
Article 34 – paragraph 7 b (new)
(2b)   In Article 34, the following paragraph is added:
"7b. The maximum amount of control authorities should be trained on how to correctly read and monitor a tachograph."
Amendment 420
Proposal for a regulation
Article 2 – paragraph 1 – point 2 c (new)
Regulation (EU) No 165/2014
Article 36 – paragraph 1 – point i
(2c)  in Article 36(1), point (i) is replaced by the following:
(i)   the record sheets for the current day and those used by the driver in the previous 28 days,
"(i) the record sheets for the current day and those used by the driver in the previous 56 days,"
Amendment 421
Proposal for a regulation
Article 2 – paragraph 1 – point 2 d (new)
Regulation (EU) No 165/2014
Article 36 – paragraph 1 – point iii
(2d)  in Article 36(1), point (iii) is replaced by the following:
(iii)  any manual records and printouts made during the current day and the previous 28 days as required under this Regulation and Regulation (EC) No 561/2006.
"(iii) any manual records and printouts made during the current day and the previous 56 days as required under this Regulation and Regulation (EC) No 561/2006."
Amendment 422
Proposal for a regulation
Article 2 – paragraph 1 – point 2 e (new)
Regulation (EU) No 165/2014
Article 36 – paragraph 2 – point ii
(2e)  in Article 36(2), point (ii) is replaced by the following:
(ii)   any manual records and printouts made during the current day and the previous 28 days as required under this Regulation and Regulation (EC) No 561/2006,
"(ii) any manual records and printouts made during the current day and the previous 56 days as required under this Regulation and Regulation (EC) No 561/2006,"

(1) OJ C 197, 8.6.2018, p. 45.
(2)OJ C 176, 23.5.2018, p. 57.


Adapting to development in the road transport sector ***I
PDF 230kWORD 72k
European Parliament legislative resolution of 4 April 2019 on the proposal for a regulation of the European Parliament and of the Council amending Regulation (EC) 1071/2009 and Regulation (EC) 1072/2009 with a view to adapting them to developments in the sector (COM(2017)0281 – C8-0169/2017 – 2017/0123(COD))
P8_TA-PROV(2019)0341A8-0204/2018

(Ordinary legislative procedure: first reading)

The European Parliament,

–  having regard to the Commission proposal to Parliament and the Council (COM(2017)0281),

–  having regard to Article 294(2) and Article 91(1) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8‑0169/2017),

–  having regard to Article 294(3) of the Treaty on the Functioning of the European Union,

–  having regard to the opinion of the Economic and Social Committee of 18 January 2018(1),

–  having regard to the opinion of Committee of the Regions of 1 February 2018(2),

–  having regard to Rule 59 of its Rules of Procedure,

–  having regard to the report of the Committee on Transport and Tourism and the opinion of the Committee on Employment and Social Affairs (A8-0204/2018),

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.

Text proposed by the Commission   Amendment
Amendment 110
Proposal for a regulation
Recital 2
(2)  So far, and unless otherwise provided for in national law, the rules on access to the occupation of road transport operator do not apply to undertakings engaged in the occupation of road haulage operator solely by means of motor vehicles with a permissible laden mass not exceeding 3.5 tonnes or combinations of vehicles not exceeding that limit. The number of such undertakings which are active in both national and international transport operations has been increasing. As a result, several Member States have decided to apply the rules on access to the occupation of road transport operator, provided for in Regulation (EC) No 1071/2009,to those undertakings. To ensure a minimum level of professionalisation of the sector using vehicles with a permissible laden mass not exceeding 3.5 tonnes by way of common rules, and thus to approximate competitive conditions between all operators, this provision should be deleted, whereas the requirements regarding effective and stable establishment and appropriate financial standing should be rendered mandatory.
(2)  So far, and unless otherwise provided for in national law, the rules on access to the occupation of road transport operator do not apply to undertakings engaged in the occupation of road haulage operator solely by means of motor vehicles with a permissible laden mass, including that of trailers, not exceeding 3.5 tonnes. The number of such undertakings has been increasing. As a result, several Member States have decided to apply the rules on access to the occupation of road transport operator, provided for in Regulation (EC) No 1071/2009, to those undertakings. In order to avoid possible loopholes and to ensure a minimum level of professionalisation of the sector using motor vehicles with a permissible laden mass, including that of trailers, of 2.4 to 3.5 tonnes for international transport by way of common rules, and thus to approximate competitive conditions between all operators, the requirements for engagement in the occupation of road transport operator should apply equally, while avoiding a disproportionate administrative burden. Since this Regulation only applies to undertakings transporting goods for hire or reward, undertakings performing transport operations for own account are not covered by this provision.
Amendment 111
Proposal for a regulation
Recital 2 a (new)
(2a)  In its impact assessment, the Commission estimates savings for businesses in the range of EUR 2,7 to 5,2 billion in the period 2020-2035.
Amendment 112
Proposal for a regulation
Recital 4
(4)  It is necessary to ensure that road transport operators established in a Member State have a real and continuous presence in that Member State and conduct their business from there. Therefore, and in light of experience, it is necessary to clarify the provisions regarding the existence of an effective and stable establishment.
(4)  In order to combat the phenomenon of so-called ‘letterbox companies’ and guarantee fair competition and a level playing field in the internal market, clearer establishment criteria, more intensive monitoring and enforcement, and improved cooperation between Member States is necessary. Road transport operators established in a Member State should have a real and continuous presence in that Member State and actually conduct their transport business and perform substantial activities from there. Therefore, and in light of experience, it is necessary to clarify and strengthen the provisions regarding the existence of an effective and stable establishment, while avoiding a disproportionate administrative burden.
Amendment 113
Proposal for a regulation
Recital 7
(7)  In view of their potential to considerably affect the road haulage market, as well as the social protection of workers, serious infringements of Union rules on the posting of workers and the law applicable to contractual obligations should be added to the items relevant to the assessment of good repute.
(7)  In view of their potential to considerably affect the road haulage market, as well as the social protection of workers, serious infringements of Union rules on the posting of workers, cabotage and the law applicable to contractual obligations should be added to the items relevant to the assessment of good repute.
Amendment 114
Proposal for a regulation
Recital 10
(10)  Undertakings engaged in the occupation of road haulage operator solely by means of motor vehicles with a permissible laden mass not exceeding 3.5 tonnes or with combinations of vehicles not exceeding that limit should have a minimum level of financial standing, to ensure that they have the means to carry out operations on a stable and long-lasting basis. However, since the operations concerned are generally of a limited size, the corresponding requirements should be less demanding than those applicable to operators using vehicles or combinations of vehicles above that limit.
(10)  Undertakings engaged in the occupation of road haulage operator solely by means of motor vehicles with a permissible laden mass, including that of trailers, between 2.4 and 3.5 tonnes and engaged in international transport operations, should have a minimum financial standing, to ensure that they have the means to carry out operations on a stable and long-lasting basis. However, since the operations conducted with these vehicles are generally of a limited size, the corresponding requirements should be less demanding than those applicable to operators using vehicles or combinations of vehicles above that limit.
Amendment 115
Proposal for a regulation
Recital 11
(11)  The information about transport operators contained in the national electronic registers should be as complete as possible to allow national authorities in charge of enforcing the relevant rules to have a sufficient overview of the operators being investigated. In particular, information regarding the registration number of the vehicles at the disposal of operators, the number of employees they hire, their risk rating and their basic financial information should allow a better national and cross-border enforcement of the provisions of Regulations (EC) No 1071/2009 and (EC) No 1072/2009. The rules on the national electronic register should therefore be amended accordingly.
(11)  The information about transport operators contained in the national electronic registers should be complete and up-to-date to allow national authorities in charge of enforcing the relevant rules to have a sufficient overview of the operators being investigated. In particular, information regarding the registration number of the vehicles at the disposal of operators, the number of employees they hire and their risk rating should allow a better national and cross-border enforcement of the provisions of Regulations (EC) No 1071/2009 and (EC) No 1072/2009, as well as other relevant Union legislations. Furthermore, in order to provide enforcement officials, including those performing roadside checks, with a clear and complete overview of the transport operators being checked, they should have direct and real-time access to all relevant information. Therefore, the national electronic registers should be truly interoperable and the data contained therein should be directly and in real-time accessible to all designated enforcement officials of all Member States. The rules on the national electronic register should therefore be amended accordingly.
Amendment 116
Proposal for a regulation
Recital 13
(13)  The rules on national transport performed on a temporary basis by non-resident hauliers in a host Member State ('cabotage') should be clear, simple and easy to enforce, while broadly maintaining the level of liberalisation achieved so far.
(13)  The rules on national transport performed on a temporary basis by non-resident hauliers in a host Member State ('cabotage') should be clear, simple and easy to enforce.
Amendment 117
Proposal for a regulation
Recital 14
(14)  To this end, and in order to facilitate checks and to eliminate uncertainty, the limitation on the number of cabotage operations subsequent to an international carriage should be abolished, while the number of days available for such operations should be reduced.
(14)  In order to avoid empty runs, cabotage operations should be allowed, subject to specific restrictions, in the host Member State. To this end, and in order to facilitate checks and to eliminate uncertainty, the limitation on the number of cabotage operations subsequent to an international carriage should be abolished, while the number of days available for such operations should be reduced.
Amendment 118
Proposal for a regulation
Recital 14 a (new)
(14a)  In order to prevent cabotage operations from being carried out on a systematic basis, which could create a permanent or continuous activity that distorts the national market, the period available for cabotage operations in one host Member State should be reduced. In addition, hauliers should not be allowed to carry out new cabotage operations in the same host Member State within a certain time period and until they have performed a new international carriage originating from the Member State where the undertaking is established. This provision is without prejudice to the performance of international transport operations.
Amendment 119
Proposal for a regulation
Recital 15
(15)  The means by which road transport operators can prove compliance with the rules for cabotage operations should be clarified. The use and transmission of electronic transport information should be recognised as such means, which should simplify the provision of relevant evidence and its treatment by the competent authorities. The format used for that purpose should ensure reliability and authenticity. Considering the increasing use of efficient electronic exchange of information in transport and logistics, it is important to ensure coherence in the regulatory frameworks and provisions addressing the simplification of administrative procedures.
(15)  Effective and efficient enforcement of the rules is a prerequisite for fair competition in the internal market. Further digitalisation of enforcement tools is essential in order to free up enforcement capacity, reduce unnecessary administrative burden on international transport operators and in particular SMEs, better target high-risk transport operators and detect fraudulent practices. In order for transport documents to become paperless, the use of electronic documents should in the future become the rule, particularly the electronic consignment note under the Convention on the Contract for the International Carriage of Goods by Road (eCMR). The means by which road transport operators can prove compliance with the rules for cabotage operations should be clarified. The use and transmission of electronic transport information should be recognised as such means, which should simplify the provision of relevant evidence and its treatment by the competent authorities. The format used for that purpose should ensure reliability and authenticity. Considering the increasing use of efficient electronic exchange of information in transport and logistics, it is important to ensure coherence in the regulatory frameworks and provisions addressing the simplification of administrative procedures.
Amendment 120
Proposal for a regulation
Recital 15 a (new)
(15a)  The swift introduction of the smart tachograph is of paramount importance, as it will enable enforcement authorities carrying out roadside checks to detect infringements and abnormalities quicker and more efficiently, which would result in better enforcement of this Regulation.
Amendment 121
Proposal for a regulation
Recital 16
(16)  Transport undertakings are the addressees of the rules on international carriage and are, as such, subject to the consequences of any infringements committed by them. However, in order to prevent abuses by undertakings contracting transport services from road haulage operators, Member States should also provide for sanctions on shippers and freight forwarders in case they knowingly commission transport services which involve infringements of the provisions of Regulation (EC) No 1072/2009.
(16)  Transport undertakings are the addressees of the rules on international carriage and are, as such, subject to the consequences of any infringements committed by them. However, in order to prevent abuses by undertakings contracting transport services from road haulage operators, Member States should also provide for sanctions on consignors, shippers, freight forwarders, contractors and subcontractors where they know that the transport services that they commission involve infringements of the provisions of Regulation (EC) No 1072/2009. When undertakings contracting transport services commission those services from transport undertakings with a low risk rating, their liability should be reduced.
Amendment 122
Proposal for a regulation
Recital 16 a (new)
(16a)   The proposed European Labour Authority aims at supporting and facilitating the cooperation and exchange of information between national competent authorities, with a view to the effective enforcement of relevant Union law. In supporting and facilitating the enforcement of this Regulation, the Authority may play an important role in assisting the exchange of information between competent authorities, in supporting Member States in capacity building through staff exchange and training, and in assisting Member States in organizing concerted checks. This would strengthen the mutual trust between Member States, improve effective cooperation between competent authorities and help fighting fraud and abuse of the rules.
Amendment 123
Proposal for a regulation
Recital 16 b (new)
(16b)   Road transport legislation should be reinforced to ensure a good application and enforcement of the ROME I regulation in a way that labour contracts reflect the habitual place of work of employees. Complementary to, and directly linked with ROME I Regulation are the fundamental rules of Regulation (EC) 1071/2009 intended to fight letterbox companies and to ensure proper establishment criteria of companies. These rules need to be strengthened to guarantee the rights of employees when temporarily working outside their country of habitual work, and to ensure fair competition between transport undertakings.
Amendment 124
Proposal for a regulation
Article 1 – paragraph 1 – point 1 – point a – point i
Regulation (EC) No 1071/2009
Article 1 – paragraph 4 – point a
(i)  point (a) is deleted;
(i)  point (a) is replaced by the following:
(a)  undertakings engaged in the occupation of road haulage operator solely by means of motor vehicles the permissible laden mass of which, including that of trailers, is lower than 2.4 tonnes;
(aa)  undertakings engaged in the occupation of road haulage operator solely by means of motor vehicles the permissible laden mass of which, including that of trailers, is lower than 3.5 tonnes that are engaged exclusively in national transport operations;
Amendment 125
Proposal for a regulation
Article 1 – paragraph 1 – point 1 – point a – point ii
Regulation (EC) No 1071/2009
Article 1 – paragraph 4 – point b – paragraph 2
Any carriage by road for which no remuneration is received and which does not create any income, such as carriage of persons for charity purposes or for strictly private use, is to be considered as carriage exclusively for non-commercial purposes;;
Any carriage by road the purpose of which is not to generate any profit for the driver or others, such as where the service is provided on a charitable or philanthropic basis, is to be considered as carriage exclusively for non-commercial purposes;;
Amendment 126
Proposal for a regulation
Article 1 – paragraph 1 – point 1 – point b
Regulation (EC) No 1071/2009
Article 1 – paragraph 6
(b)  the following paragraph 6 is added:
deleted
‘6. Article 3(1)(b) and (d) and Articles 4, 6, 8, 9, 14, 19 and 21 shall not apply to undertakings engaged in the occupation of road haulage operator solely by means of motor vehicles with a permissible laden mass not exceeding 3.5 tonnes or combinations of vehicles with a permissible laden mass not exceeding 3.5 tonnes.
Member States may, however:
(a)  require those undertakings to apply some or all of the provisions referred to in the first subparagraph;
(b)  lower the limit referred to in the first subparagraph for all or some categories of road transport operations.’;
Amendment 127
Proposal for a regulation
Article 1 – paragraph 1 – point 3 – point a
Regulation (EC) No 1071/2009
Article 5 – paragraph 1 – point a
‘(a) have premises in which it keeps its core business documents, in particular its commercial contracts, accounting documents, personnel management documents, labour contracts, documents containing data relating to driving time and rest and any other document to which the competent authority must have access in order to verify compliance with the conditions laid down in this Regulation;’;
‘(a) have appropriate premises, proportionate to the activities of the undertaking, at which it is able to access the originals of its core business documents, whether in electronic or any other form, in particular its commercial contracts, accounting documents, personnel management documents, labour contracts, social security documents, documents containing data relating to cabotage, posting and driving time and rest and any other document to which the competent authority must have access in order to verify compliance with the conditions laid down in this Regulation;’;
Amendment 128
Proposal for a regulation
Article 1 – paragraph 1 – point 3 – point a a (new)
Regulation (EC) No 1071/2009
Article 5 – paragraph 1 – point a a (new)
(aa)  the following point is inserted:
‘(aa) the vehicles referred to in point (b) shall perform, in the framework of a transport contract, at least one loading or one unloading of goods every four weeks in the Member State of establishment;’;
Amendment 129
Proposal for a regulation
Article 1 – paragraph 1 – point 3 – point b
Regulation (EC) No 1071/2009
Article 5 – paragraph 1 – point c
‘(c) conduct effectively and continuously its administrative and commercial activities with the appropriate administrative equipment and facilities at premises situated in that Member State;’;
‘(c) conduct effectively and continuously its administrative and commercial activities with the appropriate equipment and facilities at premises as referred to in point (a) situated in that Member State;’;
Amendment 130
Proposal for a regulation
Article 1 – paragraph 1 – point 3 – point c
Regulation (EC) No 1071/2009
Article 5 – paragraph 1 – point d
‘(d) manage the transport operations carried out with the vehicles referred to in point (b) with the appropriate technical equiment situated in that Member State;’;
‘(d) manage effectively and continuously the transport operations carried out using the vehicles referred to in point (b) with the appropriate technical equipment situated in that Member State;’;
Amendment 131
Proposal for a regulation
Article 1 – paragraph 1 – point 3 – point d a (new)
Regulation (EC) No 1071/2009
Article 5 – paragraph 1 – point f (new)
(da)  the following point (f) is added:
‘(f) have a clear link between the transport operations carried out and the Member State of establishment, an operating centre and access to sufficient parking places for regular use by the vehicles referred to in point (b);’;
Amendment 132
Proposal for a regulation
Article 1 – paragraph 1 – point 3 – point d b (new)
Regulation (EC) No 1071/2009
Article 5 – paragraph 1 – point g (new)
(db)  the following point (g) is added:
‘(g) recruit and employ drivers under the law applicable to labour contracts of that Member State;’;
Amendment 133
Proposal for a regulation
Article 1 – paragraph 1 – point 3 – point d c (new)
Regulation (EC) No 1071/2009
Article 5 – paragraph 1 – point h (new)
(dc)  the following point (h) is added:
‘(h) ensure that the establishment is the place in which or from which workers habitually carry out their work according to Regulation (EC) No 593/2008 of the European Parliament and of the Council1a and/or the Rome Convention.
_______________________
1a Regulation (EC) No 593/2008 of the European Parliament and of the Council of 17 June 2008 on the law applicable to contractual obligations (Rome I) (OJ L 177, 4.7.2008, p. 6).’
Amendment 134
Proposal for a regulation
Article 1 – paragraph 1 – point 4 – point a – point iii
Regulation (EC) No 1071/2009
Article 6 – subparagraph 3 – point b
(iii)  in point (b) of the third subparagraph the following points (xi) and (xii) are added:
(iii)  in point (b) of the third subparagraph the following points (xi), (xii) and (xiii) are added:
'(xi) the posting of workers;
'(xi) the posting of workers;
(xii)  the law applicable to contractual obligations.';
(xii)  the law applicable to contractual obligations;
(xiii)  cabotage.’;
Amendment 135
Proposal for a regulation
Article 1 – paragraph 1 – point 4 – point c
Regulation (EC) No 1071/2009
Article 6 – paragraph 2 a – subparagraph 2 – point b
(b)  define the degree of seriousness of infringements according to their potential to create a risk of fatalities or serious injuries and to distort competition in the road transport market, including by undermining the working conditions of transport workers;
(b)  define the degree of seriousness of infringements according to their potential to create a risk of fatalities or serious injuries or to distort competition in the road transport market, including by undermining the working conditions of transport workers;
Amendment 136
Proposal for a regulation
Article 1 – paragraph 1 – point 5 – point a
Regulation (EC) No 1071/2009
Article 7 – paragraph 1 – subparagraph 1
‘In order to satisfy the requirement laid down in Article 3(1)(c), an undertaking shall, on a permanent basis, be able to meet its financial obligations in the course of the annual accounting year. The undertaking shall demonstrate, on the basis of annual accounts certified by an auditor or a duly accredited person, that, every year, it has at its disposal equity capital totalling at least EUR 9 000 when only one vehicle is used and EUR 5 000 for each additional vehicle used. Undertakings engaged in the occupation of road haulage operator solely by means of motor vehicles with a permissible laden mass not exceeding 3.5 tonnes or combinations of vehicles with a permissible laden mass not exceeding 3.5 tonnes shall demonstrate, on the basis of annual accounts certified by an auditor or a duly accredited person, that, every year, they have at their disposal equity capital totalling at least EUR 1 800 when only one vehicle is used and EUR 900 for each additional vehicle used.’;
‘In order to satisfy the requirement laid down in Article 3(1)(c), an undertaking shall, on a permanent basis, be able to meet its financial obligations in the course of the annual accounting year. The undertaking shall demonstrate, on the basis of annual accounts certified by an auditor or a duly accredited person, that, every year, it has at its disposal equity capital totalling at least EUR 9 000 when only one vehicle is used, EUR 5 000 for each additional vehicle with a permissible laden mass, including that of trailers, exceeding 3.5 tonnes used and EUR 900 for each additional vehicle with a permissible laden mass, including that of trailers, between 2.4 and 3.5 tonnes used. Undertakings engaged in the occupation of road haulage operator solely by means of motor vehicles with a permissible laden mass, including that of trailers, between 2.4 and 3.5 tonnes shall demonstrate, on the basis of annual accounts certified by an auditor or a duly accredited person, that, every year, they have at their disposal equity capital totalling at least EUR 1 800 when only one vehicle is used and EUR 900 for each additional vehicle used.’;
Amendment 137
Proposal for a regulation
Article 1 – paragraph 1 – point 5 – point b
Regulation (EC) No 1071/2009
Article 7 – paragraph 2 – subparagraph 1
2.  By way of derogation from paragraph 1, in the absence of certified annual accounts the competent authority shall agree that an undertaking demonstrate its financial standing by means of a certificate, such as a bank guarantee, a document issued by a financial institution establishing access to credit in the name of the undertaking, or another binding document proving that the undertaking has at its disposal the amounts specified in the first subparagraph of paragraph 1.;
2.  By way of derogation from paragraph 1, in the absence of certified annual accounts the competent authority shall agree that an undertaking demonstrate its financial standing by means of a certificate, such as a bank guarantee or an insurance, including a professional liability insurance from one or more banks or other financial institutions including insurance companies, or another binding document providing a joint and several guarantee for the undertaking in respect of the amounts specified in the first subparagraph of paragraph 1;
Amendment 138
Proposal for a regulation
Article 1 – paragraph 1 – point 5 a (new)
Regulation (EC) No 1071/2009
Article 8 – paragraph 5
(5a)  in Article 8, paragraph 5 is replaced by the following:
Member States may promote periodic training on the subjects listed in Annex I at 10-year intervals to ensure that transport managers are aware of developments in the sector.
"Member States may promote periodic training on the subjects listed in Annex I at three-year intervals to ensure that the person or persons referred to in paragraph 1 are sufficiently aware of developments in the sector.
Amendment 139
Proposal for a regulation
Article 1 – paragraph 1 – point 8
Regulation (EC) No 1071/2009
Article 12 – paragraph 2 – subparagraph 2
(8)  in Article 12(2), the second subparagraph is deleted;
(8)  in Article 12(2), the second subparagraph is replaced by the following:
‘Member States shall carry out checks at least every three years to verify that undertakings fulfil the requirements laid down in Article 3.’;
Amendment 140
Proposal for a regulation
Article 1 – paragraph 1 – point 10 a (new)
Regulation (EC) No 1071/2009
Article 14 – paragraph 2
(10a)   Article 14(2) is replaced by the following:
2.  Unless and until a rehabilitation measure is taken in accordance with the relevant provisions of national law, the certificate of professional competence, referred to in Article 8(8), of the transport manager declared to be unfit, shall no longer be valid in any Member State.
2.  Unless and until a rehabilitation measure is taken in accordance with the relevant provisions of national law, the certificate of professional competence, referred to in Article 8(8), of the transport manager declared to be unfit shall no longer be valid in any Member State. The Commission shall draw up a list of rehabilitation measures for regaining good repute.
Amendment 141
Proposal for a regulation
Article 1 – paragraph 1 – point 11 – point a – point -i a (new)
Regulation (EC) No 1071/2009
Article 16 – paragraph 2 – point c
(-ia)  point (c) is replaced by the following:
(c)  the names of the transport managers designated to meet the conditions as to good repute and professional competence or, as appropriate, the name of a legal representative;
(c)  the names of the transport managers designated to meet the requirements laid down in Article 3 relating to good repute and professional competence or, as appropriate, the name of a legal representative;
Amendment 142
Proposal for a regulation
Article 1 – paragraph 1 – point 11 – point a – point i
Regulation (EC) No 1071/2009
Article 16 – paragraph 2 – point h
(h)  the number of employees;
(h)  the number of people employed in the undertaking during the last calendar year;
Amendment 143
Proposal for a regulation
Article 1 – paragraph 1 – point 11 – point a – point i a (new)
Regulation (EC) No 1071/2009
Article 16 – paragraph 2 – point j a (new)
(ia)  the following point (ja) is added:
(ja)   labour contracts of international drivers of the past six months;
Amendment 144
Proposal for a regulation
Article 1 – paragraph 1 – point 11 – point a – point ii
Regulation (EC) No 1071/2009
Article 16 – paragraph 2 – subparagraph 2
Member States may choose to keep the data referred to in points (e) to (j) of the first subparagraph in separate registers. In such a case, the relevant data shall be available upon request or directly accessible to all the competent authorities of the Member State in question. The requested information shall be provided within five working days of receipt of the request. The data referred to in points (a) to (d) of the first subparagraph shall be publicly accessible, in line with the relevant provisions on personal data protection.
The data referred to in points (a) to (d) of the first subparagraph shall be publicly accessible, in line with the relevant provisions on personal data protection.
Amendment 145
Proposal for a regulation
Article 1 – paragraph 1 – point 11 – point a – point ii
Regulation (EC) No 1071/2009
Article 16 – paragraph 2 – subparagraph 3
In any case, the data referred to in points (e) to (j) of the first subparagraph shall only be accessible to authorities other than the competent authorities where they are duly endowed with powers relating to supervision and the imposition of penalties in the road transport sector and their officials are sworn to, or otherwise are under a formal obligation of secrecy.;
The data referred to in points (e) to (j) of the first subparagraph shall only be accessible to authorities other than the competent authorities where they are duly endowed with powers relating to supervision and the imposition of penalties in the road transport sector and their officials are sworn to, or otherwise are under a formal obligation of secrecy.
Amendment 146
Proposal for a regulation
Article 1 – paragraph 1 – point 11 – point a – point ii
Regulation (EC) No 1071/2009
Article 16 – paragraph 2
'Member States may choose to keep the data referred to in points (e) to (j) of the first subparagraph in separate registers. In such a case, the relevant data shall be available upon request or directly accessible to all the competent authorities of the Member State in question. The requested information shall be provided within five working days of receipt of the request. The data referred to in points (a) to (d) of the first subparagraph shall be publicly accessible, in line with the relevant provisions on personal data protection.
'Member States may choose to keep the data referred to in points (e) to (j) of the first subparagraph in separate registers. In such a case, the relevant data shall be available upon request or directly accessible to all the competent authorities of the Member State in question. The requested information shall be provided within five working days of receipt of the request. The data referred to in points (a) to (d) of the first subparagraph shall be publicly accessible, in line with the relevant provisions on personal data protection.
In any case, the data referred to in points (e) to (j) of the first subparagraph shall only be accessible to authorities other than the competent authorities where they are duly endowed with powers relating to supervision and the imposition of penalties in the road transport sector and their officials are sworn to, or otherwise are under a formal obligation of secrecy.';
In any case, the data referred to in points (e) to (j) of the first subparagraph shall only be accessible to authorities other than the competent authorities where they are duly endowed with powers relating to supervision and the imposition of penalties in the road transport sector and their officials are sworn to, or otherwise are under a formal obligation of secrecy.
For the purpose of Article 14a of Regulation (EC) No 1072/2009, the data referred to in point (j) shall be available upon request to consignors, freight forwarders, contractors and subcontractors.’;
Amendment 147
Proposal for a regulation
Article 1 – paragraph 1 – point 11 – point b a (new)
Regulation (EC) No 1071/2009
Article 16 – paragraph 5
(ba)  paragraph 5 is replaced by the following:
5.  Without prejudice to paragraphs 1 and 2, Member States shall take all necessary measures to ensure that the national electronic registers are interconnected and accessible throughout the Community through the national contact points defined in Article 18. Accessibility through national contact points and interconnection shall be implemented by 31 December 2012 in such a way that a competent authority of any Member State is able to consult the national electronic register of any Member State.
'5. In order to increase the effectiveness of cross-border enforcement, Member States shall ensure that the national electronic registers are interconnected and interoperable throughout the Union via the European Register of Road Transport Undertakings (ERRU) referred to in Commission Implementing Regulation (EU) 2016/480, so that the data referred to in paragraph 2 is directly accessible to all competent enforcement authorities and control bodies of all Member States in real-time.';
Amendment 148
Proposal for a regulation
Article 1 – paragraph 1 – point 11 – point b b (new)
Regulation (EC) No 1071/2009
Article 16 – paragraph 6
(bb)  paragraph 6 is replaced by the following:
6.  Common rules concerning the implementation of paragraph 5, such as the format of the data exchanged, the technical procedures for electronic consultation of the national electronic registers of the other Member States and the promotion of the interoperability of these registers with other relevant databases, shall be adopted by the Commission in accordance with the advisory procedure referred to in Article 25(2) and for the first time before 31 December 2010. Those common rules shall determine which authority is responsible for access to data and further use and updating of data after access and, to this effect, shall include rules on data logging and data monitoring.
‘6. The Commission is empowered to adopt delegated acts in accordance with Article 24a to establish and update common rules to ensure that the national electronic registers are fully interconnected and interoperable, so that a competent authority or control body in any Member State is able to directly and in real-time access the national electronic register of any Member State as stipulated in paragraph 5. Such common rules shall include rules on the format of the data exchanged, the technical procedures for electronic consultation of the national electronic registers of the other Member States and the interoperability of these registers, as well as specific rules concerning access to data, data logging and data monitoring.’;
"
Amendment 149
Proposal for a regulation
Article 1 – paragraph 1 – point 12
Regulation (EC) No 1071/2009
Article 18 – paragraph 1
1.  Member States shall designate a national contact point responsible for the exchange of information with the other Member States on the application of this Regulation. Member States shall inform the Commission of the names and addresses of their national contact points by 31 December 2018. The Commission shall draw up a list of all contact points and forward it to the Member States.Member States shall immediately communicate to the Commission any changes to the contact points.
1.  The competent authorities of the Member States shall cooperate closely and swiftly provide one another with mutual assistance and any other relevant information in order to facilitate the implementation and enforcement of this Regulation.
Amendment 150
Proposal for a regulation
Article 1 – paragraph 1 – point 12
Regulation (EC) No 1071/2009
Article 18 – paragraph 1 a (new)
1a.  For the purposes of paragraph 1, administrative cooperation provided for in this Article shall be implemented through the Internal Market Information System (IMI), established by Regulation (EU) No 1024/2012 of the European Parliament and of the Council1a, which allows all operators to provide data in their own languages.
__________________
1a Regulation (EU) No 1024/2012 of the European Parliament and of the Council of 25 October 2012 on administrative cooperation through the Internal Market Information System and repealing Commission Decision 2008/49/EC (‘the IMI Regulation’), (OJ L 316, 14.11.2012, p. 1).
Amendment 151
Proposal for a regulation
Article 1 – paragraph 1 – point 12
Regulation (EC) No 1071/2009
Article 18 – paragraph 3
3.  Member States shall reply to requests for information from all competent authorities of other Member States and, where necessary, carry out checks, inspections and investigations concerning compliance with the requirement laid down in Article 3(1)(a) by road transport operators established in their territory. Requests for information by competent authorities of Member States shall be reasoned. To this end, requests shall include credible indications of possible infringements of Article 3(1)(a).
3.  Member States shall reply to requests for information from all competent authorities of other Member States and carry out checks, inspections and investigations concerning compliance with the requirement laid down in Article 3(1)(a) by road transport operators established in their territory. Requests for information by competent authorities of Member States shall be duly justified and reasoned. To this end, requests shall include credible indications of possible infringements of Article 3(1)(a).
Amendment 152
Proposal for a regulation
Article 1 – paragraph 1 – point 12
Regulation (EC) No 1071/2009
Article 18 – paragraph 4
4.  Where the requested Member State considers that the request is insufficiently reasoned,it shall inform the requesting Member State accordingly within ten working days. The requesting Member State shall further substantiate the request. Where this is not possible, the request may be rejected by the Member State.
4.  Where the requested Member State considers that the request is insufficiently reasoned, it shall inform the requesting Member State accordingly within five working days. The requesting Member State shall further substantiate the request. Where this is not possible, the request may be rejected by the Member State.
Amendment 153
Proposal for a regulation
Article 1 – paragraph 1 – point 12
Regulation (EC) No 1071/2009
Article 18 – paragraph 5
5.  Where it is difficult or impossible to comply with a request for information or to carry out checks, inspections or investigations, the Member State in question shall inform the requesting Member State accordingly within ten working days, with reasons. The Member States concerned shall discuss with each other with a view to finding a solution for any difficulty raised.
5.  Where it is difficult or impossible to comply with a request for information or to carry out checks, inspections or investigations, the Member State in question shall inform the requesting Member State accordingly within five working days, duly justifying that difficulty or impossibility. The Member States concerned shall cooperate with each other with a view to finding a solution for any difficulty raised. In the event of any persisting problem in the exchange of information, or of a permanent refusal to supply information without proper justification, the Commission, being informed and after consulting the Member States concerned, may take all necessary measures to remedy the situation.
Amendment 154
Proposal for a regulation
Article 1 – paragraph 1 – point 12
Regulation (EC) No 1071/2009
Article 18 – paragraph 6
6.  In response to requests under paragraph 3, Member States shall supply the requested information and carry out the required checks, inspections and investigations within twenty-five working days from the receipt of the request, unless they have informed the requesting Member State that the request is insufficiently reasoned or of the impossibility or the difficulties pursuant to paragraphs 4 and 5.
6.  In response to requests under paragraph 3, Member States shall supply the requested information and carry out the required checks, inspections and investigations within fifteen working days from the receipt of the request, unless another time limit is mutually agreed between the Member States concerned or unless they have informed the requesting Member State that the request is insufficiently reasoned or of the impossibility or the difficulties pursuant to paragraphs 4 and 5 and no solution for those difficulties has been found.
Amendment 155
Proposal for a regulation
Article 1 – paragraph 1 – point 12 a (new)
Regulation (EC) No 1071/2009
Article 18 a (new)
(12a)  the following Article 18a is inserted:
‘Article 18a
Accompanying measures
1.  Member States shall take accompanying measures to develop, facilitate and promote exchanges between officials in charge of the administrative cooperation and mutual assistance between Member States as well as those in charge of monitoring the compliance with, and enforcement of, the applicable rules of this Regulation.
2.  The Commission shall provide technical and other support in order to further improve administrative cooperation and increase mutual trust between Member States, including through promoting staff exchanges and joint training programmes, as well as developing, facilitating and promoting best practice initiatives. The Commission may, without prejudice to the prerogatives of the European Parliament and the Council in the budgetary procedure, use available financing instruments to further strengthen capacity building and administrative cooperation between Member States.
3.  Member States shall establish a programme of peer-reviews in which all competent enforcement authorities are to participate, ensuring the appropriate rotation of both the reviewing and the reviewed competent enforcement authorities. Member States shall notify those programmes to the Commission every two years as part of the report on the activities of the competent authorities referred to in Article 26.’;
Amendment 156
Proposal for a regulation
Artice 1 – paragraph 1 – point 16
Regulation (EC) No 1071/2009
Article 26 – paragraph 3 – introductory part
3.  Every year, Member States shall draw up a report on the use of motor vehicles with a permissible laden mass not exceeding 3.5 tonnes or combinations of vehicles with a permissible laden mass not exceeding 3.5 tonnes in their territory and shall forward it to the Commission no later than 30 June of the year after the end of the reporting period. This report shall include:
3.  Every year, Member States shall draw up a report on the use of motor vehicles with a permissible laden mass, including that of trailers, between 2.4 and 3.5 tonnes involved in international transport and established in their territory and shall forward it to the Commission no later than 30 June of the year after the end of the reporting period. This report shall include:
Amendment 157
Proposal for a regulation
Artice 1 – paragraph 1 – point 16
Regulation (EC) No 1071/2009
Article 26 – paragraph 3 – point a
(a)  the number of authorisations granted to operators engaged in the occupation of road haulage operator solely by means of motor vehicles with a permissible laden mass not exceeding 3.5 tonnes or combinations of vehicles with a permissible laden mass not exceeding 3.5 tonnes;
(a)  the number of authorisations granted to operators engaged in the occupation of road haulage operator solely by means of motor vehicles with a permissible laden mass, including that of trailers, between 2.4 and 3.5 tonnes involved in international transport;
Amendment 158
Proposal for a regulation
Artice 1 – paragraph 1 – point 16
Regulation (EC) No 1071/2009
Article 26 – paragraph 3 – point b
(b)  the number of vehicles with a permissible laden mass not exceeding 3.5 tonnes registered in the Member State in each calendar year;
(b)  the number of motor vehicles with a permissible laden mass, including that of trailers, between 2.4 and 3.5 tonnes involved in international transport, registered in the Member State in each calendar year;
Amendment 159
Proposal for a regulation
Artice 1 – paragraph 1 – point 16
Regulation (EC) No 1071/2009
Article 26 – paragraph 3 – point c
(c)  the overall number of vehicles with a permissible laden mass not exceeding 3.5 tonnes registered in the Member State as of 31 December of each year;
(c)  the overall number of motor vehicles with a permissible laden mass, including that of trailers, between 2.4 and 3.5 tonnes involved in international transport, registered in the Member State as of 31 December of each year;
Amendment 160
Proposal for a regulation
Artice 1 – paragraph 1 – point 16
Regulation (EC) No 1071/2009
Article 26 – paragraph 3 – point d
(d)  the estimated share of motor vehicles with a permissible laden mass not exceeding 3.5 tonnes or combinations of vehicles with a permissible laden mass not exceeding 3.5 tonnes in the overall road transport activity of all vehicles registered in the Member State, broken down by national, international and cabotage operations.
(d)  the estimated share of motor vehicles with a permissible laden mass, including that of trailers, between 2.4 and 3.5 tonnes, as well as those under 2.4 tonnes, in the overall road transport activity of all vehicles registered in the Member State, broken down by national, international and cabotage operations.
Amendment 161
Proposal for a regulation
Artice 1 – paragraph 1 – point 16
Regulation (EC) No 1071/2009
Article 26 – paragraph 4
4.  On the basis of the information gathered by the Commission under paragraph 3 and of further evidence, the Commission shall,by 31 December 2024 at the latest, present a report to the European Parliament and the Council on the evolution of the total number of motor vehicles with a permissible laden mass not exceeding 3.5 tonnes or combinations of vehicles with a permissible laden mass not exceeding 3.5 tonnes engaged in national and international road transport operations. On the basis of this report, it shall reassess whether it is necessary to propose additional measures.
4.  On the basis of the information gathered by the Commission under paragraph 3 and of further evidence, the Commission shall, by 31 December 2024 at the latest, present a report to the European Parliament and the Council on the evolution of the total number of motor vehicles with a permissible laden mass, including that of trailers, between 2.4 and 3.5 tonnes engaged in road transport operations. On the basis of this report, it shall reassess whether it is necessary to propose additional measures.
Amendment 162
Proposal for a regulation
Artice 1 – paragraph 1 – point 16
Regulation (EC) No 1071/2009
Article 26 – paragraph 5
5.  Every year Member States shall report to the Commission on the requests made by them under Article 18(3) and (4), on the replies received from other Member States and on the actions that they have taken on the basis of the information provided.;
5.  Every year Member States shall report to the Commission on the requests made by them under Article 18, on the replies received from other Member States and on the actions that they have taken on the basis of the information provided.
Amendment 163
Proposal for a regulation
Artice 1 – paragraph 1 – point 16 a (new)
Regulation (EC) No 1071/2009
Article 26 – paragraph 5 a (new)
(16a)  The following paragraph 5a is added:
“5a. On the basis of the information gathered by the Commission under paragraph 5 and of further evidence, the Commission shall, by 31 December 2020 at the latest, present a detailed report to the European Parliament and the Council on the extent of administrative cooperation between Member States, on any possible shortcomings in this respect and on possible ways to improve the cooperation. On the basis of this report, it shall assess whether it is necessary to propose additional measures.”.
Amendment 164
Proposal for a regulation
Artice 2 – paragraph 1 – point 1 a (new)
Regulation (EC) No 1072/2009
Article 1 – paragraph 1 – subparagraph 1 b (new)
(1a)  in paragraph 1 of Article 1, the following subparagraph is added:
‘The time limits referred to in articles 8(2) and 8(2a) of this Regulation shall also apply to incoming or outgoing carriage of goods by road as either the domestic initial and/or domestic final leg of a combined transport journey as laid down in Council Directive 92/106/EEC.’
Amendment 165
Proposal for a regulation
Article 2 – paragraph 1 – point 1 b (new)
Regulation (EC) No 1072/2009
Article 1 – paragraph 2
(1b)  Article 1(2) is replaced by the following:
2.  In the event of carriage from a Member State to a third country and vice versa, this Regulation shall apply to the part of the journey on the territory of any Member State crossed in transit. It shall not apply to that part of the journey on the territory of the Member State of loading or unloading, as long as the necessary agreement between the Community and the third country concerned has not been concluded.
‘2. In the event of carriage from a Member State to a third country and vice versa, this Regulation shall apply to the part of the journey on the territory of any Member State crossed in transit. However, this journey in transit shall be excluded from the application of the directive on posted workers. It shall not apply to that part of the journey on the territory of the Member State of loading or unloading, as long as the necessary agreement between the Community and the third country concerned has not been concluded.’
Amendment 166
Proposal for a regulation
Article 2 – paragraph 1 – point 1 c (new)
Regulation (EC) No 1072/2009
Article 1 – paragraph 5 – point c
(1c)  in paragraph 5, point (c) is replaced by the following:
(c)  carriage of goods in motor vehicles the permissible laden mass of which, including that of trailers, does not exceed 3,5 tonnes;
(c)  carriage of goods in motor vehicles the permissible laden mass of which, including that of trailers, is lower than 2,4 tonnes;
Amendment 167
Proposal for a regulation
Article 2 – paragraph 1 – point 2 - point aa (new)
Regulation (EC) No 1072/2009
Article 2 – point 7 a (new)
(aa)  the following point is added:
7a.  'transit' means laden journey by a vehicle through one or more Member States or third countries where the point of departure and the point of arrival is not in those Member States or third countries.
Amendment 168
Proposal for a regulation
Article 2 – paragraph 1 – point 3 – point -a (new)
Regulation (EC) No 1072/2009
Article 4 – paragraph 1 – point b a (new)
(-a)  in paragraph 1, the following point is added:
‘(ba) carries out international transport carriage with vehicles equipped with a smart tachograph as laid down in Article 3 and Chapter II of Regulation (EU) No 165/2014 of the European Parliament and of the Council1a.’
__________________
1a Regulation (EU) No 165/2014 of the European Parliament and of the Council of 4 February 2014 on tachographs in road transport, repealing Council Regulation (EEC) No 3821/85 on recording equipment in road transport and amending Regulation (EC) No 561/2006 of the European Parliament and of the Council on the harmonisation of certain social legislation relating to road transport (OJ L 60, 28.2.2014, p. 1).
Amendment 169
Proposal for a regulation
Article 2 – paragraph 1 – point 5 – point a
Regulation (EC) No 1072/2009
Article 8 – paragraph 2
2.  Once the goods carried in the course of an incoming international carriage from another Member State or from a third country to a host Member State have been delivered, hauliers referred to in paragraph 1 shall be allowed to carry out, with the same vehicle or, in the case of a coupled combination, the motor vehicle of that same vehicle, cabotage operations in the host Member State or in contiguous Member States. The last unloading in the course of a cabotage operation shall take place within 5 days from the last unloading in the host Member State in the course of the incoming international carriage.;
2.  Once the goods carried in the course of an incoming international carriage from another Member State or from a third country to a host Member State have been delivered, hauliers referred to in paragraph 1 shall be allowed to carry out, with the same vehicle or, in the case of a coupled combination, the motor vehicle of that same vehicle, cabotage operations in the host Member State. The last unloading in the course of a cabotage operation shall take place within 3 days from the last unloading in the host Member State in the course of the incoming international carriage, subject to the applicable transport contract;
Amendment 170
Proposal for a regulation
Article 2 – paragraph 1 – point 5 – point a a (new)
Regulation (EC) No 1072/2009
Article 8 – paragraph 2 a (new)
(aa)  the following paragraph is inserted:
‘2a. Following the end of the 3 day period referred to in paragraph 2, hauliers shall not be permitted to carry out with the same vehicle, or, in the case of a coupled combination, with the motor vehicle of that combination, cabotage operations in the same host Member State within 60 hours after the return to the haulier’s Member State of establishment and until they have performed a new international carriage originating from the Member State where the undertaking is established.’
Amendment 171
Proposal for a regulation
Article 2 – paragraph 1 – point 5 – point c
Regulation (EC) No 1072/2009
Article 8 – paragraph 4 a
4a.  Evidence referred to in paragraph 3 shall be presented or transmitted to the authorised inspecting officer of the host Member State on request and within the duration of the roadside check. It may be presented or transmitted electronically, using a revisable structured format which can be used directly for storage and processing by computers, such as the eCMR.* During the roadside check, the driver shall be allowed to contact the head office, the transport manager or any other person or entity which may provide the evidence referred to in paragraph 3.
4a.  Evidence referred to in paragraph 3 shall be presented or transmitted to the authorised inspecting officer of the host Member State on request and within the duration of the roadside check. Member States shall accept that the evidence is presented or transmitted electronically, using a revisable structured format which can be used directly for storage and processing by computers, such as an electronic consignment note under the Convention on the Contract for the International Carriage of Goods by Road (eCMR). During the roadside check, the driver shall be allowed to contact the head office, the transport manager or any other person or entity which may provide the evidence referred to in paragraph 3.
Amendment 172
Proposal for a regulation
Article 2 – paragraph 1 – point 5 a (new)
Regulation (EC) No 1072/2009
Article 9 – paragraph 1 – point e a (new)
(5a)  in Article 9(1), the following point is added:
‘(ea) the remuneration and paid annual leave, as stipulated in points (b) and (c) of the first subparagraph of Article 3(1) of Directive 96/71/EC of the European Parliament and of the Council1a.
__________________
1a Directive 96/71/EC of the European Parliament and of the Council of 16 December 1996 concerning the posting of workers in the framework of the provision of services (OJ L 18, 21.1.1997, p. 1).’
Amendment 173
Proposal for a regulation
Article 2 – paragraph 1 – point 7
Regulation (EC) No 1072/2009
Article 10 a – title
Checks
Smart enforcement
Amendment 174
Proposal for a regulation
Article 2 – paragraph 1 – point 7
Regulation (EC) No 1072/2009
Article 10 a – paragraph 1
1.  Each Member State shall organise checks in such a way that, as from 1 January 2020, in every calendar year at least 2 % of all cabotage operations performed in their territory are checked. They shall increase the percentage to at least 3 % from 1 January 2022. The basis for the calculation of that percentage shall be the total cabotage activity in the Member State in terms of tonnes-kilometres in year t-2, as reported by Eurostat.
1.  In order to further enforce the obligations stipulated under this Chapter, Member States shall ensure that a coherent national enforcement strategy is applied on their territory. That strategy shall focus on undertakings with a high risk rating, referred to in Article 9 of Directive 2006/22/EC of the European Parliament and of the Council.1a
__________________
1a Directive 2006/22/EC of the European Parliament and of the Council of 15 March 2006 on minimum conditions for the implementation of Council Regulations (EEC) No 3820/85 and (EEC) No 3821/85 concerning social legislation relating to road transport activities (OJ L 102, 11.4.2006, p. 35).
Amendment 175
Proposal for a regulation
Article 2 – paragraph 1 – point 7
Regulation (EC) No 1072/2009
Article 10 a – paragraph 1 a (new)
1a.  Each Member State shall ensure that the checks provided for in Article 2 of Directive 2006/22/EC will include, where relevant, a check on cabotage operations.
Amendment 176
Proposal for a regulation
Article 2 – paragraph 1 – point 7
Regulation (EC) No 1072/2009
Article 10 a – paragraph 2 a (new)
2a.  For the purpose of paragraph 2, Member States shall have access to relevant information and data recorded, processed or stored by the smart tachograph referred to in Chapter II of Regulation (EU) No 165/2014 and in electronic transport documents, such as electronic consignment notes under the Convention on the Contract for the International Carriage of Goods by Road (eCMR).
Amendment 177
Proposal for a regulation
Article 2 – paragraph 1 – point 7
Regulation (EC) No 1072/2009
Article 10 a – paragraph 2 b (new)
2b.  Member States shall give access to those data solely to competent authorities authorised to check infringements of legal acts stipulated in this Regulation. Member States shall notify the Commission of contact details of all competent authorities within their territory that they have designated to have access to those data. By [XXX] the Commission shall draw up a list of all competent authorities and forward it to the Member States. The Member States shall notify any subsequent changes thereto without delay.
Amendment 178
Proposal for a regulation
Article 2 – paragraph 1 – point 7
Regulation (EC) No 1072/2009
Article 10 a – paragraph 2 c (new)
2c.  The Commission is empowered to adopt delegated acts in accordance with Article 14b to stipulate the characteristics of the data to which Member States shall have access to, the conditions for their use and the technical specifications for their transmission or access, specifying in particular:
(a)  a detailed list of information and data to which national competent authorities shall have access to, which shall include at least the time and location of border crossings, loading and unloading operations, the registration plate of the vehicle and the driver details;
(b)  the access rights of the competent authorities, differentiated where appropriate according to the type of competent authorities, the type of access and the purpose for which the data is used;
(c)  the technical specifications for the transmission or access to the data referred to in point (a), including, where relevant, the maximum duration that the data is retained, differentiated where appropriate according to the type of data.
Amendment 179
Proposal for a regulation
Article 2 – paragraph 1 – point 7
Regulation (EC) No 1072/2009
Article 10 a – paragraph 2 d (new)
2d.  Any personal data referred to in this Article shall be accessed or stored for no longer than is strictly necessary for the purposes for which the data were collected or for which they are further processed. Once such data are no longer needed for those purposes, they shall be destroyed.
Amendment 180
Proposal for a regulation
Article 2 – paragraph 1 – point 7
Regulation (EC) No 1072/2009
Article 10 a – paragraph 3
3.  Member States shall, at least three times per year, undertake concerted roadside checks on cabotage operations. Such checks shall be undertaken at the same time by the national authorities in charge of enforcing the rules in the field of road transport of two or more Member States, each operating in its own territory. The national contact points designated in accordance with Article 18(1) of Regulation (EC) No 1071/2009 of the European Parliament and of the Council**** shall exchange information on the number and type of infringements detected after the concerted roadside checks have taken place.
3.  Member States shall, at least three times per year, undertake concerted roadside checks on cabotage operations, which may coincide with checks performed in accordance with Article 5 of Directive 2006/22/EC. Such checks shall be undertaken at the same time by the national authorities in charge of enforcing the rules in the field of road transport of two or more Member States, each operating in its own territory. Member States shall exchange information on the number and type of infringements detected after the concerted roadside checks have taken place.
Amendment 181
Proposal for a regulation
Article 2 – paragraph 1 – point 8
Regulation (EC) No 1072/2009
Article 14 a – paragraph 1
Member States shall provide for sanctions against consignors, freight forwarders, contractors and subcontractors for non-compliance with Chapters II and III, where they knowingly commission transport services which involve infringements of this Regulation.
Member States shall provide for effective, proportionate and dissuasive sanctions against consignors, freight forwarders, contractors and subcontractors for non-compliance with Chapters II and III, where they know or ought reasonably to know that the transport services that they commission involve infringements of this Regulation.
Where consignors, freight forwarders, contractors and subcontractors commission transport services from transport undertakings with a low risk rating, as referred to in Article 9 of Directive 2006/22/EC, they shall not be liable for sanctions for infringements, unless it is proved that they had actual knowledge of those infringements.
Amendment 182
Proposal for a regulation
Article 2 – paragraph 1 – point 10
Regulation (EC) No 1072/2009
Article 17 – paragraph 3
3.  By 31 January of every year, at the latest, Member States shall inform the Commission on the number of cabotage checks performed in the previous calendar year pursuant to Article 10a. This information shall include the number of vehicles checked and the number of tonnes-kilometres checked.;
3.  By ... [two years after the date of entry into force of this Regulation], at the latest, Member States shall forward to the Commission their national enforcement strategy adopted pursuant to Article 10a. By 31 January of every year, at the latest, Member States shall inform the Commission on the enforcement operations performed in the previous calendar year pursuant to Article 10a, including, where appropriate, the number of checks performed. This information shall include the number of vehicles checked and the number of tonnes-kilometres checked;
Amendment 183
Proposal for a regulation
Article 2 – paragraph 1 – point 10
Regulation (EC) No 1072/2009
Article 17 – paragraph 3 a (new)
3a.  The Commission shall draw up a report on the state of the Union road transport market by the end of 2022. The report shall contain an analysis of the market situation, including an evaluation of the effectiveness of controls and the evolution of employment conditions in the profession.

(1) OJ C 197, 8.6.2018, p. 38.
(2) OJ C 176, 23.5.2018, p. 57.


Common rules for the internal market for natural gas ***I
PDF 205kWORD 59k
Resolution
Consolidated text
European Parliament legislative resolution of 4 April 2019 on the proposal for a directive of the European Parliament and of the Council amending Directive 2009/73/EC concerning common rules for the internal market in natural gas (COM(2017)0660 – C8-0394/2017 – 2017/0294(COD))
P8_TA-PROV(2019)0342A8-0143/2018

(Ordinary legislative procedure: first reading)

The European Parliament,

–  having regard to the Commission proposal to Parliament and the Council (COM(2017)0660),

–  having regard to Article 294(2) and Article 194(2) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8‑0394/2017),

–  having regard to Article 294(3) of the Treaty on the Functioning of the European Union,

–  having regard to the reasoned opinion submitted, within the framework of Protocol No 2 on the application of the principles of subsidiarity and proportionality, by the French Senate, asserting that the draft legislative act does not comply with the principle of subsidiarity,

–  having regard to the 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 16 May 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 Industry, Research and Energy (A8-0143/2018),

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.

Position of the European Parliament adopted at first reading on 4 April 2019 with a view to the adoption of Directive (EU) 2019/… of the European Parliament and of the Council amending Directive 2009/73/EC concerning common rules for the internal market in natural gas

P8_TC1-COD(2017)0294


(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 194(2) thereof,

Having regard to the proposal from the European Commission,

After transmission of the draft legislative act to the national parliaments,

Having regard to the opinion of the European Economic and Social Committee(3),

Having regard to the opinion of the Committee of the Regions(4),

Acting in accordance with the ordinary legislative procedure(5),

Whereas:

(1)  The internal market in natural gas, which has been progressively implemented throughout the Union since 1999, aims to deliver real choice for all final customers in the Union, be they citizens or businesses, new business opportunities, fair conditions of competition, competitive prices, efficient investment signals and a higher standard of service, and to contribute to security of supply and sustainability.

(2)  Directives 2003/55/EC(6) and 2009/73/EC(7) of the European Parliament and of the Council have made a significant contribution towards the creation of the internal market in natural gas.

(3)  This Directive seeks to address ▌ obstacles to the completion of the internal market in natural gas which result from the non-application of Union market rules to gas transmission lines to and from third countries. The amendments introduced by this Directive are intended to ensure that the rules applicable to gas transmission lines connecting two or more Member States are also applicable, within the Union, to gas transmission lines to and from third countries. This will establish consistency of the legal framework within the Union while avoiding distortion of competition in the internal energy market in the Union and negative impacts on the security of supply. It will also enhance transparency and provide legal certainty to market participants , in particular investors in gas infrastructure and system users, as regards the applicable legal regime.

(4)  To take account of the lack of specific Union rules applicable to gas transmission lines to and from third countries before the date of entry into force of this Directive, Member States should be able to grant derogations from certain provisions of Directive 2009/73/EC to such gas transmission lines which are completed before the date of entry into force of this Directive. The relevant date for the application of unbundling models other than ownership unbundling should be adapted for gas transmission lines to and from third countries.

(5)  Pipelines connecting a third-country oil or gas production project to a processing plant or to a final coastal landing terminal within a Member State should be considered to be upstream pipeline networks. Pipelines connecting an oil or gas production project in a Member State to a processing plant or to a final coastal landing terminal within a third country should not be considered to be upstream pipeline networks for the purpose of this Directive, since such pipelines are unlikely to have a significant impact on the internal energy market.

(6)  Transmission system operators should be free to conclude technical agreements with transmission system operators or other entities in third countries on issues concerning the operation and interconnection of transmission systems, provided that the content of such agreements is compatible with Union law.

(7)  Technical agreements regarding the operation of transmission lines between transmission system operators or other entities should remain in force provided that they comply with Union law and the relevant decisions of the national regulatory authority.

(8)  When such technical agreements are in place, the conclusion of an international agreement between a Member State and a third country or of an agreement between the Union and a third country regarding the operation of the gas transmission line concerned is not required by this Directive.

(9)  The applicability of Directive 2009/73/EC to gas transmission lines to and from third countries remains confined to the territory of the Member States. As regards offshore gas transmission lines, Directive 2009/73/EC should be applicable in the territorial sea of the Member State where the first interconnection point with the Member States’ network is located.

(10)  It should be possible for existing agreements concluded between a Member State and a third country on the operation of transmission lines to remain in force, in accordance with this Directive.

(11)  With regard to agreements or parts of agreements with third countries which may affect common rules of the Union, a coherent and transparent procedure should be established by which to authorise a Member State, upon its request, to amend, extend, adapt, renew or conclude an agreement with a third country on the operation of a transmission line or an upstream pipeline network between the Member State and a third country. The procedure should not delay the implementation of this Directive, should be without prejudice to the allocation of competence between the Union and the Member States, and should apply to existing and new agreements.

(12)  Where it is apparent that the subject matter of an agreement falls partly within the competence of the Union and partly within that of a Member State, it is essential to ensure close cooperation between that Member State and the Union institutions.

(13)  Commission Regulation (EU) 2015/703(8), Commission Regulation (EU) 2017/459(9), Commission Decision 2012/490/EU(10), as well as Chapters III, V, VI and IX, and Article 28 of Commission Regulation (EU) 2017/460(11) apply to entry points from and exit points to third countries, subject to the relevant decisions of the relevant national regulatory authority, whereas Commission Regulation (EU) No 312/2014(12) applies exclusively to balancing zones within the borders of the Union.

(14)   In order to adopt decisions authorising or refusing to authorise a Member State to amend, extend, adapt,renew or conclude an agreement with a third country, 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).

(15)  Since the objective of this Directive, namely to establish consistency of the legal framework within the Union while avoiding distortion of competition in the internal energy market in the Union, cannot be sufficiently achieved by the Member States, but can rather, by reasons of its scale and effects, be better achieved at Union level, the Union may adopt measures in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty on the European Union. In accordance with the principle of proportionality, as set out in that Article, this Directive does not go beyond what is necessary to achieve that objective.

(16)  In accordance with the Joint Political Declaration of 28 September 2011 of Member States and the Commission on explanatory documents(14), Member States have undertaken to accompany, in justified cases, the notification of their transposition measures with one or more documents explaining the relationship between the components of a Directive and the corresponding parts of national transposition instruments. With regard to this Directive, the legislator considers the transmission of such documents to be justified.

(17)  Directive 2009/73/EC should therefore be amended accordingly,

HAVE ADOPTED THIS DIRECTIVE:

Article 1

Amendments to Directive 2009/73/EC

Directive 2009/73/EC is amended as follows:

(1)  in Article 2, point (17) is replaced by the following:"

"(17) ‘interconnector’ means a transmission line which crosses or spans a border between Member States for the purpose of connecting the national transmission system of those Member States or a transmission line between a Member State and a third country up to the territory of the Member States or the territorial sea of that Member State;";

"

(2)  Article 9 is amended as follows:

(a)  in paragraph 8, the first subparagraph is replaced by the following:"

"8. Where on 3 September 2009 the transmission system belonged to a vertically integrated undertaking, a Member State may decide not to apply paragraph 1. As regards the part of the transmission system connecting a Member State with a third country between the border of that Member State and the first connection point with that Member State's network, where on …[date of entry into force of this amending directive] the transmission system belongs to a vertically integrated undertaking, a Member State may decide not to apply paragraph 1.

"

(b)  paragraph 9 is replaced by the following:"

"9. Where on 3 September 2009 the transmission system belonged to a vertically integrated undertaking and arrangements are in place which guarantee more effective independence of the transmission system operator than the provisions of Chapter IV, a Member State may decide not to apply paragraph 1 of this Article.

As regards the part of the transmission system connecting a Member State with a third country between the border of that Member State and the first connection point with that Member State's network, where on … [date of entry into force of this amending directive] the transmission system belongs to a vertically integrated undertaking and arrangements are in place which guarantee more effective independence of the transmission system operator than the provisions of Chapter IV, that Member State may decide not to apply paragraph 1 of this Article.";

"

(3)  in Article 14, paragraph 1 is replaced by the following:"

"1. Where on 3 September 2009 the transmission system belonged to a vertically integrated undertaking, a Member State may decide not to apply Article 9(1) and to designate an independent system operator upon a proposal from the transmission system owner.

As regards the part of the transmission system connecting a Member State with a third country between the border of that Member State and the first connection point with that Member State's network, where on …[date of entry into force of this amending directive] the transmission system belongs to a vertically integrated undertaking, that Member State may decide not to apply Article 9(1) and to designate an independent system operator upon a proposal from the transmission system owner.

The designation of an independent system operator shall be subject to approval by the Commission.";

"

(4)  in Article 34, paragraph 4 is replaced by the following:"

"4. In the event of cross-border disputes, the dispute-settlement arrangements for the Member State having jurisdiction over the upstream pipeline network which refuses access shall be applied. Where, in cross-border disputes, more than one Member State covers the network concerned, the Member States concerned shall consult each other with a view to ensuring that the provisions of this Directive are applied consistently. Where the upstream pipeline network originates from a third country and connects to at least one Member State ▌, the Member States concerned shall consult each other and the Member State where the first entry point to the Member States’ network is located shall consult the ▌ third country concerned where the upstream pipeline network originates, with a view to ensuring, as regards the network concerned, that this Directive is applied consistently in the territory of the Member States.";

"

(5)  Article 36 is amended as follows:

(a)  in paragraph 1, point (e) is replaced by the following:"

"(e) the exemption must not be detrimental to competition in the relevant markets which are likely to be affected by the investment, to the effective functioning of the internal market in natural gas, the efficient functioning of the regulated systems concerned, or to security of supply of natural gas in the Union.";

"

(b)  paragraph 3 is replaced by the following:"

"3. The regulatory authority referred to in Chapter VIII may, on a case-by-case basis, decide on the exemption referred to in paragraphs 1 and 2.

Before the adoption of the decision on the exemption, the national regulatory authority, or where appropriate another competent authority of that Member State, shall consult:

   (a) the national regulatory authorities of the Member States the markets of which are likely to be affected by the new infrastructure; and
   (b) the relevant authorities of the third countries, where the infrastructure in question is connected with the Union network under the jurisdiction of a Member State, and originates from or ends in one or more third countries.

Where the third-country authorities consulted do not respond to the consultation within a reasonable time frame or within a set deadline not exceeding three months, the national regulatory authority concerned may adopt the necessary decision.";

"

(c)  in paragraph 4, the second subparagraph is replaced by the following:"

"Where all the regulatory authorities concerned agree on the request for exemption within six months of the date on which it was received by the last of the regulatory authorities, they shall inform the Agency of their decision. Where the infrastructure concerned is a transmission line between a Member State and a third country, before the adoption of the decision on the exemption, the national regulatory authority, or where appropriate another competent authority of the Member State where the first interconnection point with the Member States’ network is located, may consult the relevant authority of that third country with a view to ensuring, as regards the infrastructure concerned, that this Directive is applied consistently in the territory and, where applicable, in the territorial sea of that Member State. Where the third country authority consulted does not respond to the consultation within a reasonable time or within a set deadline not exceeding three months, the national regulatory authority concerned may adopt the necessary decision.";

"

(6)  in Article 41(1), point (c) is replaced by the following:"

"(c) cooperating with regard to cross-border issues with the regulatory authority or authorities of the Member States concerned and with the Agency ▌. In respect of infrastructure to and from a third country, the regulatory authority of the Member State where the first interconnection point with the Member States’ network is located may cooperate with the relevant authorities of the third country, after consulting the regulatory authorities of other Member States concerned, aiming at, as regards this infrastructure, consistent application of this Directive in the territory of the Member States;";

"

(7)  in Article 42, the following paragraph is added:"

"6. Regulatory authorities, or where appropriate other competent authorities, may consult and cooperate with the relevant authorities of third countries in relation to the operation of gas infrastructure to and from third countries with a view to ensuring, as regards the infrastructure concerned, that this Directive is applied consistently in the territory and territorial sea of a Member State.";

"

(8)  the following Article is inserted:"

"Article 48a

Technical agreements regarding the operation of transmission lines

This Directive does not affect the freedom of transmission system operators or other economic operators to maintain in force or to conclude technical agreements on issues concerning the operation of transmission lines between a Member State and a third country, insofar as those agreements are compatible with Union law and relevant decisions of the national regulatory authorities of the Member States concerned. Such agreements shall be notified to the regulatory authorities of the Member States concerned.";

"

(9)  the following articles are inserted:"

"Article 49a

Derogations in relation to transmission lines to and from third countries

1.  In respect of gas transmission lines between a Member State and a third country completed before … [date of entry into force of this amending Directive], the Member State where the first connection point of such a transmission line with a Member State's network is located may decide to derogate from Articles 9, 10, 11 and 32 and Article 41(6), (8) and (10) for the sections of such gas transmission line located in its territory and territorial sea, for objective reasons such as to enable the recovery of the investment made or for reasons of security of supply, provided that the derogation would not be detrimental to competition on or the effective functioning of the internal market in natural gas, or to security of supply in the Union.

The derogation shall be limited in time up to 20 years based on objective justification, renewable if justified and may be subject to conditions which contribute to the achievement of the above conditions.

Such derogations shall not apply to transmission lines between a Member State and a third country which has the obligation to transpose this Directive and which effectively implements this Directive in its legal order under an agreement concluded with the Union.

2.  Where the transmission line concerned is located in the territory of more than one Member State, the Member State in the territory of which the first connection point with the Member States' network is located shall decide whether to grant a derogation for that transmission line after consulting all the Member States concerned.

Upon request by the Member States concerned, the Commission may decide to act as an observer in the consultation between the Member State in the territory of which the first connection point is located and the third country concerning the consistent application of this Directive in the territory and territorial sea of the Member State where the first interconnection point is located, including the granting of derogations for such transmission lines.

3.  Decisions pursuant to paragraphs 1 and 2 shall be adopted by …[one year after the entry into force of this amending Directive]. Member States shall notify any such decisions to the Commission and shall publish them.

Article 49b

Empowerment procedure

1.  Without prejudice to other obligations under Union law, and to the allocation of competence between the Union and the Member States, existing agreements between a Member State and a third country on the operation of a transmission line or an upstream pipeline network may be maintained in force until the entry into force of a subsequent agreement between the Union and the same third country or until the procedure under paragraphs 2 to 15 of this Article applies.

2.  Without prejudice to the allocation of competence between the Union and the Member States, where a Member State intends to enter into negotiations with a third country in order to amend, extend, adapt, renew or conclude an agreement on the operation of a transmission line with a third country concerning matters falling, entirely or partly, within the scope of this Directive, it shall notify the Commission of its intention in writing.

Such a notification shall include the relevant documentation and an indication of the provisions to be addressed in the negotiations or to be renegotiated, the objectives of the negotiations and any other relevant information, and shall be transmitted to the Commission at least five months before the intended start of the negotiations.

3.  Further to any notification pursuant to paragraph 2, the Commission shall authorise the Member State concerned to enter into formal negotiations with a third country for the part which may affect Union common rules unless it considers that the opening of such negotiations would:

   (a) be in conflict with Union law other than the incompatibilities arising from the allocation of competence between the Union and the Member States;
   (b) be detrimental to the functioning of the internal market in natural gas, competition or security of supply in a Member State or in the Union;
   (c) undermine the objectives of pending negotiations of intergovernmental agreements by the Union with a third country;
   (d) be discriminatory.

4.  When carrying out the assessment under paragraph 3, the Commission shall take into account whether the intended agreement concerns a transmission line or an upstream pipeline that contributes to the diversification of natural gas supplies and suppliers by means of new natural gas sources.

5.  Within 90 days of receipt of the notification referred to in paragraph 2, the Commission shall adopt a decision authorising or refusing to authorise a Member State to enter into negotiations in order to amend, extend, adapt, renew or conclude an agreement with a third country. Where additional information is needed to adopt a decision, the 90-day period shall run from the date of receipt of such additional information.

6.  In the event that the Commission adopts a decision refusing to authorise a Member State to enter into negotiations in order to amend, extend, adapt, renew or conclude an agreement with a third country, it shall inform the Member State concerned accordingly and shall give the reasons therefor.

7.  Decisions authorising or refusing to authorise a Member State to enter into negotiations in order to amend, extend, adapt, renew or conclude an agreement with a third country shall be adopted, by means of implementing acts, in accordance with the procedure referred to in Article 51(2).

8.  The Commission may provide guidance and may request the inclusion of particular clauses in the agreement envisaged, in order to ensure compatibility with Union law in accordance with Decision (EU) 2017/684 of the European Parliament and of the Council*.

9.  The Commission shall be kept informed of the progress and results of the negotiations to amend, extend, adapt, renew or to conclude an agreement throughout the different stages of such negotiations and may request to participate in such negotiations between the Member State and the third country in accordance with Decision (EU) 2017/684.

10.  The Commission shall inform the European Parliament and the Council of the decisions adopted pursuant to paragraph 5.

11.  Before signing an agreement with a third country, the Member State concerned shall notify the Commission of the outcome of negotiations and shall transmit the text of the negotiated agreement to the Commission.

12.  Upon notification pursuant to paragraph 11, the Commission shall assess the negotiated agreement pursuant to paragraph 3. Where the Commission finds that the negotiations have resulted in an agreement which complies with paragraph 3, it shall authorise the Member State to sign and conclude the agreement.

13.  Within 90 days of receipt of the notification referred to in paragraph 11, the Commission shall adopt a decision authorising or refusing to authorise a Member State to sign and conclude the agreement with a third country . Where additional information is needed to adopt a decision, the 90-day period shall run from the date of receipt of such additional information.

14.  Where the Commission adopts a decision pursuant to paragraph 13, authorising a Member State to sign and conclude the agreement with a third country, the Member State concerned shall notify the Commission of the conclusion and entry into force of the agreement, and of any subsequent changes to the status of that agreement.

15.  In the event that the Commission adopts a decision refusing to authorise a Member State to sign and conclude the agreement with a third country pursuant to paragraph 13, , it shall inform the Member State concerned accordingly and shall give the reasons therefor.

________________

* Decision (EU) 2017/684 of the European Parliament and of the Council of 5 April 2017 on establishing an information exchange mechanism with regard to intergovernmental agreements and non-binding instruments between Member States and third countries in the field of energy, and repealing Decision No 994/2012/EU (OJ L 99, 12.4.2017, p. 1).".

"

Article 2

Transposition

1.  Member States shall bring into force the laws, regulations and administrative provisions necessary to comply with this Directive by … [nine months after the date of entry into force of this amending Directive] , without prejudice to any derogation pursuant to Article 49a of Directive 2009/73/EC. They shall communicate to the Commission the text of those provisions forthwith.

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

By way of derogation from the first subparagraph, landlocked Member States which have no geographical borders with third countries and no transmission lines with third countries, shall not be obliged to bring into force measures which are necessary to comply with this Directive.

By way of derogation from the first subparagraph, Cyprus and Malta, as a result of their geographical situation, shall not be obliged to bring into force measures which are necessary to comply with this Directive for as long as they do not have any infrastructures connecting them with third countries, including upstream pipeline networks.

2.  Member States shall communicate to the Commission the text of the main provisions of national law which they adopt in the field covered by this Directive.

Article 3

Entry into force

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

Article 4

Addressees

This Directive is addressed to the Member States.

Done at ,

For the European Parliament For the Council

The President The President

(1) OJ C 262, 25.7.2018, p. 64.
(2) OJ C 361, 5.10.2018, p. 72.
(3)OJ C 262, 25.7.2018, p. 64.
(4)OJ C 361, 5.10.2018, p. 72.
(5)Position of the European Parliament of 4 April 2019.
(6)Directive 2003/55/EC of the European Parliament and of the Council of 26 June 2003 concerning common rules for the internal market in natural gas (OJ L 176, 15.7.2003, p. 57).
(7)Directive 2009/73/EC of the European Parliament and of the Council of 13 July 2009 concerning common rules for the internal market in natural gas and repealing Directive 2003/55/EC (OJ L 211, 14.8.2009, p. 94).
(8)Commission Regulation (EU) 2015/703 of 30 April 2015 establishing a Network Code on interoperability and data exchange rules (OJ L 113, 1.5.2015, p. 13).
(9)Commission Regulation (EU) 2017/459 of 16 March 2017 establishing a network code on capacity allocation mechanisms in gas transmission systems and repealing Regulation (EU) No 984/2013 (OJ L 72, 17.3.2017, p. 1).
(10)Commission Decision 2012/490/EU of 24 August 2012 on amending Annex I to Regulation (EC) No 715/2009 of the European Parliament and of the Council on conditions for access to the natural gas transmission networks (OJ L 231, 28.8.2012, p. 16).
(11)Commission Regulation (EU) 2017/460 of 16 March 2017 establishing a network code on harmonised transmission tariff structures for gas (OJ L 72, 17.3.2017, p. 29).
(12)Commission Regulation (EU) No 312/2014 of 26 March 2014 establishing a Network Code on Gas Balancing of Transmission Networks (OJ L 91, 27.3.2014, p. 15).
(13)Regulation (EU) No 182/2011 of the European Parliament and the Council of 16 February 2011 laying down the rules and general principles concerning mechanisms for control by Member States of the Commission's exercise of implementing powers (OJ L 55, 28.2.2011, p. 13).
(14) OJ C 369, 17.12.2011, p. 14.


European Maritime and Fisheries Fund ***I
PDF 476kWORD 164k
European Parliament legislative resolution of 4 April 2019 on the proposal for a regulation of the European Parliament and of the Council on the European Maritime and Fisheries Fund and repealing Regulation (EU) No 508/2014 of the European Parliament and of the Council (COM(2018)0390 – C8-0270/2018 – 2018/0210(COD))
P8_TA(2019)0343A8-0176/2019

This text is still being processed for publication in your language. The PDF or WORD version is already available by clicking on the icon above right.


Multiannual plan for the fisheries exploiting demersal stocks in the western Mediterranean Sea ***I
PDF 243kWORD 81k
Resolution
Consolidated text
European Parliament legislative resolution of 4 April 2019 on the proposal for a regulation of the European Parliament and of the Council establishing a multi-annual plan for the fisheries exploiting demersal stocks in the western Mediterranean Sea (COM(2018)0115 – C8-0104/2018 – 2018/0050(COD))
P8_TA-PROV(2019)0344A8-0005/2019

(Ordinary legislative procedure: first reading)

The European Parliament,

–  having regard to the Commission proposal to Parliament and the Council (COM(2018)0115),

–  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 (C8-0104/2018),

–  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 Fisheries and the position in the form of amendments of the Committee on the Environment, Public Health and Food Safety (A8-0005/2019),

1.  Adopts its position at first reading hereinafter set out;

2.  Approves the joint statement by Parliament and the Council annexed to this resolution, 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.

Position of the European Parliament adopted at first reading on 4 April 2019 with a view to the adoption of Regulation (EU) 2019/… of the European Parliament and of the Council establishing a multiannual plan for the fisheries exploiting demersal stocks in the western Mediterranean Sea and amending Regulation (EU) No 508/2014

P8_TC1-COD(2018)0050


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 43(2) thereof,

Having regard to the proposal from the European Commission,

After transmission of the draft legislative act to the national parliaments,

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

Acting in accordance with the ordinary legislative procedure(3),

Whereas:

(1)  The United Nations Convention of 10 December 1982 on the Law of the Sea, to which the Union is a contracting party, provides for conservation obligations, including the maintaining or restoring of populations of harvested species at levels which can produce the maximum sustainable yield (MSY).

(2)  At the United Nations Summit on Sustainable Development held in New York in 2015, the Union and its Member States committed themselves, by 2020, to effectively regulate harvesting, to end overfishing, illegal, unreported and unregulated fishing and destructive fishing practices and to implement science-based management plans, in order to restore fish stocks in the shortest time feasible, at least to levels that can produce MSY as determined by their biological characteristics.

(3)  The Malta MedFish4Ever Ministerial Declaration of 30 March 2017(4) lays down a new framework for fisheries governance in the Mediterranean Sea and provides a work programme with five concrete actions for the next 10 years. One of the commitments made is to establish multiannual plans.

(4)  Regulation (EU) No 1380/2013 of the European Parliament and of the Council(5) establishes the rules of the common fisheries policy (CFP) in line with the international obligations of the Union. The CFP is to contribute to the protection of the marine environment, to the sustainable management of all commercially exploited species and, in particular, to the achievement of good environmental status by 2020.

(5)  The objectives of the CFP are, amongst others, to ensure that fishing and aquaculture activities are environmentally, socially and economically sustainable in the long term, to apply the precautionary approach to fisheries management, and to implement the ecosystem-based approach to fisheries management. The CFP also contributes to a fair standard of living for the fisheries sector, including the small-scale, artisanal or coastal fisheries sector. The achievement of those objectives also contributes to the availability of food supplies and provides employment benefits.

(6)  In order to achieve the objectives of the CFP, a number of conservation measures such as multiannual plans, technical measures and the setting and allocation of maximum allowable fishing effort, should be adopted.

(7)  Pursuant to Articles 9 and 10 of Regulation (EU) No 1380/2013, multiannual plans are to be based on scientific, technical and economic advice. In accordance with those provisions, the multiannual plan established by this Regulation ('the plan') should contain objectives, quantifiable targets with clear timeframes, conservation reference points, safeguards and technical measures designed to avoid and reduce unwanted catches.

(8)  ‘Best available scientific advice’ should be understood to refer to publicly available scientific advice that is supported by the most up-to-date scientific data and methods and that has either been issued or reviewed by an independent scientific body that is recognised at Union or international level.

(9)  The Commission should obtain the best available scientific advice for the stocks within the scope of the plan. In order to do so, it should consult in particular the Scientific, Technical and Economic Committee for Fisheries (‘STECF’). The Commission should, in particular, obtain publicly available scientific advice, including advice on mixed fisheries, which takes into account the plan and indicates ranges of FMSY and conservation reference points (BPA and BLIM).

(10)  Council Regulation (EC) No 1967/2006(6) establishes a management framework for the sustainable exploitation of fishery resources in the Mediterranean Sea and requires the adoption of management plans for fisheries using trawl nets, boat seines, shore seines, surrounding nets and dredges in the territorial waters of the Member States.

(11)  France, Italy and Spain have adopted management plans under Regulation (EC) No 1967/2006. However, there is a lack of consistency between those plans and they do not take account of all the gear exploiting demersal stocks and the straddling distribution of certain stocks and fishing fleets. Besides, those plans have proven ineffective in meeting the objectives of the CFP. Member States and stakeholders have expressed support for the development and implementation of a multi-annual plan at Union level for the stocks concerned.

(12)  STECF has shown that exploitation of many demersal stocks in the western Mediterranean Sea exceeds by far the levels required to achieve MSY.

(13)  It is therefore appropriate to establish a multiannual plan for the conservation and sustainable exploitation of demersal stocks in the western Mediterranean Sea.

(14)  The plan should take account of the mixed nature of the fisheries and the dynamics between the stocks driving them, i.e. hake (Merluccius merluccius), red mullet (Mullus barbatus), deep-water rose shrimp (Parapenaeus longirostris), Norway lobster (Nephrops norvegicus), blue and red shrimp (Aristeus antennatus) and giant red shrimp (Aristaeomorpha foliacea). It should also take account of by-catch species caught in demersal fisheries and demersal stocks for which sufficient data are not available. It should apply to the demersal fisheries (in particular, trawl nets, bottom-set nets, traps and longlines) carried out in Union waters or by Union fishing vessels outside the Union waters of the western Mediterranean Sea.

(15)  Where mortality caused by recreational fishing has a significant impact on the stocks concerned, the Council should be able to set non-discriminatory limits for recreational fishermen. The Council should refer to transparent and objective criteria when setting such limits. Where appropriate, Member States should take necessary and proportionate measures for the monitoring and collection of data for the reliable estimation of actual recreational catch levels. Furthermore, it should be possible to adopt technical conservation measures in respect of recreational fisheries.

(16)  The geographical scope of the plan should be based on the geographical distribution of stocks indicated in the best available scientific advice. Future changes to the geographical distribution of stocks as set out in the plan may be needed due to improved scientific information. Therefore, the Commission should be empowered to adopt delegated acts adjusting the geographical distribution of stocks set out in the plan if scientific advice shows a change in the geographical distribution of the relevant stocks.

(17)  The objective of the plan should be to contribute to the achievement of the objectives of the CFP and, in particular, to reaching and maintaining MSY for the target stocks, to implementing the landing obligation for demersal stocks and pelagic by-catches caught in demersal fisheries subject to minimum conservation reference size, and to promoting a fair standard of living for those who depend on fishing activities, bearing in mind coastal fisheries and socio-economic aspects. The plan should also implement the ecosystem-based approach to fisheries management in order to minimise negative impacts of fishing activities on the marine ecosystem. It should be coherent with Union environmental legislation, in particular the objective of achieving good environmental status by 2020, in accordance with Directive 2008/56/EC of the European Parliament and of the Council(7), and the objectives of Directive 2009/147/EC of the European Parliament and of the Council(8) and Council Directive 92/43/EEC(9).

(18)  It is appropriate to establish the target fishing mortality (F) that corresponds to the objective of reaching and maintaining MSY as ranges of values which are consistent with achieving MSY (FMSY). Those ranges, based on best available scientific advice, are necessary to provide the flexibility to take account of developments in scientific advice, to contribute to the implementation of the landing obligation and to take into account mixed fisheries. Based on the plan, those ranges are derived to deliver no more than a 5 % reduction in the long-term yield compared to MSY. In addition, the upper limit of the range of FMSY is capped, so that the probability of the stock falling below the biomass limit reference point (BLIM) is no more than 5 %.

(19)  For the purpose of fixing maximum allowable fishing effort, there should be ranges of FMSY for ‘normal use’ and, subject to the good status of the stocks concerned, the possibility to set maximum allowable fishing effort above those ranges of FMSY for the most vulnerable stock if, on the basis of scientific advice, it is necessary for the achievement of the objectives of this Regulation in mixed fisheries, to avoid harm to a stock caused by intra- or inter-species stock dynamics, or to limit the year-on-year variations in maximum allowable fishing effort. A target fishing mortality in line with those ranges of FMSY should be achieved on a progressive, incremental basis by 2020 where possible, and by 1 January 2025 at the latest.

(20)  For stocks for which targets relating to MSY are available, and for the purpose of the application of safeguards, it is necessary to establish conservation reference points, expressed as precautionary reference points (BPA) and limit reference points (BLIM).

(21)  Appropriate safeguards should be provided for in order to ensure that the targets are met and to trigger, where needed, remedial measures, inter alia where stocks fall below the conservation reference points. Remedial measures should include emergency measures in accordance with Articles 12 and 13 of Regulation (EU) No 1380/2013, maximum allowable fishing effort and other specific conservation measures.

(22)  In order to ensure transparent access to fisheries and the achievement of target fishing mortalities, a Union fishing effort regime should be adopted for trawls which are the main gear used to exploit demersal stocks in the western Mediterranean Sea. To that end, it is appropriate to determine fishing effort groups in order for the Council to establish maximum allowable fishing effort, expressed as numbers of fishing days, on an annual basis. Where necessary, the fishing effort regime should incorporate other fishing gear.

(23)  Given the worrying situation of many demersal stocks in the western Mediterranean Sea, and in order to reduce the current high levels of fishing mortality, the fishing effort regime should entail a significant reduction of fishing effort in the first five years of implementation of the plan.

(24)  Member States should take specific measures to ensure that the fishing effort regime is effective and workable, by including a method for allocating fishing effort quotas in accordance with Article 17 of Regulation (EU) No 1380/2013, by producing a list of vessels, by issuing fishing authorisations and by recording and transmitting relevant fishing effort data.

(25)  In order to contribute to the effective achievement of the objectives of the plan, and in accordance with the principles of good governance laid down in Article 3 of Regulation (EU) No 1380/2013, Member States should be allowed to promote participative management systems at local level.

(26)  In order to protect nursery areas and sensitive habitats, and safeguard small-scale fisheries, the coastal zone should be regularly reserved for more selective fisheries. Therefore, the plan should establish a closure for trawls operating within six nautical miles from the coast except in areas deeper than the 100 m isobath during three months each year. It should be possible for other closure areas to be established, where this can ensure at least a 20 % reduction of catches of juvenile hake.

(27)  Further conservation measures should be taken as regards demersal stocks. In particular, on the basis of scientific advice, it is appropriate to establish additional closures in areas with high aggregations of spawning individuals, in order to protect a severely harmed adult stage of hake.

(28)  The precautionary approach should apply to by-catch stocks and to demersal stocks for which sufficient data are not available. Specific conservation measures should be adopted in accordance with Article 18 of Regulation (EU) No 1380/2013 where scientific advice shows that remedial measures are needed.

(29)  The plan should provide for additional technical conservation measures to be adopted by means of delegated acts. That is necessary to achieve the objectives of the plan, in particular as regards conserving demersal stocks and improving selectivity.

(30)  In order to comply with the landing obligation established by Article 15(1) of Regulation (EU) No 1380/2013, the plan ▌ should provide for additional management measures to be further specified in accordance with Article 18 of Regulation (EU) No 1380/2013.

(31)  In order to adapt the plan ▌ in a timely manner to technical and scientific progress, 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 supplementing this Regulation with remedial and technical conservation measures, implementing the landing obligation and amending certain elements of the plan. 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(10). 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.

(32)  The deadline for submitting joint recommendations from Member States having a direct management interest should be established, as required by Regulation (EU) No 1380/2013.

(33)  In order to evaluate progress towards MSY, the plan ▌ should allow regular scientific monitoring of the stocks concerned and, where possible, of by-catch stocks.

(34)  In accordance with Article 10(3) of Regulation (EU) No 1380/2013, the Commission should periodically assess the adequacy and effectiveness of this Regulation. That assessment should follow and be based on periodic evaluation of the plan, on the basis of scientific advice by STECF, by … [five years after the date of entry into force of this Regulation] and every three years thereafter. That period would allow for the full implementation of the landing obligation and for regionalised measures to be adopted and implemented and to have an impact on the stocks and fisheries. ▌

(35)  In order to provide legal certainty, it is appropriate to clarify that temporary cessation measures that have been adopted in order to attain the objectives of the plan can be deemed eligible for support under Regulation (EU) No 508/2014 of the European Parliament and of the Council(11).

(36)  In order to achieve a balance between the fishing capacity of the fleet and the available maximum allowable fishing effort, support from the European Maritime and Fisheries Fund for the permanent cessation of fishing activities should be available in the imbalanced fleet segments covered by this Regulation. Regulation (EU) No 508/2014 should therefore be amended accordingly.

(37)  The likely economic and social impact of the plan was duly assessed before it was drafted, in accordance with Article 9(4) of Regulation (EU) No 1380/2013.

(38)  Taking into acccount that the maximum allowable fishing effort is set for each calendar year, the provisions on the fishing effort regime should apply from 1 January 2020. Taking into account environmental, social and economic sustainability, the provisions on the ranges of FMSY and on safeguards for stocks below BPA should apply from 1 January 2025,

HAVE ADOPTED THIS REGULATION:

CHAPTER I

GENERAL PROVISIONS

Article 1

Subject-matter and scope

1.  This Regulation establishes a multiannual plan (‘the plan’) for the conservation and sustainable exploitation of demersal stocks in the western Mediterranean Sea.

2.  This Regulation applies to the following stocks:

(a)  blue and red shrimp (Aristeus antennatus) in GFCM subareas 1, 5, 6 and 7;

(b)  deep-water rose shrimp (Parapenaeus longirostris) in GFCM subareas 1, 5, 6 and 9-10-11;

(c)  giant red shrimp (Aristaeomorpha foliacea) in GFCM subareas 9-10-11;

(d)  European hake (Merluccius merluccius) in GFCM subareas 1-5-6-7 and 9-10-11;

(e)  Norway lobster (Nephrops norvegicus) in GFCM subareas 5, 6, 9 and 11;

(f)  red mullet (Mullus barbatus) in GFCM subareas 1, 5, 6, 7, 9, 10 and 11.

3.  This Regulation also applies to by-catch stocks caught in the western Mediterranean Sea when fishing for the stocks listed in paragraph 2. It also applies to any other demersal stocks which are caught in the western Mediterranean Sea and for which sufficient data are not available.

4.  This Regulation applies to commercial ▌ fisheries catching the demersal stocks referred to in paragraphs 2 and 3, where they are carried out in Union waters or by Union fishing vessels outside the Union waters of the western Mediterranean Sea.

5.  This Regulation also specifies details for the implementation of the landing obligation in Union waters of the western Mediterranean Sea for all stocks of species to which the landing obligation applies under Article 15(1) of Regulation (EU) No 1380/2013 which are caught in demersal fisheries.

6.  This Regulation provides for technical measures, as set out in Article 13, applicable in the western Mediterranean Sea in respect of any stock.

Article 2

Definitions

For the purposes of this Regulation, the following definitions apply in addition to those laid down in Article 4 of Regulation (EU) No 1380/2013, Article 4 of Council Regulation (EC) No 1224/2009(12) and Article 2 of Regulation (EC) No 1967/2006:

(1)   ‘western Mediterranean Sea’ means the waters in GFCM geographical sub-areas (GSAs) 1 (Northern Alboran Sea), 2 (Alboran Island), 5 (Balearic Islands), 6 (Northern Spain), 7 (Gulf of Lions), 8 (Corsica Island), 9 (Ligurian and North Tyrrhenian Sea), 10 (South Tyrrhenian Sea) and 11 (Sardinia Island), as defined in Annex I to Regulation (EU) No 1343/2011 of the European Parliament and of the Council(13);

(2)  ‘the stocks concerned’ means the stocks listed in Article 1(2);

(3)  'most vulnerable stock' means the stock for which, at the time of the setting of the maximum allowable fishing effort, the fishing mortality of the previous year is the furthest from the FMSY point value determined in the best available scientific advice;

(4)   ‘range of FMSY’ means a range of values provided for in the best available scientific advice, in particular by STECF, or a similar independent scientific body recognised at Union or international level, where all levels of fishing mortality within that range result in maximum sustainable yield (MSY) in the long term with a given fishing pattern and under current average environmental conditions, without significantly affecting the reproduction process for the stocks in question. It is derived to deliver no more than a 5 % reduction in long-term yield compared to the MSY. It is capped so that the probability of the stock falling below the limit reference point (BLIM) is no more than 5 %;

(5)   ‘FMSY point value’ means the value of the estimated fishing mortality that, with a given fishing pattern and under current average environmental conditions, gives the long-term maximum yield;

(6)   ‘MSY FLOWER’ means the lowest value within the range of FMSY;

(7)   ‘MSY FUPPER’ means the highest value within the range of FMSY;

(8)   ‘lower range of FMSY’ means a range that contains values from MSY FLOWER to FMSY point value;

(9)   ‘upper range of FMSY’ means a range that contains values from FMSY point value to MSY FUPPER;

(10)   ‘BLIM’ means the limit reference point, expressed as spawning stock biomass and provided for in the best available scientific advice, in particular by STECF, or a similar independent scientific body recognised at Union or international level, below which there may be reduced reproductive capacity;

(11)   ‘BPA’ means the precautionary reference point, expressed as spawning stock biomass and provided for in the best available scientific advice, in particular by STECF, or a similar independent scientific body recognised at Union or international level, which ensures that the spawning stock biomass has less than 5 % probability of being below BLIM;

(12)   ‘fishing effort group’ means a fleet management unit of a Member State for which a maximum allowable fishing effort is set;

(13)  'stock group' means a group of stocks caught together as set out in Annex I;

(14)   ‘fishing day’ means any continuous period of 24 hours, or part thereof, during which a vessel is present in the western Mediterranean Sea and absent from port.

Article 3

Objectives

1.  The plan shall be based on a fishing effort regime and shall aim to contribute to the achievement of the objectives of the CFP listed in Article 2 of Regulation (EU) No 1380/2013, in particular by applying the precautionary approach to fisheries management, as well as to ensure that exploitation of living marine biological resources restores and maintains populations of harvested species above levels which can produce MSY.

2.  The plan shall contribute to the elimination of discards by avoiding and reducing, as far as possible, unwanted catches, and to the implementation of the landing obligation established in Article 15 of Regulation (EU) No 1380/2013 for the species which are subject to minimum conservation reference sizes under Union law and to which this Regulation applies.

3.  The plan shall implement the ecosystem-based approach to fisheries management in order to ensure that negative impacts of fishing activities on the marine ecosystem are minimised. It shall be coherent with Union environmental legislation, in particular with the objective of achieving good environmental status by 2020 as set out in Article 1(1) of Directive 2008/56/EC ▌.

4.  In particular, the plan shall aim to:

(a)   ensure that the conditions described in descriptor 3 set out in Annex I to Directive 2008/56/EC are fulfilled; ▌

(b)   contribute to the fulfilment of other relevant descriptors contained in Annex I to Directive 2008/56/EC in proportion to the role played by fisheries in their fulfilment; and

(c)  contribute to the achievement of the objectives set out in Articles 4 and 5 of Directive 2009/147/EC and Articles 6 and 12 of Directive 92/43/EEC, in particular to minimise the negative impact of fishing activities on vulnerable habitats and protected species.

5.  Measures under the plan shall be taken on the basis of the best available scientific advice. ▌

CHAPTER II

TARGETS, CONSERVATION REFERENCE POINTS AND SAFEGUARDS

Article 4

Targets

1.  The target fishing mortality, in line with the ranges of FMSY defined in Article 2, shall be achieved ▌ on a progressive, incremental basis by 2020 where possible, and by 1 January 2025 at the latest, for the stocks concerned, and shall be maintained thereafter within the ranges of FMSY.

2.  The ranges of FMSY based on the plan shall be requested, in particular from STECF, or a similar independent scientific body recognised at Union or international level.

3.  In accordance with Article 16(4) of Regulation (EU) No 1380/2013, when the Council fixes maximum allowable fishing effort, it shall establish that fishing effort for each fishing effort group, within the range of FMSY available at that time for the most vulnerable stock.

4.  Notwithstanding paragraphs 1 and 3, maximum allowable fishing effort may be set at levels that are lower than the ranges of FMSY.

5.  Notwithstanding paragraphs 1 and 3, maximum allowable fishing effort may be set above the range of FMSY available at that time for the most vulnerable stock, provided that all stocks concerned are above the BPA:

(a)   if, on the basis of the best available scientific advice or evidence, it is necessary for the achievement of the objectives laid down in Article 3 in the case of mixed fisheries;

(b)   if, on the basis of the best available scientific advice or evidence, it is necessary to avoid serious harm to a stock caused by intra- or inter-species stock dynamics; or

(c)   in order to limit variations in maximum allowable fishing effort between consecutive years to not more than 20 %.

6.  Where ranges of FMSY cannot be determined for a stock listed in Article 1(2) due to a lack of adequate scientific information, that stock shall be managed in accordance with Article 12 until ranges of FMSY are available pursuant to paragraph 2 of this Article.

Article 5

Conservation reference points

For the purposes of Article 6, the following conservation reference points shall be requested, in particular from STECF, or a similar independent scientific body recognised at Union or international level, on the basis of the plan:

(a)   precautionary reference points, expressed as spawning stock biomass (BPA); and

(b)   limit reference points, expressed as spawning stock biomass (BLIM).

Article 6

Safeguards

1.  Where scientific advice shows that the spawning stock biomass of any of the stocks concerned is below BPA, all appropriate remedial measures shall be taken to ensure the rapid return of the stocks concerned to levels above those capable of producing MSY. In particular, notwithstanding Article 4(3), maximum allowable fishing effort shall be set at levels consistent with a fishing mortality that is reduced within the range of FMSY for the most vulnerable stock, taking into account the decrease in biomass.

2.  Where scientific advice shows that the spawning stock biomass of any of the stocks concerned is below BLIM, further remedial measures shall be taken to ensure the rapid return of the stocks concerned to levels above those capable of producing MSY. In particular, notwithstanding Article 4(3) ▌, such remedial measures may include suspending the targeted fishery for the stocks concerned and the adequate reduction of the maximum allowable fishing effort.

3.  Remedial measures referred to in this Article may include:

(a)   measures pursuant to Articles 7, 8 and 11 to 14 of this Regulation; and

(b)   emergency measures in accordance with Articles 12 and 13 of Regulation (EU) No 1380/2013.

4.  The choice of measures referred to in this Article shall be made in accordance with the nature, seriousness, duration and repetition of the situation where the spawning stock biomass is below the levels referred to in Article 5.

CHAPTER III

FISHING EFFORT

Article 7

Fishing effort regime

1.  A fishing effort regime shall apply to all vessels fishing with trawls in the areas, stock groups and length categories defined in Annex I.

2.  Each year, on the basis of scientific advice, and pursuant to Article 4, the Council shall set a maximum allowable fishing effort for each fishing effort group by Member State.

3.  By way of derogation from Article 3(1) and notwithstanding paragraph 2 of this Article, during the first five years of implementation of the plan:

(a)  for the first year of implementation of the plan, except for GSAs in which the fishing effort has already been reduced by more than 20 % during the baseline period, the maximum allowable fishing effort shall be reduced by 10 % compared to the baseline;

(b)  for the second to the fifth year of the implementation of the plan, the maximum allowable fishing effort shall be reduced by a maximum of 30 % during that period. The fishing effort decrease may be supplemented with any relevant technical or other conservation measures adopted in accordance with Union law, in order to achieve the FMSY by 1 January 2025.

4.  The baseline referred to in paragraph 3 shall be ▌calculated by each Member State for each fishing effort group or GSA as the average fishing effort, expressed as number of fishing days between 1 January 2015 and 31 December 2017, and shall take account only of vessels active during that period ▌.

5.  Where the best available scientific advice shows significant catches of a particular stock with fishing gear other than trawls, maximum allowable fishing effort may be set for such particular gear on the basis of such scientific advice.

Article 8

Recreational fisheries

1.  Where scientific advice indicates that recreational fishing is having a significant impact on the fishing mortality of a stock listed in Article 1(2), the Council may set non-discriminatory limits for recreational fishermen.

2.  When setting the limits referred to in paragraph 1, the Council shall refer to transparent and objective criteria, including those of an environmental, social and economic nature. The criteria used may include, in particular, the impact of recreational fishing on the environment, the societal importance of that activity and its contribution to the economy in coastal areas.

3.  Where appropriate, Member States shall take necessary and proportionate measures for the monitoring and collection of data for a reliable estimation of the actual recreational catch levels.

Article 9

Obligations of the Member States

1.  Member States shall manage the maximum allowable fishing effort in accordance with the conditions laid down in Articles 26 to 34 of Regulation (EC) No 1224/2009.

2.  Each Member State shall decide on a method for allocating the maximum allowable fishing effort to individual vessels or groups of vessels flying its flag, in accordance with the criteria set out in Article 17 of Regulation (EU) No 1380/2013. ▌

3.  A Member State may amend its fishing effort allocations by transferring fishing days across fishing effort groups of the same geographical area, provided that it applies a conversion factor which is supported by the best available scientific advice. The exchanged fishing days and conversion factor shall be made available immediately, and not later than 10 working days, to the Commission and other Member States.

4.  Where a Member State allows vessels flying its flag to fish with trawls, it shall ensure that such fishing is limited to a maximum of 15 hours per fishing day, five fishing days per week or equivalent.

Member States may grant a derogation of up to 18 hours per fishing day to take into account the transit time between port and the fishing ground. Such derogations shall be communicated to the Commission and other Member States concerned without delay.

5.  Notwithstanding paragraph 3, where a vessel fishes for two different stock groups during one fishing day, half a fishing day shall be deducted from the maximum allowable fishing effort allocated to that vessel for each stock group.

6.  For the vessels flying its flag and fishing for the stocks concerned, each Member State shall issue fishing authorisations for the areas referred to in Annex I and in accordance with Article 7 of Regulation (EC) No 1224/2009.

7.  Member States shall ensure that the total capacity, expressed in GT and kW, corresponding to the fishing authorisations issued in accordance with paragraph 6, is not increased during the period of application of the plan.

8.  Each Member State shall establish and maintain a list of vessels with fishing authorisations issued in accordance with paragraph 6 and make it available to the Commission and other Member States. Member States shall transmit their lists for the first time within three months after the entry into force of this Regulation and subsequently not later than 30 November each year.

9.  Member States shall monitor their fishing effort regime and ensure that the maximum allowable fishing effort referred to in Article 7 does not exceed the established limits.

10.  In accordance with the principles of good governance established in Article 3 of Regulation (EU) No 1380/2013, Member States may promote participative management systems at local level in order to achieve the objectives of the plan.

Article 10

Communication of relevant data

1.  Member States shall record and transmit the fishing effort data to the Commission in accordance with Article 33 of Regulation (EC) No 1224/2009 and Articles 146c, 146d and 146e of Commission Implementing Regulation (EU) No 404/2011(14).

2.  The fishing effort data shall be aggregated per month and contain the information set out in Annex II. The format of the aggregated data shall be the XML Schema Definition based on UN/CEFACT P1000-12.

3.  Member States shall transmit the fishing effort data referred to in paragraph 1 to the Commission before the 15th of each month.

CHAPTER IV

TECHNICAL CONSERVATION MEASURES

Article 11

Closure areas

1.  In addition to what is provided for in Article 13 of Regulation (EC) No 1967/2006, the use of trawls in the western Mediterranean Sea shall be prohibited within six nautical miles from the coast except in areas deeper than the 100 m isobath during three months each year and, where appropriate, consecutively, on the basis of the best available scientific advice. Those three months of annual closure shall be determined by each Member State and shall apply during the most relevant period determined on the basis of the best available scientific advice. That period shall be communicated to the Commission and other Member States concerned without delay.

2.  By way of derogation from paragraph 1, and provided that it is justified by particular geographical constraints, such as the limited size of the continental shelf or the long distances to fishing grounds, Member States may establish, on the basis of the best available scientific advice, other closure areas, provided that a reduction of at least 20 % of catches of juvenile hake in each geographical subarea is achieved. Such derogation shall be communicated to the Commission and other Member States concerned without delay.

3.  By … [two years after the date of entry into force of this Regulation] and on the basis of the best available scientific advice, the Member States concerned shall establish other closure areas where there is evidence of a high concentration of juvenile fish, below the minimum conservation reference size, and of spawning grounds of demersal stocks, in particular for the stocks concerned.

4.  The other closure areas established pursuant to paragraph 3 shall be assessed, in particular, by STECF, or a similar independent scientific body recognised at Union or international level. If that assessment indicates that those closure areas are not in line with their objectives, Member States shall review those closure areas in light of those recommendations.

5.  Where the closure areas referred to in paragraph 3 of this Article affect fishing vessels of several Member States, the Commission is empowered to adopt delegated acts in accordance with Article 8 of Regulation (EU) No 1380/2013 and Article 18 of this Regulation and on the basis of the best available scientific advice, establishing the closure areas concerned.

Article 12

Management of by-catch stocks and demersal stocks for which sufficient data are not available

1.  The stocks referred to in Article 1(3) of this Regulation shall be managed on the basis of the precautionary approach to fisheries management as defined in point 8 of Article 4(1) of Regulation (EU) No 1380/2013.

2.  Management measures for the stocks referred to in Article 1(3), in particular technical conservation measures such as those listed in Article 13, shall be established, taking into account the best available scientific advice.

Article 13

Specific conservation measures

1.  The Commission is empowered to adopt delegated acts in accordance with Article 18 of this Regulation and Article 18 of Regulation (EU) No 1380/2013 supplementing this Regulation by establishing the following technical conservation measures:

(a)   specifications of characteristics of fishing gear and rules governing their use, to ensure or improve selectivity, to reduce unwanted catches or to minimise the negative impact on the ecosystem;

(b)  specifications of modifications or additional devices to the fishing gear, to ensure or improve selectivity, to reduce unwanted catches or to minimise the negative impact on the ecosystem;

(c)  limitations or prohibitions on the use of certain fishing gear and on fishing activities, in certain areas or periods to protect spawning fish, fish below the minimum conservation reference size or non-target fish species, or to minimise the negative impact on the ecosystem;

(d)  the fixing of minimum conservation reference sizes for any of the stocks to which this Regulation applies, to ensure the protection of juveniles of marine organisms; and

(e)  on recreational fisheries.

2.  The measures referred to in paragraph 1 shall contribute to the achievement of the objectives set out in Article 3.

CHAPTER V

LANDING OBLIGATION

Article 14

Provisions on the landing obligation

For all stocks of species in the western Mediterranean Sea to which the landing obligation applies under Article 15(1) of Regulation (EU) No 1380/2013, and for incidental catches of pelagic species in fisheries exploiting the stocks listed in Article 1(2) of this Regulation to which the landing obligation applies, the Commission, after consulting the Member States, is empowered to adopt delegated acts in accordance with Article 18 of this Regulation and Article 18 of Regulation (EU) No 1380/2013 supplementing this Regulation by specifying details of that obligation as provided for in points (a) to (e) of Article 15(5) of Regulation (EU) No 1380/2013.

CHAPTER VI

REGIONALISATION

Article 15

Regional cooperation

1.  Article 18(1) to (6) of Regulation (EU) No 1380/2013 shall apply to the measures referred to in Articles 11 to 14 of this Regulation.

2.  For the purpose of paragraph 1 of this Article, Member States having a direct management interest may submit joint recommendations in accordance with Article 18(1) of Regulation (EU) No 1380/2013:

(a)   for the first time not later than twelve months after … [the date of entry into force of this Regulation] and, thereafter, not later than twelve months after each submission of the evaluation of the plan in accordance with Article 17(2) of this Regulation;

(b)   by 1 July of the year preceding that in which the measures are to apply; and/or

(c)   whenever they deem necessary, in particular in the event of an abrupt change in the situation of any of the stocks to which this Regulation applies.

3.  The empowerments granted under Articles 11 to 14 of this Regulation shall be without prejudice to powers conferred on the Commission under other provisions of Union law, including under Regulation (EU) No 1380/2013.

CHAPTER VII

AMENDMENTS AND FOLLOW UP

Article 16

Amendments of the plan

1.  Where scientific advice shows a change in the geographical distribution of the stocks concerned, the Commission is empowered to adopt delegated acts in accordance with Article 18 amending this Regulation by adjusting the areas specified in Article 1(2) and Annex I in order to reflect that change.

2.  Where, on the basis of scientific advice, the Commission considers that the list of the stocks concerned needs to be amended, the Commission may submit a proposal for the amendment of that list.

Article 17

Monitoring and evaluation of the plan

1.  For the purposes of the annual report provided for in Article 50 of Regulation (EU) No 1380/2013, quantifiable indicators shall include annual estimates of current fishing mortality over FMSY (F/FMSY), spawning stock biomass (SSB) and socio-economic indicators for the stocks concerned and, where possible, for by-catch stocks. They may be supplemented with other indicators on the basis of scientific advice.

2.  By … [five years after the date of entry into force of this Regulation] and every three years thereafter, the Commission shall report to the European Parliament and to the Council on the results and impact of the plan on the stocks concerned and on the fisheries exploiting those stocks, in particular as regards the achievement of the objectives set out in Article 3.

CHAPTER VIII

PROCEDURAL PROVISIONS

Article 18

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 11 to 14 and 16 shall be conferred on the Commission for a period of five years from … [the date of the 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 Articles 11 to 14 and 16 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 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 11 to 14 and 16 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. The period shall be extended by two months at the initiative of the European Parliament or of the Council.

CHAPTER IX

EUROPEAN MARITIME AND FISHERIES FUND

Article 19

Support from the European Maritime and Fisheries Fund

Temporary cessation measures adopted in order to achieve the objectives of the plan shall be deemed as the temporary cessation of fishing activities for the purposes of points (a) and (c) of Article 33(1) of Regulation (EU) No 508/2014.

Article 20

Amendments to Regulation (EU) No 508/2014 as regards certain rules relating to the European Maritime and Fisheries Fund

Article 34 of Regulation (EU) No 508/2014 is amended as follows:

(1)  paragraph 4 is replaced by the following: "

“4. Support under this Article may be granted until 31 December 2017, unless the permanent cessation measures are adopted in order to achieve the objectives of the multi-annual plan for the conservation and sustainable exploitation of demersal stocks in the western Mediterranean Sea, established by Regulation (EU) …/…(15) of the European Parliament and of the Council*.

___________________________

* Regulation (EU) .../... of the European Parliament and of the Council of ... establishing a multiannual plan for the fisheries exploiting demersal stocks in the western Mediterranean Sea and amending Regulation (EU) No 508/2014 (OJ L ..., p. ...).;

"

(2)  the following paragraph is added: "

“4a. Expenditure related to the permanent cessation measures adopted in order to achieve the objectives of Regulation (EU) …/…(16) shall be eligible for support from the EMFF as from the entry into force of that Regulation.”.

"

CHAPTER X

FINAL PROVISIONS

Article 21

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.

Taking into account environmental, social and economic sustainability, Article 4 and Article 6(1) shall apply from 1 January 2025.

Article 7 shall apply from 1 January 2020.

This Regulation shall be binding in its entirety and directly applicable in all Member States.

Done at …,

For the European Parliament For the Council

The President The President

ANNEX I

Fishing effort regime

(as referred to in Article 7)

Fishing effort groups are defined as follows:

A)  Trawls fishing for red mullet, hake, deep-water rose shrimp and Norway lobster in the continental shelf and upper slope

Gear type

Geographical area

Stock groups

Overall length of vessels

Fishing effort group code

Trawls

(TBB, OTB, PTB, TBN, TBS, TB, OTM, PTM, TMS, TM, OTT, OT, PT, TX, OTP, TSP)

GFCM sub-areas 1-2-5-6-7

Red mullet in GSAs 1, 5, 6 and 7; Hake in GSAs 1-5-6-7; Deep-water rose shrimp in GSAs 1, 5 and 6; and Norway lobster in GSAs 5 and 6.

< 12 m

EFF1/MED1_TR1

≥ 12 m and < 18 m

EFF1/MED1_TR2

≥ 18 m and < 24 m

EFF1/MED1_TR3

≥ 24 m

EFF1/MED1_TR4

GFCM sub-areas 8-9-10-11

Red mullet in GSAs 9, ▌10 and 11; Hake in GSAs 9-10-11; Deep-water rose shrimp in GSAs 9-10-11; and Norway lobster in GSAs 9 and 10.

< 12 m

EFF1/MED2_TR1

≥ 12 m and < 18 m

EFF1/MED2_TR2

≥ 18 m and < 24 m

EFF1/MED2_TR3

≥ 24 m

EFF1/MED1_TR4

B)  Trawls fishing for blue and red shrimp and giant red shrimp in deep-waters

Gear type

Geographical area

Stock groups

Overall length of vessels

Fishing effort group code

Trawls

(TBB, OTB, PTB, TBN, TBS, TB, OTM, PTM, TMS, TM, OTT, OT, PT, TX, OTP, TSP)

GFCM sub-areas 1-2-5-6-7

Blue and red shrimp in

GSAs 1, 5, 6 and 7.

< 12 m

EFF2/MED1_TR1

≥ 12 m and < 18 m

EFF2/MED1_TR2

≥ 18 m and < 24 m

EFF2/MED1_TR3

≥ 24 m

EFF2/MED1_TR4

GFCM sub-areas 8-9-10-11

Giant red shrimp in

GSAs 9, 10 and 11

< 12 m

EFF2/MED2_TR1

≥ 12 m and < 18 m

EFF2/MED2_TR2

≥ 18 m and < 24 m

EFF2/MED2_TR3

≥ 24 m

EFF2/MED1_TR4

ANNEX II

List of information for fishing effort data

(as referred to in Article 10)

Information

Definition and comments

(1)  Member State

Alpha-3 ISO code of the reporting flag Member State

(2)  Fishing effort group

Fishing effort group code as set out in Annex I

(3)  Fishing effort period

Start date and end date of the month reported

(4)  Fishing effort declaration

Total number of fishing days

ANNEX TO THE LEGISLATIVE RESOLUTION

Joint Statement by the European Parliament and the Council

The European Parliament and the Council intend to repeal the empowerments to adopt technical measures by means of delegated acts under Article 13 of this Regulation when they adopt a new regulation on technical measures which includes an empowerment covering the same measures.

(1) OJ C 367, 10.10.2018, p. 103.
(2)OJ C 367, 10.10.2018, p. 103.
(3) Position of the European Parliament of 4 April 2019.
(4)Malta MedFish4Ever Ministerial Declaration. Ministerial conference on the sustainability of Mediterranean fisheries (Malta, 30 March 2017).
(5)Regulation (EU) No 1380/2013 of the European Parliament and of the Council of 11 December 2013 on the Common Fisheries Policy, amending Council Regulations (EC) No 1954/2003 and (EC) No 1224/2009 and repealing Council Regulations (EC) No 2371/2002 and (EC) No 639/2004 and Council Decision 2004/585/EC (OJ L 354, 28.12.2013, p. 22).
(6)Council Regulation (EC) No 1967/2006 of 21 December 2006 concerning management measures for the sustainable exploitation of fishery resources in the Mediterranean Sea, amending Regulation (EEC) No 2847/93 and repealing Regulation (EC) No 1626/94 (OJ L 409, 30.12.2006, p. 11).
(7)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).
(8)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).
(9)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).
(10)OJ L 123, 12.5.2016, p. 1.
(11)Regulation (EU) No 508/2014 of the European Parliament and of the Council of 15 May 2014 on the European Maritime and Fisheries Fund and repealing Council Regulations (EC) No 2328/2003, (EC) No 861/2006, (EC) No 1198/2006 and (EC) No 791/2007 and Regulation (EU) No 1255/2011 of the European Parliament and of the Council (OJ L 149, 20.5.2014, p. 1).
(12)Council Regulation (EC) No 1224/2009 of 20 November 2009 establishing a Community control system for ensuring compliance with the rules of the common fisheries policy, amending Regulations (EC) No 847/96, (EC) No 2371/2002, (EC) No 811/2004, (EC) No 768/2005, (EC) No 2115/2005, (EC) No 2166/2005, (EC) No 388/2006, (EC) No 509/2007, (EC) No 676/2007, (EC) No 1098/2007, (EC) No 1300/2008, (EC) No 1342/2008 and repealing Regulations (EEC) No 2847/93, (EC) No 1627/94 and (EC) No 1966/2006 (OJ L 343, 22.12.2009, p. 1).
(13)Regulation (EU) No 1343/2011 of the European Parliament and of the Council of 13 December 2011 on certain provisions for fishing in the GFCM (General Fisheries Commission for the Mediterranean) Agreement area and amending Council Regulation (EC) No 1967/2006 concerning management measures for the sustainable exploitation of fishery resources in the Mediterranean Sea (OJ L 347, 30.12.2011, p. 44).
(14)Commission Implementing Regulation (EU) No 404/2011 of 8 April 2011 laying down detailed rules for the implementation of Council Regulation (EC) No 1224/2009 establishing a Community control system for ensuring compliance with the rules of the Common Fisheries Policy (OJ L 112, 30.4.2011, p. 1).
(15)+ OJ: Please insert in the text the number of the Regulation contained in document PE-CONS 32/19 (2018/0050(COD)) and insert the number, title, date and OJ reference of that Regulation in the footnote.
(16)+ OJ: Please insert in the text the number of the Regulation contained in document PE-CONS 32/19 (2018/0050(COD)).


Strengthening the security of identity cards and of residence documents issued to Union citizens ***I
PDF 235kWORD 70k
Resolution
Consolidated text
European Parliament legislative resolution of 4 April 2019 on the proposal for a Regulation of the European Parliament and of the Council on strengthening the security of identity cards of Union citizens and of residence documents issued to Union citizens and their family members exercising their right of free movement (COM(2018)0212 – C8-0153/2018 – 2018/0104(COD))
P8_TA-PROV(2019)0345A8-0436/2018

(Ordinary legislative procedure: first reading)

The European Parliament,

–  having regard to the Commission proposal to Parliament and the Council (COM(2018)0212),

–  having regard to Article 294(2) and Article 21(2) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8‑0153/2018),

–  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 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 Civil Liberties, Justice and Home Affairs and the opinion in the form of amendments of the Committee on Women's Rights and Gender Equality (A8-0436/2018),

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.

Position of the European Parliament adopted at first reading on 4 April 2019 with a view to the adoption of Regulation (EU) 2019/… of the European Parliament and of the Council on strengthening the security of identity cards of Union citizens and of residence documents issued to Union citizens and their family members exercising their right of free movement

P8_TC1-COD(2018)0104


(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 21(2) thereof,

Having regard to the proposal from the European Commission,

After transmission of the draft legislative act to the national parliaments,

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

After consulting the Committee of the Regions ,

Acting in accordance with the ordinary legislative procedure(3),

Whereas:

(1)  The Treaty on the European Union (TEU) resolved to facilitate the free movement of persons while ensuring the safety and security of the peoples of Europe, by establishing an area of freedom, security and justice, in accordance with the provisions of the TEU and of the Treaty on the Functioning of the European Union (TFEU).

(2)  Citizenship of the Union confers on every citizen of the Union the right of free movement, subject to certain limitations and conditions. Directive 2004/38/EC of the European Parliament and of the Council(4) gives effect to that right. Article 45 of the Charter of Fundamental Rights of the European Union (the Charter) also provides for freedom of movement and residence. Freedom of movement entails the right to exit and enter Member States with a valid identity card or passport.

(3)  Pursuant to Directive 2004/38/EC, Member States are to issue and renew identity cards or passports to their nationals in accordance with national laws. Furthermore, that Directive provides that Member States may require Union citizens and their family members to register with the relevant authorities. Member States are required to issue registration certificates to Union citizens under the conditions set out therein. Pursuant to that Directive, Member States are also required to issue residence cards to family members who are not nationals of a Member State and, on application, to issue documents certifying permanent residence and to issue permanent residence cards.

(4)  Directive 2004/38/EC provides that Member States may adopt the necessary measures to refuse, terminate or withdraw any right conferred by that Directive in the case of abuse of rights or fraud. Document forgery or false presentation of a material fact concerning the conditions attached to the right of residence have been identified as typical cases of fraud under that Directive.

(5)  Considerable differences exist between the security levels of national identity cards issued by Member States and residence permits for Union nationals residing in another Member State and their family members. Those differences increase the risk of falsification and document fraud. and also give rise to practical difficulties for citizens when they wish to exercise their right of free movement. Statistics from the European Document Fraud Risk Analysis Network show that incidents of fraudulent identity cards have increased over time.

(6)  In its Communication of 14 September 2016 entitled “Enhancing security in a world of mobility: improved information exchange in the fight against terrorism and stronger external borders”, the Commission stressed that secure travel and identity documents are crucial whenever it is necessary to establish without doubt a person’s identity, and announced that it would be presenting an action plan to tackle travel document fraud. According to that Communication, an improved approach relies on robust systems to prevent abuses and threats to internal security arising from failings in document security, in particular related to terrorism and cross-border crime.

(7)  According to the Commission´s Action Plan of 8 December 2016 to strengthen the European response to travel document fraud (the 2016 Action Plan), at least three quarters of fraudulent documents detected at the external borders, but also in the area without controls at internal borders, purport to have been issued by Member States and the Schengen associated countries. Less secure national identity cards issued by Member States are the most frequently detected false documents used for intra-Schengen travel.

(8)  In order to deter identity fraud, Member States should ensure that the falsification and counterfeiting of identification documents and the use of such falsified or counterfeit documents are adequately penalised by their national law.

(9)  The 2016 Action Plan addressed the risk from fraudulent identity cards and residence documents. The Commission, in the 2016 Action Plan, and in its 2017 EU Citizenship Report , committed itself to analysing policy options to improve the security of identity cards and residence documents.

(10)  According to the 2016 Action Plan, issuing authentic and secure identity cards requires a reliable identity registration process and secure “breeder” documents to support the application process. The Commission, the Member States and the relevant Union agencies should continue to work together to make breeder documents less vulnerable to fraud, given the increased use of false breeder documents.

(11)  This Regulation does not require Member States to introduce identity cards or residence documents where they are not provided for under national law, nor does it affect the competence of the Member States to issue, under national law, other residence documents which fall outside the scope of Union law, for example residence cards issued to all residents on the territory regardless of their nationality.

(12)  This Regulation does not prevent Member States from accepting, in a non-discriminatory manner, documents other than travel documents, for identification purposes, such as driving licences..

(13)  Identification documents issued to citizens whose rights of free movement have been restricted in accordance with Union or national law, and which expressly indicate that they cannot be used as travel documents, should not be considered as falling within the scope of this Regulation.

(14)  Travel documents compliant with part 5 of International Civil Aviation Organization (ICAO) Document 9303 on Machine Readable Travel Documents, (seventh edition, 2015) (‘ICAO Document 9303’), which do not serve identification purposes in the issuing Member States, such as the passport card issued by Ireland, should not be considered as falling within the scope of this Regulation.

(15)  This Regulation does not affect the use of identity cards and residence documents with eID function by Member States for other purposes, nor does it affect the rules laid down in Regulation (EU) No 910/2014 of the European Parliament and of the Council(5), which provides for Union-wide mutual recognition of electronic identifications in access to public services and which helps citizens who are moving to another Member State, by requiring mutual recognition of electronic identification means subject to certain conditions . Improved identity cards should ensure easier identification and contribute to better access to services.

(16)  Proper verification of identity cards and residence documents requires that Member States use the correct title for each type of document covered by this Regulation. In order to facilitate the checking of documents covered by this Regulation in other Member States, the document title should also appear in at least one additional official language of the institutions of the Union. Where Member States already use, for identity cards, well-established designations other than the title ‘identity card’, they should be able to continue to do so in their official language or languages. However, no new designations should be introduced in the future.

(17)  Security features are necessary to verify if a document is authentic and to establish the identity of a person. The establishment of minimum security standards and the integration of biometric data in identity cards and in residence cards of family members who are not nationals of a Member State areimportant steps in rendering their use in the Union more secure. The inclusion of such biometric identifiers should allow Union citizens to fully benefit from their rights of free movement.

(18)  The storage of a facial image and two fingerprints (“biometric data”) on identity and residence cards, as already provided for in respect of biometric passports and residence permits for third-country nationals, represents an appropriate combination of reliable identification and authentication with a reduced risk of fraud, for the purpose of strengthening the security of identity and residence cards.

(19)  As a general practice, Member States should, for the verification of the authenticity of the document and the identity of the holder, primarily verify the facial image and, where necessary to confirm without doubt the authenticity of the document and the identity of the holder, Member States should also verify the fingerprints.

(20)  Members States should ensure that, in cases where a verification of biometric data does not confirm the authenticity of the document or the identity of its holder, a compulsory manual check is carried out by qualified staff.

(21)  This Regulation does not provide a legal basis for setting up or maintaining databases at national level for the storage of biometric data in Member States, which is a matter of national law that needs to comply with Union law regarding data protection. Moreover, this Regulation does not provide a legal basis for setting up or maintaining a centralised database at Union level.

(22)  Biometric identifiers should be collected and stored in the storage medium of identity cards and residence documents for the purposes of verifying the authenticity of the document and the identity of the holder. Such a verification should only be carried out by duly authorised staff and only when the document is required to be produced by law. Moreover, biometric data stored for the purpose of the personalisation of identity cards or residence documents should be kept in a highly secure manner and only until the date of collection of the document and, in any case, no longer than 90 days from the date of issue of the document. After that period, those biometric data should be immediately erased or destroyed. This should be without prejudice to any other processing of these data in accordance with Union and national law regarding data protection .

(23)  The specifications of ICAODocument 9303 which ensure global interoperability including in relation to machine readability and use of visual inspection should be taken into account for the purpose of this Regulation.

(24)  Member States should be able to decide whether to include a person’s gender on a document covered by this Regulation. Where a Member State includes a person's gender on such a document, the specifications of ICAO Document 9303 'F', 'M' or 'X' or the corresponding single initial used in the language or languages of that Member State should be used, as appropriate.

(25)  Implementing powers should be conferred on the Commission in order to ensure that future security standards and technical specifications adopted pursuant to Council Regulation (EC) No 1030/2002(6) are duly taken into account, where appropriate, for identity cards and residence cards . Those powers should be exercised in accordance with Regulation (EU) No 182/2011 of the European Parliament and of the Council(7). To that end, the Commission should be assisted by the Committee established by Article 6 of Council Regulation (EC) No 1683/95(8). Where necessary, it should be possible for the implementing acts adopted to remain secret in order to prevent the risk of counterfeiting and falsifications.

(26)  Member States should ensure that appropriate and effective procedures for the collection of biometric identifiers are in place and that such procedures comply with the rights and principles set out in the Charter, the Convention for the Protection of Human Rights and Fundamental Freedoms of the Council of Europe and the United Nations Convention on the Rights of the Child. Member States should ensure that the best interest of the child is a primary consideration throughout the collection procedure. To that end, qualified staff should receive appropriate training on child-friendly practices for the collecting of biometric identifiers.

(27)  Where difficulties are encountered in the collection of biometric identifiers, Member States should ensure that appropriate procedures are in place to respect the dignity of the person concerned. Therefore, specific considerations relating to gender, and to the specific needs of children and of vulnerable persons should be taken into account.

(28)  The introduction of minimum security and format standards foridentity cards should allow Member States to rely on the authenticity of those documents when Union citizens exercise their right of free movement. The introduction of reinforced security standards should provide sufficient guarantees to public authorities and private entities to enable them to rely on the authenticity of identity cards when used by Union citizens for identification purposes.

(29)  A distinguishing sign in the form of the two-letter country code of the Member State issuing the document, printed in negative in a blue rectangle and encircled by 12 yellow stars, facilitates the visual inspection of the document, in particular when the holder is exercising the right of free movement.

(30)  While the option to provide for additional national features is maintained, Member States should ensure that those features do not diminish the efficiency of the common security features or negatively affect the cross-border compatibility of the identity cards, such as the capability that the identity cards can be read by machines used by Member States other than those which issue the identity cards.

(31)  The introduction of security standards in identity cards and in residence cards of family members who are not nationals of a Member State should not result in a disproportionate increase in fees for Union citizens or third-country nationals. Member States should take this principle into consideration when issuing calls for tender.

(32)  Member States should take all necessary steps to ensure that biometric data correctly identify the person to whom an identity card is issued. To this end, Member States could consider collecting biometric identifiers, particularly the facial image, by means of live enrolment by the national authorities issuing identity cards.

(33)  Member States should exchange with each other such information as is necessary to access, authenticate and verify the information contained on the secure storage medium. The formats used for the secure storage medium should be interoperable, including in respect of automated border crossing points.

(34)  Directive 2004/38/EC addresses the situation where Union citizens, or family members of Union citizens who are not nationals of a Member State, who do not have the necessary travel documents are to be given every reasonable opportunity to prove by other means that they are covered by the right of free movement. Such means can include identification documents used on a provisional basis and residence cards issued to such family members.

(35)  This Regulation respects the obligations set out in the Charter and in the United Nations Convention on the Rights of Persons with Disabilities. Therefore, Member States are encouraged to work with the Commission to integrate additional features that render identity cards more accessible and user-friendly to people with disabilities, such as visually impaired persons. Member States are to explore the use of solutions, such as mobile registration devices, for the issuance of identity cards to persons incapable of visiting the authorities responsible for issuing identity cards.

(36)  Residence documents issued to citizens of the Union should include specific information to ensure that they are identified as such in all Member States. This should facilitate the recognition of the Union citizen's use of the right of free movement and of the rights inherent to this use, but harmonisation should not go beyond what is appropriate to address the weaknesses of current documents. Member States are free to select the format in which these documents are issued and could issue them in a format complying with the specifications of ICAO Document 9303 .

(37)  As regards residence documents issued to family members who are not nationals of a Member State, it is appropriate to make use of the same format and security features as those provided for in Regulation (EC) No 1030/2002 as amended by Regulation (EU) 2017/1954 of the European Parliament and of the Council(9) . In addition to proving the right of residence, those documents also exempt their holders who are otherwise subject to a visa obligation from the requirement to obtain a visa when accompanying or joining the Union citizen within the Union territory.

(38)  Directive 2004/38/EC provides that documents issued to family members who are not nationals of a Member State are to be called "Residence card of a family member of a Union citizen". In order to facilitate their identification, residence cards of a family member of a Union citizen should bear a standardised title and code.

(39)  Taking into account both the security risk and the costs incurred by Member States, identity cards as well as residence cards of a family member of a Union citizen with insufficient security standards should be phased out. In general, a phasing-out period of ten years for identity cards and five years for residence cards should be sufficient to strike a balance between the frequency with which documents are usually replaced and the need to fill the existing security gap within the Union. However, for cards which do not have important security features, or are not machine readable, a shorter phasing-out period ▌is necessary on security grounds.

(40)  Regulation (EU) 2016/679 of the European Parliament and of the Council (10) applies with regard to the personal data to be processed in the context of the application of this Regulation. It is necessary to further specify safeguards applicable to the processed personal data and in particular to sensitive data such as biometric identifiers. Data subjects should be made aware of the existence in their documents of the storage medium containing their biometric data including its accessibility in contactless form as well as of all instances where the data contained in their identity cards and residence documents are used. In any case, data subjects should have access to personal data processed in their identity cards and residence documents and should have the right to have them rectified by way of issuance of a new document where such data is erroneous or incomplete. The storage medium should be highly secure and effectively protect personal data stored on it from unauthorised access.

(41)  Member States should be responsible for the proper processing of biometric data, from collection to integration of the data on the highly secure storage medium, in accordance with Regulation (EU) 2016/679.

(42)  Member States should exercise particular caution when cooperating with an external service provider. Such cooperation should not exclude any liability of the Member States arising under Union or national law for breaches of obligations with regard to personal data.

(43)  It is necessary to specify in this Regulation the basis for the collection and storage of data on the storage medium of identity cards and residence documents. In accordance with Union or national law and respecting the principles of necessity and proportionality, Member States should be able to store ▌other data on a storage medium for electronic services or for other purposes relating to the identity card or residence document. The processing of such other data including their collection and the purposes for which they can be used should be authorised by Union or national law. All national data should be physically or logically separated from biometric data referred to in this Regulation and should be processed in accordance with Regulation (EU) 2016/679.

(44)  Member States should apply this Regulation at the latest 24 months after the date of its entry into force. As from the date of application of this Regulation, Member States should only issue documents which respectthe requirements set out in this Regulation.

(45)  The Commission should report on the implementation of this Regulation two years, and 11 years, respectively, after its date of application, including on the appropriateness of the level of security, taking into account its impact on fundamental rights and data protection principles. In accordance with the Interinstitutional Agreement of 13 April 2016 on Better Law-Making (11), the Commission should, six years after the date of application of this Regulation, and every six years thereafter, carry out an evaluation of this Regulation on the basis of information gathered through specific monitoring arrangements, in order to assess the actual effects of this Regulation and the need for any further action. For the purpose of monitoring, Member States should collect statistics on the number of identity cards and residence documents which they issued.

(46)  Since the objectives of this Regulation, namely to enhance security and to facilitate the exercise of the rights of free movement by Union citizens and their family members cannot be sufficiently achieved by the Member States but can rather, by reason of the scale and effects of the action, be better achieved at Union level, the Union may adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty on European Union. 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.

(47)  This Regulation respects the fundamental rights and observes the principles recognised in particular by the Charter including human dignity, the right to the integrity of the person, the prohibition of inhuman or degrading treatment, the right to equality before the law and non-discrimination, the rights of children, the rights of the elderly, respect for private and family life, the right to the protection of personal data, the right of free movement and the right to an effective remedy. Member States should comply with the Charter when implementing this Regulation.

(48)  The European Data Protection Supervisor and the Fundamental Rights Agency issued opinions on 10 August 2018(12) and on 5 September 2018(13) respectively ,

HAVE ADOPTED THIS REGULATION:

Chapter I

SUBJECT MATTER, SCOPE AND DEFINITIONS

Article 1

Subject matter

This Regulation strengthens the security standards applicable to identity cards issued by Member States to their nationals and to residence documents issued by Member States to Union citizens and their family members when exercising their right to free movement.

Article 2

Scope

This Regulation applies to:

(a)  identity cards issued by Member States to their own nationals as referred to in Article 4 (3) of Directive 2004/38/EC;

ThisRegulation shall not apply to identification documents issued on a provisional basis with a period of validity of less than six months.

(b)  registration certificates issued in accordance with Article 8 of Directive 2004/38/EC to Union citizens residing for more than three months in a host Member State and documents certifying permanent residence issued in accordance with Article 19 of Directive 2004/38/EC to Union citizens upon application;

(c)  residence cards issued in accordance with Article 10 of Directive 2004/38/EC to family members of Union citizens who are not nationals of a Member State and permanent residence cards issued in accordance with Article 20 of Directive 2004/38/EC to family members of Union citizens who are not nationals of a Member State.

CHAPTER II

NATIONAL IDENTITY CARDS

Article 3

Security standards/format/specifications

1, Identity cards issued by Member States shall be produced in ID-1 format and shall contain a machine-readable zone (MRZ). Such identity cards shall be based on the specifications and minimum security standards set out in ICAO Document 9303 and shall comply with the requirements set out in points (c), (d), (f) and (g) of the Annex to Regulation (EC) No 1030/2002 as amended by Regulation (EU) 2017/1954.

2, The data elements included on identity cards shall comply with the specifications set out in part 5 of ICAO document 9303.

By way of derogation from the first subparagraph, the document number may be inserted in zone I and the designation of a person's gender shall be optional.

3.  The document shall bear the title 'Identity card' or another well-established national designation in the official language or languages of the issuing Member State, and the words 'Identity card' in at least one other official language of the institutions of the Union.

4.  The identity card shall contain, on the front side, the two-letter country code of the Member State issuing the card, printed in negative in a blue rectangle and encircled by 12 yellow stars.

5.  Identity cards shall include a highly secure storage medium which shall contain a facial image of the holder of the card and two fingerprints in interoperable digital formats. For the capture of biometric identifiers, Member States shall apply the technical specifications as established by Commission Decision C(2018) 7767(14).

6.  The storage medium shall have sufficient capacity and capability to guarantee the integrity, the authenticity and the confidentiality of the data. The data stored shall be accessible in contactless form and secured as provided for in Decision C(2018)7767. Member States shall exchange the information necessary to authenticate the storage medium and to access and verify the biometric data referred to in paragraph 5.

7.  Children under the age of 12 years may be exempt from the requirement to give fingerprints.

Children under the age of 6 years shall be exempt from the requirement to give fingerprints.

▌Persons in respect of whom fingerprinting is physically impossible shall be exempt from the requirement to give fingerprints.

8.  When necessary and proportionate to the aim to be achieved, Member States may enter such details and observations for national use as may be required in accordance with national law. The efficiency of minimum security standards and the cross-border compatibility of identity cards shall not be diminished as a result.

9.  Where Member States incorporate a dual interface or a separate storage medium in the identity card, the additional storage medium shall comply with the relevant ISO standards and shall not interfere with the storage medium referred to in paragraph 5.

10.  Where Member States store data for electronic services such as e-government and e-business in the identity cards, such national data shall be physically or logically separated from the biometric data referred to in paragraph 5.

11.  Where Member States add additional security features to identity cards, the cross-border compatibility of such identity cards and the efficiency of the minimum security standards shall not be diminished as a result.

Article 4

Period of validity

1.  Identity cards shall have a minimum period of validity of five years and a maximum period of validity of ten years.

2.  By way of derogation from paragraph 1, Member States may provide for a period of validity of:

(a)  less than five years, for identity cards issued to minors;

(b)  in exceptional cases, less than five years, for identity cards issued to persons in special and limited circumstances and where their period of validity is limited in compliance with Union and national law;

(c)  more than 10 years, for identity cards issued to persons aged 70 and above.

3.  Member States shall issue an identity card having a validity of 12 months or less where it is temporarily physically impossible to take fingerprints of any of the fingers of the applicant.

Article 5

Phasing out

1.   Identity cards which do not meet the requirements set out in Article 3 shall cease to be valid at their expiry or by [ten years after the date of application of this Regulation], whichever is earlier. ▌

2.   By way of derogation from paragraph 1:

(a)   identity cards which do not meet the minimum security standards set out in part 2 of ICAO document 9303 or which do not include a functional MRZ, as defined in paragraph 3, shall cease to be valid at their expiry or by [five years after the date of application of this Regulation], whichever is earlier;

(b)  identity cards of persons aged 70 and above at [the date of application of this Regulation], which meet the minimum security standards set out in part 2 of ICAO document 9303 and which have a functional MRZ, as defined in paragraph 3, shall cease to be valid at their expiry.

3.   For the purpose of paragraph 2, a functional MRZ shall mean:

(a)  a machine-readable zone compliant with part 3 of ICAO document 9303 ; or

(b)  any other machine-readable zone for which the issuing Member State notifies the rules required for reading and displaying the information contained therein, unless a Member State notifies the Commission, by [the date of application of this Regulation], of its lack of capacity to read and display this information.

Upon receipt of a notification as referred to in point (b) of the first subparagraph, the Commission shall inform the Member State concerned and the Council accordingly.

Chapter III

Residence Documents for Union citizens

Article 6

Minimum information to be indicated

Residence documents when issued by Member States to Union citizens , shall indicate at a minimum the following:

(a)  the title of the document in the official language or languages of the Member State concerned and in at least one other official language of the institutions of the Union;

(b)  a clear reference that the document is issued to a Union citizen in accordance with Directive 2004/38/EC;

(c)  the document number;

(d)  the name (surname and forename(s)) of the holder;

(e)  the date of birth of the holder;

(f)   the information to be included on registration certificates and documents certifying permanent residence, issued in accordance with Articles 8 and 19 of Directive 2004/38/EC, respectively;

(g)  the issuing authority;

(h)  on the front-side, the two-letter country code of the Member State issuing the document, printed in negative in a blue rectangle and encircled by twelve yellow stars.

If a Member State decides to take fingerprints, Article 3(7) shall apply accordingly.

Persons in respect of whom fingerprinting is physically impossible shall be exempt from the requirement to give fingerprints.

Chapter IV

Residence cards for family MEMBERS WHO ARE NOT NATIONALS OF A mEMBER sTATE

Article 7

Uniform format

1 When issuing residence cards to family members of Union citizens who are not nationals of a Member State, Member States shall use the same format as established by Regulation (EC) No 1030/2002 as amended by Regulation (EU) 2017/1954, and as implemented by Decision C(2018)7767.

2 By way of derogation from paragraph 1, a card shall ▌bear the title 'Residence card ▌' or 'Permanent residence card ▌'. Member States shall indicate that these documents are issued to a family member of a Union citizen in accordance with Directive 2004/38/EC. For this purpose, Member States shall use the standardised code 'Family Member EU Art 10 DIR 2004/38/EC' or 'Family Member EU Art 20 DIR 2004/38/EC', in data field [10], as referred to in the Annex to Regulation (EC) No 1030/2002 as amended by Regulation (EU) 2017/1954.

3 Member States may enter data for national use in accordance with national law. When entering and storing such data, Member States shall respect the requirements set out in the second paragraph of Article 4 of Regulation (EC) No 1030/2002 as amended by Regulation (EU) 2017/1954.

Article 8

Phasing out of existing residence cards

1.  Residence cards of family members of Union citizens who are not nationals of a Member State, which do not meet the requirements of Article 7 shall cease to be valid at their expiry or by [five years after ▌the date of application of this Regulation], whichever is earlier.

2.  By way of derogation from paragraph 1, residence cards of family members of Union citizens who are not nationals of a Member State, which do not meet the minimum security standards set out in part 2 of ICAO document 9303 or which do not include a functional MRZ compliant with part 3 of ICAO document 9303 , shall cease to be valid at their expiry or by [two years after ... ▌the date of application of this Regulation], whichever is earlier.

CHAPTER V

COMMON PROVISIONS

Article 9

Contact point

1.  Each Member State shall designate at least one central authority as a contact point for the implementation of this Regulation. Where a Member State has designated more than one central authority, it shall designate which of those authorities will be the contact point for the implementation of this Regulation. It shall communicate the name of that authority to the Commission and the other Member States. If a Member State changes its designated authority, it shall inform the Commission and the other Member States accordingly.

2.  Member States shall ensure that the contact points are aware of ▌relevant information and assistance services at Union level included in the Single Digital Gateway set out in Regulation (EU) 2018/1724 of the European Parliament and of the Council (15)and that they are able to cooperate with such services.

Article 10

Collection of biometric identifiers

1.  The biometric identifiers shall be collected solely by qualified and duly authorised staff designated by the authorities responsible for issuing identity cards or residence cards, for the purpose of being integrated into the highly secure storage medium provided for in Article 3(5) for identity cards and in Article 7(1) for residence cards. By way of derogation from the first sentence, fingerprints shall be collected solely by qualified and duly authorised staff of such authorities, except in the case of applications submitted to the diplomatic and consular authorities of the Member State.

With a view to ensuring the consistency of biometric identifiers with the identity of the applicant, the applicant shall appear in person at least once during the issuance process for each application.

2.  Member States shall ensure that appropriate and effective procedures for the collection of biometric identifiers are in place and that those procedures comply with the rights and principles set out in the Charter, the Convention for the Protection of Human Rights and Fundamental Freedoms and the United Nations Convention on the Rights of the Child.

Where difficulties are encountered in the collection of biometric identifiers, Member States shall ensure that appropriate procedures are in place to respect the dignity of the person concerned.

3.  Other than where required for the purpose of processing in accordance with Union and national law, biometric identifiers stored for the purpose of personalisation of identity cards or residence documents shall be kept in a highly secure manner and only until the date of collection of the document and, in any case, no longer than 90 days from the date of issue. After this period, these biometric identifiers shall be immediately erased or destroyed.

Article 11

Protection of personal data and liability

1.  Without prejudice to Regulation (EU) 2016/679, Member States shall ensure the security, integrity, authenticity and confidentiality of the data collected and stored for the purpose of this Regulation.

2.  For the purpose of this Regulation, the authorities responsible for issuing identity cards and residence documents shall be considered as the controller referred to in Article 4(7) of Regulation (EU) 2016/679 and shall have responsibility for the processing of personal data.

3.  Member States shall ensure that supervisory authorities can fully exercise their tasks as referred to in Regulation (EU) 2016/679, including access to all personal data and all necessary information as well as access to any premises or data processing equipment of the competent authorities.

4.  Cooperation with external service providers shall not exclude any liability on the part of a Member State which may arise under Union or national law in respect of breaches of obligations with regard to personal data.

5.  Information in machine-readable form shall only be included in an identity card or residence document in accordance with this Regulation and the national law of the issuing Member State.

6.  Biometric data stored in the storage medium of identity cards and residence documents shall only be used in accordance with Union and national law, by the duly authorised staff of competent national authorities and Union agencies, for the purpose of verifying:

(a)  the authenticity of the identity card or residence document;

(b)  the identity of the holder by means of directly available comparable features where the identity card or residence document is required to be produced by law.

7.  Member States shall maintain, and communicate annually to the Commission, a list of the competent authorities with access to the biometric data stored on the storage medium referred to in Article 3(5) of this Regulation. The Commission shall publish online a compilation of such national lists.

Article 12

Monitoring

By (12 months after the date of entry into force of this Regulation), the Commission shall establish a detailed programme for monitoring the outputs, results and impact of this Regulation, including its impact on fundamental rights.

The monitoring programme shall set out the means by which and the intervals at which the data and other necessary evidence are to be collected. It shall specify the action to be taken by the Commission and by Member States in collecting and analysing the data and other evidence.

Member States shall provide the Commission with the data and other evidence necessary for such monitoring.

Article 13

Reporting and Evaluation

1.  Two years, and 11 years, respectively, after the date of application of this Regulation, the Commission shall report to the European Parliament, to the Council and to the European Economic and Social Committee on its implementation, in particular on the protection of fundamental rights and personal data.

2.  ▌Six years after the date of application of this Regulation, and every subsequent six years, the Commission shall carry out an evaluation of this Regulation and present a report on the main findings to the European Parliament, to the Council and to the European Economic and Social Committee. The report shall in particular focus on:

(a)  the impact of this Regulation on fundamental rights;

(b)  the mobility of Union citizens;

(c)  the effectiveness of biometric verification in ensuring the security of travel documents;

(d)  a possible use of residence cards as travel documents;

(e)  a possible further visual harmonisation of identity cards;

(f)  the necessity of introducing common security features of identification documents used on a provisional basis in view of their better recognition.

3.  Member States and relevant Union agencies shall provide the Commission with the information necessary for the preparation of these reports.

Article 14

Additional technical specifications

1.  In order to ensure, where appropriate, that identity cards and residence documents referred to in points (a) and (c) of Article 2 comply with future minimum security standards, the Commission shall establish, by means of implementing acts, additional technical specifications, relating to the following:

(a)   additional security features and requirements, including enhanced anti- forgery, counterfeiting and falsification standards;

(b)  technical specifications for the storage medium of the biometric features referred to in Article 3(5) and their security, including prevention of unauthorised access and facilitation of validation;

(c)  requirements for quality and common technical standards for the facial image and the fingerprints.

Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 15(2).

2.  In accordance with the procedure referred to in Article 15(2), it may be decided that the specifications referred to in this Article are to be secret and are not to be published. In such a case, they shall be made available only to the bodies designated by the Member States as responsible for printing and to persons duly authorised by a Member State or by the Commission.

3.  Each Member State shall designate one body having responsibility for printing identity cards, and one body having responsibility for printing residence cards of family members of Union citizens, and shall communicate the names of such bodies to the Commission and to the other Member States. Member States shall be entitled to change such designated bodies and shall inform the Commission and the other Member States accordingly.

Member States may also decide to designate a single body having responsibility for printing both identity cards and residence cards of family members of Union citizens and shall communicate the name of this body to the Commission and to the other Member States.

Two or more Member States may also decide to designate a single body for those purposes and shall inform the Commission and the other Member States accordingly.

Article 15

Committee procedure

1.  The Commission shall be assisted by the Committee established by Article 6 of Regulation (EC) No 1683/95. 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. Where the committee does not deliver an 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.

Article 16

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 … [24 months after the date of entry into force of this Regulation].

This Regulation shall be binding in its entirety and directly applicable in all Member States.

Done at ...,

For the European Parliament For the Council

The President The President

(1) OJ C 367, 10.10.2018, p. 78.
(2)OJ C 367, 10.10.2018, p. 78.
(3) Position of the European Parliament of 4 April 2019.
(4)Directive 2004/38/EC of the European Parliament and of the Council of 29 April 2004 on the right of citizens of the Union and their family members to move and reside freely within the territory of the Member States (OJ L 158, 30.4.2004, p. 77).
(5)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).
(6) Council Regulation (EC) No 1030/2002 of 13 June 2002 laying down a uniform format for residence permits for third-country nationals (OJ L 157, 15.6.2002, p. 1).
(7) Regulation (EU) No 182/2011 of the European Parliament and of the Council of 16 February 2011 laying down the rules and general principles concerning mechanisms for control by the Member States of the Commission's exercise of implementing powers (OJ L 55, 28.2.2011, p. 13).
(8) Council Regulation (EC) No 1683/95 of 29 May 1995 laying down a uniform format for visas (OJ L 164, 14.7.1995, p. 1).
(9) Regulation (EU) 2017/1954 of the European Parliament and of the Council of 25 October 2017 amending Council Regulation (EC) No 1030/2002 laying down a uniform format for residence permits for third-country nationals (OJ L 286, 1.11.2017, p. 9).
(10)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).
(11) OJ L 123, 12.5.2016, p. 1.
(12) OJ C 338, 21.9.2018, p. 22.
(13) Not yet published.
(14) Commission Decision C(2018) 7767 of 30 November 2018 laying down the technical specifications for the uniform format for residence permits for third country nationals.
(15) Regulation (EU) 2018/1724 of the European Parliament and of the Council of 2 October 2018 establishing a single digital gateway to provide access to information, to procedures and to assistance and problem-solving services and amending Regulation (EU) No 1024/2012 (OJ L 295, 21.11.2018, p. 1).


Road infrastructure safety management ***I
PDF 239kWORD 67k
Resolution
Consolidated text
European Parliament legislative resolution of 4 April 2019 on the proposal for a directive of the European Parliament and of the Council amending Directive 2008/96/EC on road infrastructure safety management (COM(2018)0274 – C8-0196/2018 – 2018/0129(COD))
P8_TA-PROV(2019)0346A8-0008/2019

(Ordinary legislative procedure: first reading)

The European Parliament,

–  having regard to the Commission proposal to Parliament and the Council (COM(2018)0274),

–  having regard to Article 294(2) and Article 91(1)(c) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8‑0196/2018),

–  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 17 October 2018(1),

–  having regard to the opinion of the Committee of the Regions of 6 February 2019(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 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 (A8-0008/2019),

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.

Position of the European Parliament adopted at first reading on 4 April 2019 with a view to the adoption of Directive (EU) 2019/… of the European Parliament and of the Council amending Directive 2008/96/EC on road infrastructure safety management(3)

P8_TC1-COD(2018)0129


THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty on the Functioning of the European Union and in particular Article 91(1) thereof,

Having regard to the proposal from the European Commission,

After transmission of the draft legislative act to the national parliaments,

Having regard to the opinion of the European Economic and Social Committee(4),

Having regard to the opinion of the Committee of the Regions(5),

Acting in accordance with the ordinary legislative procedure(6),

Whereas:

(1)  The communication of 20 July 2010 from the Commission to the European Parliament, the Council, the Economic and Social Committee and the Committee of the Regions entitled "Towards a European road safety area: policy orientations on road safety 2011-2020" stated the strategic objectives of the Union to halve the number of road deaths by 2020 compared to 2010 and to move close to zero fatalities by 2050. However, progress towards achieving those objectives has stalled in recent years. A new interim target of halving the number of serious injuries by 2030 compared to 2020 was endorsed by Council in its conclusions of 8 June 2017 on road safety, endorsing the Valletta Declaration of March 2017. Greater efforts are therefore needed to attain both those targets.

(2)  According to the Safe System approach, death and serious injury in road accidents is largely preventable. It should be a shared responsibility at all levels to ensure that road accidents do not lead to serious or fatal injuries. In particular, well-designed and properly maintained and clearly marked and signed roads should reduce the probability of road accidents, whilst “forgiving” roads (roads laid out in an intelligent way to ensure that driving errors do not immediately have serious or fatal consequences) should reduce the severity of road accidents. The Commission should provide guidance for the provision and maintenance of “forgiving roadsides”, building on the experience of all Member States.

(3)  The roads of the trans-European transport network (TEN-T network) identified in Regulation (EU) No 1315/2013 of the European Parliament and of the Council(7) are of key importance in supporting European integration. A high level of safety should therefore be guaranteed on those roads.

(4)  The road infrastructure safety management procedures implemented on the TEN-T network have helped reduce fatalities and serious injuries in the Union. It is clear from the evaluation of the effects of Directive 2008/96/EC of the European Parliament and of the Council(8) that Member States which have been applying road infrastructure safety management (‘RISM’) principles on a voluntary basis to their national roads beyond the TEN-T network have achieved a much better road safety performance than Member States which did not do so. It is therefore also desirable for those RISM principles to be applied to other parts of the European road network.

(5)  It is important that the road sections built on bridges and road sections that pass through tunnels which are part of the network within the scope of this Directive are also covered by this Directive as far as road safety is concerned, with the exception of tunnels covered by Directive 2004/54/EC of the European Parliament and of the Council(9).

(6)  For reasons of road safety, it is important that entries and exits to parking areas along the network within the scope of this Directive, in particular motorways and primary roads, are also covered by this Directive.

(7)  Seasonal conditions differ substantially between the Member States and regions. It is therefore important that those conditions are appropriately taken into consideration in the national provisions transposing this Directive.

(8)  A large proportion of road accidents occur on a small proportion of roads where traffic volumes and speeds are high and where there is a wide range of traffic travelling at different speeds. Therefore the limited extension of the scope of Directive 2008/96/EC to motorways and other primary roads beyond the TEN-T network should contribute significantly to the improvement of road infrastructure safety across the Union.

(9)  In order to ensure that such extension of scope has the intended effect, it is logical that primary roads other than motorways include all roads belonging to the highest category of roads below the category motorway in the national roads classification. For the same reason, Member States should be encouraged to ensure that at least all roads to which Directive 2008/96/EC applied before the entry into force of this Directive, including on a voluntary basis, should remain covered by this Directive.

(10)  The mandatory application of the procedures laid down in Directive 2008/96/EC to any road infrastructure project outside urban areas which is completed using Union funding should ensure that Union funds are not used to build unsafe roads.

(11)  Directive 2008/96/EC covers exclusively road infrastructure. Road traffic law is therefore not affected by this Directive, and neither is the Member States’ competence to make decisions on their own authority with regard to road traffic law. The United Nations’ Geneva Convention on Road Traffic of 19 September 1949 and the Vienna Convention on Road Traffic of 8 November 1968, as well as the Vienna Convention on Road Signs and Signals of 8 November 1968, should be respected.

(12)  Risk-based network-wide road safety assessment has emerged as an efficient and effective tool to identify sections of the network that should be targeted by more detailed road safety inspections and to prioritise investment according to its potential to deliver network-wide safety improvements. The entire road network covered by this Directive should therefore be systematically assessed, including by means of data gathered by electronic and digital means, to increase road safety across the Union.

(13)  Integrating the best performing elements from the previous "safety ranking and management of the road network in operation procedure" into the new network-wide road safety assessment procedure should allow better identification of road sections where the opportunities to improve safety are the greatest and where targeted interventions should deliver the biggest improvements.

(14)  In order to improve the quality, objectivity and efficiency of the RISM procedures, it is beneficial to allow Member States to take advantage, where appropriate, of the continuously developing technologies for inspecting road sections, document road safety conditions and collecting other data related to the safety of the road network.

(15)  Systematic follow-up of the findings of RISM procedures is crucial to achieve the road infrastructure safety improvements necessary for meeting the Union's road safety objectives. To this end, prioritised action plans should ensure that the necessary interventions are implemented as soon as possible. In particular, the findings of the network-wide road safety assessment should be followed up either by targeted road safety inspections or, if possible and cost-efficient, by direct remedial action aimed at eliminating or reducing the road safety risks without imposing an undue administrative burden.

(16)  The safety performance of existing roads should be improved by targeting investment to the road sections with the highest accident concentration and the highest accident reduction potential.

(17)  Funding and financial incentives at Union level can, in accordance with the applicable conditions, be used to provide support for such investment, complementing corresponding national investment and incentives.

(18)  Sections of the road network adjoining road tunnels of the trans-European road network covered by Directive 2004/54/EC have a particularly high accident risk. Joint road safety inspections of those road sections involving representatives of both the competent road and tunnel authorities should therefore be introduced in order to improve the safety of the road network covered by this Directive.

(19)  Vulnerable road users accounted for 47 % of road fatalities in the Union in 2017. Ensuring that the interests of the vulnerable road users are taken into account in all RISM procedures and the development of quality requirements for infrastructure for such road users should therefore improve their safety on the road.

(20)  In order to enable Member States to enhance their procedures aiming at ensuring the operational use of their road markings and road signs, common specifications should be established in order to foster the effective readability and detectability of road markings and road signs for human drivers and automated driver assistance systems.

(21)  Improving safety is a priority also for rail-road crossings (i.e. signalling, infrastructure improvement). According to the Report on Railway Safety and Interoperability in the EU 2018 of the European Union Agency for Railways there were, in 2016, 433 significant accidents on the 108 000 level crossings in the Union, resulting in 255 fatalities and 217 people being seriously injured. Consequently, level crossings which pose a high safety risk should be identified, with a view of improving them.

(22)  High-quality road markings and road signs are crucial to support drivers and connected and automated vehicles. Common specifications for road markings and road signs should form the basis that paves the way towards the roll-out of advanced connected and automated mobility systems. A joint European approach in accordance with the Vienna Convention on Road Signs and Signals of 1968 would be preferable.

(23)  To reinforce the results expected from the application of this Directive and to ensure adequate level of safety in emergency situations, Member States could facilitate cooperation between their civil protection, emergency response and traffic police services, wherever appropriate and especially in cross-border road sections. Where cooperation between Member States is needed in those activities, the Union Civil Protection Mechanism pursuant to Decision No 1313/2013/EU of the European Parliament and of the Council(10) offers a framework to that end.

(24)  Without prejudice to legislation on public procurement, in particular Directive 2014/25/EU of the European Parliament and of the Council(11), the technical specifications relating to safety should be made publicly accessible where public procurements are carried out in the sector of road infrastructure.

(25)  In order to achieve transparency and improve accountability, road safety ratings should be reported so that road users can be informed about the state of the infrastructure and their awareness generally raised.

(26)  The exchange of experience on Safe System methodologies between practitioners and the information exchange between road safety auditors should be encouraged.

(27)  Publication of the results of network-wide road safety assessments should allow the level of road infrastructure safety to be compared across the Union.

(28)  Since the objective of this Directive, namely the establishment of procedures to ensure a consistently high level of road safety throughout the TEN-T network and the network of motorways and primary roads across the Union cannot be sufficiently achieved by the Member States, but can rather, as improvement is necessary throughout the Union in order to ensure convergence towards higher standards of road infrastructure safety, be better achieved at Union level, the Union may adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty on European Union. In accordance with the principle of proportionality as set out in that Article, this Directive does not go beyond what is necessary in order to achieve that objective. As a result of action at Union level, travel throughout the Union should become safer, and this in turn should improve the functioning of the internal market and support the objective of economic, social and territorial cohesion.

(29)  In order to ensure that the content of RISM procedures continues to reflect the best available technical knowledge, 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 adapting the Annexes to this Directive 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 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.

(30)  Specific measures are necessary for the continuous improvement of road safety management practices and to facilitate the recognition of road markings and road signs by vehicles equipped with driver assistance systems or higher levels of automation. In order to ensure uniform conditions for the implementation of the relevant provisions of this Directive, 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).

(31)  Directive 2008/96/EC should therefore be amended accordingly,

HAVE ADOPTED THIS DIRECTIVE:

Article 1

Amendments to Directive 2008/96/EC

Directive 2008/96/EC is amended as follows:

(1)  Article 1 is replaced by the following:"

"Article 1

Subject matter and scope

1.  This Directive requires the establishment and implementation of procedures relating to road safety impact assessments, road safety audits, road safety inspections and network-wide road safety assessments by the Member States.

2.  This Directive shall apply to roads which are part of the trans-European road network, to motorways and to other primary roads, whether they are at the design stage, under construction or in operation.

3.  This Directive shall also apply to roads and to road infrastructure projects not covered by paragraph 2 which are situated outside urban areas, which do not serve properties bordering on them and which are completed using Union funding, with the exception of roads that are not open to general motor vehicle traffic, such as bicycle paths, or roads that are not designed for general traffic, such as access roads to industrial, agricultural or forestry sites.

4.  Member States may exempt from the scope of this Directive primary roads which have a low risk for safety, based on duly justified grounds connected to traffic volumes and accident statistics.

Member States may include in the scope of this Directive roads not referred to in paragraphs 2 and 3.

Each Member State shall notify to the Commission, by ... [24 months following the entry into force of this amending Directive], the list of motorways and primary roads on its territory and, thereafter, any subsequent changes thereto. In addition, each Member State shall notify to the Commission the roads exempted in accordance with this paragraph from or included in the scope of this Directive, and, thereafter, any subsequent changes thereto.

The Commission shall publish the list of roads notified in accordance with this Article.

5.  This Directive shall not apply to road tunnels covered by Directive 2004/54/EC.";

"

(2)  Article 2 is amended as follows:

(a)  point 1 is replaced by the following:"

"1. ‘trans-European road network’ means the road networks identified in Regulation (EU) No 1315/2013 of the European Parliament and of the Council*;

_____________________

* 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).";

"

(b)  the following points are inserted:"

"2a. ‘motorway’ means a road, specially designed and built for motor traffic, which does not serve properties bordering on it and which meets the following criteria:

   (a) it is provided, except at special points or temporarily, with separate carriageways for the two directions of traffic, separated from each other either by a dividing strip not intended for traffic or, exceptionally, by other means;
   (b) it does not cross at level with any road, railway or tramway track, bicycle path or footpath;
   (c) it is specifically designated as a motorway;

2b.  ‘primary road’ means a road outside urban areas that connects major cities or regions, or both, belonging to the highest category of road below the category 'motorway' in the national road classification that is in place on ... [the date of publication of this amending Directive in the OJ];"

"

(c)  point 5 is deleted;

(d)  points 6 and 7 are replaced by the following:"

"6. ‘safety rating’ means the classification of parts of the existing road network in categories according to their objectively measured in-built safety;

7.  'targeted road safety inspection' means a targeted investigation to identify hazardous conditions, defects and problems that increase the risk of accidents and injuries, based on a site visit of an existing road or section of road;";

"

(e)   the following point is inserted:"

"7a. 'periodic road safety inspection' means an ordinary periodical verification of the characteristics and defects that require maintenance work for reasons of safety;";

"

(f)  the following point is added:"

"10. 'vulnerable road user’ means non-motorised road users, including, in particular, cyclists and pedestrians, as well as users of powered two-wheelers.";

"

(3)  in Article 4 the following paragraph is added:"

"5a. The Commission shall provide guidance for the design of “forgiving roadsides” and “self-explaining and self-enforcing roads” in the initial audit of the design phase as well as on quality requirements regarding vulnerable road users. That guidance shall be developed in close cooperation with Member State experts.";

"

(4)  Article 5 is replaced by the following:"

"Article 5

Network-wide road safety assessment

1.  Member States shall ensure that a network-wide road safety assessment is carried out on the entire road network in operation covered by this Directive. ▌

2.  Network-wide road safety assessments shall evaluate accident and impact severity risk, based on:

   (a) primarily, a visual examination, either on site or by electronic means, of the design characteristics of the road (in-built safety); and
   (b) an analysis of sections of the road network which have been in operation for more than three years and upon which a large number of serious accidents in proportion to the traffic flow have occurred.

3.  Member States shall ensure that the first network-wide road safety assessment is carried out by 2024 at the latest. Subsequent network-wide road safety assessments shall be sufficiently frequent in order to ensure adequate safety levels, but in any case shall be carried out at least every five years.

4.  In carrying out the network-wide road safety assessment, Member States may take into account the indicative elements set out in Annex III.

5.  The Commission shall provide guidance on the methodology for carrying out systematic network-wide road safety assessments and safety ratings.

6.  On the basis of the results of the assessment referred to in paragraph 1, and for the purpose of prioritisation of needs for further action, Member States shall classify all sections of the road network in no fewer than three categories according to their level of safety.";

"

(5)  Article 6 is amended as follows:

(a)  the title is replaced by the following:"

"Article 6

Periodic road safety inspections";

"

(b)  paragraph 1 is replaced by the following:"

"1. Member States shall ensure that periodic road safety inspections are undertaken with sufficient frequency to safeguard adequate safety levels for the road infrastructure in question.";

"

(c)  paragraph 2 is deleted;

(d)   paragraph 3 is replaced by the following:"

"3. Member States shall ensure the safety of sections of the road network adjoining road tunnels covered by Directive 2004/54/EC through joint road safety inspections involving the competent entities involved in the implementation of this Directive and Directive 2004/54/EC. The joint road safety inspections shall be sufficiently frequent to safeguard adequate safety levels, but in any case shall be carried out at least every six years.";

"

(6)  the following Articles are inserted:"

"Article 6a

Follow-up of procedures for roads in operation

1.  Member States shall ensure that the findings of network-wide road safety assessments carried out pursuant to Article 5 are followed up either by targeted road safety inspections or by direct remedial action.

2.  When carrying out targeted road safety inspections Member States may take into account the indicative elements set out in Annex IIa.

3.  Targeted road safety inspections shall be carried out by expert teams. At least one member of the expert team shall meet the requirements set out in point (a) of Article 9(4).

4.  Member States shall ensure that the findings of targeted road safety inspections ▌are followed up by reasoned decisions determining if remedial action is necessary. In particular, Member States shall identify road sections where ▌road infrastructure safety improvements are necessary and define actions to be prioritised for improving the safety of those road sections.

5.  Member States shall ensure that remedial action is targeted primarily at road sections with low safety levels and which offer the opportunity for the implementation of measures with high potential for safety development and accident cost savings.

6.  Member States shall prepare and regularly update a risk-based prioritised action plan to track the implementation of identified remedial action.▌

Article 6b

Protection of vulnerable road users

Member States shall ensure that the needs of vulnerable road users are taken into account in the implementation of the procedures set out in Articles 3 to 6.

Article 6c

Road markings and road signs

1.  Member States shall pay specific attention, in their existing and future procedures for road markings and road signs, to readability and detectability for human drivers and automated driver assistance systems. Such procedures shall take into account common specifications where such common specifications have been established in accordance with paragraph 3.

2.  A group of experts established by the Commission shall, at the latest by June 2021, assess the opportunity to establish common specifications including different elements aiming at ensuring the operational use of their road markings and road signs in order to foster the effective readability and detectability of road markings and road signs for human drivers and automated driver assistance systems. That group shall be formed by experts designated by the Member State. The assessment shall include a consultation of the United Nations Economic Commission for Europe.

The assessment shall take into consideration in particular the following elements:

   (a) the interaction between various driver assistance technologies and infrastructure;
   (b) the effect of the weather and atmospheric phenomena as well as traffic on road markings and road signs present on the Union territory;
   (c) the type and frequency of maintenance efforts necessary for various technologies, including an estimate of costs.

3.  Taking into account the assessment referred to in paragraph 2, the Commission may adopt implementing acts to establish common specifications, relating to Member States' procedures referred to in paragraph 1 aiming at ensuring the operational use of their road markings and road signs, with regard to the effective readability and detectability of road markings and road signs for human drivers and automated driver assistance systems.

Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 13(2).

The implementing acts shall be without prejudice to the competence of the European Committee for Standardization regarding standards for road markings and road signs.

Article 6d

Information and transparency

The Commission shall publish a European map of the road network within the scope of this Directive, accessible online, highlighting different categories as referred to in Article 5(6).

Article 6e

Voluntary reporting

Member States shall endeavour to establish a national system for the purpose of voluntary reporting, accessible online to all road users, to facilitate the collection of details of occurrences transmitted by road users and vehicles, and of any other safety-related information which is perceived by the reporter as an actual or potential hazard to road infrastructure safety.";

"

(7)  in Article 7, the following paragraph is inserted:"

"1a. The Commission may adopt implementing acts to provide guidance according to which accident severity, including number of fatalities and injured persons, is to be reported. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 13(2).";

"

(8)  in Article 9, the following paragraph is inserted:"

"1a. For road safety auditors taking their training from ... [5 years after the entry into force of this amending Directive], Member States shall ensure that the training curricula for road safety auditors includes aspects related to vulnerable road users and the infrastructure for such users.";

"

(9)  Article 10 is replaced by the following:"

"Article 10

Exchange of best practices

In order to improve the safety of Union roads, the Commission shall establish a system for the exchange of information and best practices between the Member States, covering, inter alia, training curricula for road safety, existing road infrastructure safety projects and proven road safety technology.";

"

(10)  in Article 11, paragraph 2 is deleted;

(11)  the following Article is inserted:"

"Article 11a

Reporting

1.  Member States shall provide a report to the Commission by 31 October 2025 on the safety classification of the entire network assessed in accordance with Article 5. Where possible, the report shall be based on a common methodology. If applicable, the report shall also cover the list of provisions of national updated guidelines, including in particular the improvements in terms of technological progress and of protection of vulnerable road users. From 31 October 2025, such reports shall be provided every five years.

2.  On the basis of an analysis of the national reports referred to in paragraph 1, in the first instance by 31 October 2027 and every five years thereafter, the Commission shall draw up and submit a report to the European Parliament and to the Council on the implementation of this Directive, in particular with regard to the elements referred to in paragraph 1, and on possible further measures, including a revision of this Directive and possible adaptations to technical progress.";

"

(12)  Article 12 is replaced by the following:"

"Article 12

Amendment of Annexes

The Commission is empowered to adopt delegated acts in accordance with Article 12a amending the Annexes in order to adapt them to technical progress.";

"

(13)  the following Article is inserted:"

"Article 12a

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 for a period of five years from ... [the date of entry into force of this amending Directive]. The Commission shall draw up a report in respect of the delegation of power not later than nine months before the end of the five-year period. The delegation of power shall be tacitly extended for periods of an identical duration, unless the European Parliament or the Council opposes such extension not later than three months before the end of each period.

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 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 12 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.

_____________________

* OJ L 123, 12.5.2016, p. 1.”;

"

(14)  Article 13 is replaced by the following:"

"Article 13

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 of the European Parliament and of the Council*.

2.  Where reference is made to this paragraph, Article 5 of Regulation (EU) No 182/2011 shall apply.

_____________________

* 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)  the Annexes are amended as set out in the Annex to this Directive.

Article 2

Transposition

1.  Member States shall bring into force the laws, regulations and administrative provisions necessary to comply with this Directive by ... [24 months following the entry into force of this Directive]. They shall immediately inform the Commission thereof.

When Member States adopt those measures, they shall contain a reference to this Directive or be accompanied by such a reference on the occasion of their official publication. The methods of making such reference shall be laid down by Member States.

2.  Member States shall communicate to the Commission the text of the main measures of national law which they adopt in the field covered by this Directive.

Article 3

Entry into force

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

Article 4

Addressees

This Directive is addressed to the Member States.

Done at ...,

For the European Parliament For the Council

The President The President

ANNEX

The Annexes to Directive 2008/96/EC are amended as follows:

(1)  Annex I is amended as follows:

(a)  the title is replaced by the following:

"ANNEX I

INDICATIVE ELEMENTS OF ROAD SAFETY IMPACT ASSESSMENTS";

(b)  in section 2, point (e) is replaced by the following:

"(e) traffic (e.g. traffic volume, traffic categorisation by type), including estimated pedestrian and bicycle flows determined from adjacent land use attributes;”;

(2)  Annex II is amended as follows:

(a)  the title is replaced by the following:

"ANNEX II

INDICATIVE ELEMENTS OF ROAD SAFETY AUDITS";

(b)  in section 1, the following point is added:

"(n) provisions for vulnerable road users:

i)  provisions for pedestrians,

ii)  provisions for cyclists, including the existence of alternative routes or separations from high speed motor traffic,

iii)  provisions for powered two-wheelers,

iv)  density and location of crossings for pedestrians and cyclists,

v)  provisions for pedestrians and cyclists on affected roads in the area,

vi)  separation of pedestrians and cyclists from high speed motor traffic or the existence of direct alternative routes on lower class roads;";

(c)  in section 2, point (h) is replaced by the following:

"(h) provisions for vulnerable road users:

i)  provisions for pedestrians,

ii)  provisions for cyclists,

iii)  provisions for powered two-wheelers;";

(3)  the following Annex is inserted :

"ANNEX IIa

INDICATIVE ELEMENTS OF TARGETED ROAD SAFETY INSPECTIONS

1.  Road alignment and cross-section:

(a)  visibility and sight distances;

(b)  speed limit and speed zoning;

(c)  self-explaining alignment (i.e. "readability" of the alignment by road users);

(d)  access to adjacent property and developments;

(e)  access of emergency and service vehicles;

(f)  treatments at bridges and culverts;

(g)  roadside layout (shoulders, pavement drop-off, cut and fill slopes).

2.  Intersections and interchanges:

(a)  appropriateness of intersection/ interchange type;

(b)  geometry of intersection/ interchange layout;

(c)  visibility and readability (perception) of intersections;

(d)  visibility at the intersection;

(e)  layout of auxiliary lanes at intersections;

(f)  intersection traffic control (e.g. stop controlled, traffic signals, etc.);

(g)  existence of pedestrian and cycling crossings.

3.  Provisions for vulnerable road users:

(a)  provisions for pedestrians;

(b)  provisions for cyclists;

(c)  provisions for powered-two-wheelers;

(d)  public transport and infrastructures;

(e)  road/ rail level crossings (noting, particularly, the type of crossing and if they are manned, unmanned, manual, or automated).

4.  Lighting, signs and markings:

(a)  coherent road signs, not obscuring visibility;

(b)  readability of road signs (position, size, colour);

(c)  sign posts;

(d)  coherent road markings and delineation;

(e)  readability of road markings (position, dimensions and retroreflectivity under dry and wet conditions);

(f)  appropriate contrast of road markings;

(g)  lighting of lit roads and intersections;

(h)  appropriate roadside equipment.

5.  Traffic signals:

(a)  operation;

(b)  visibility.

6.  Objects, clear zones and road restraint systems:

(a)  roadside environment including vegetation;

(b)  roadside hazards and distance from carriageway or cycle path edge;

(c)  user-friendly adaptation of road restraint systems (central reservations and crash barriers to prevent hazards to vulnerable road users);

(d)  end treatments of crash barriers;

(e)  appropriate road restraint systems at bridges and culverts;

(f)  fences (in roads with restricted access).

7.  Pavement:

(a)  pavement defects;

(b)  skid resistance;

(c)  loose material/ gravel/ stones;

(d)  ponding, water drainage.

8.  Bridges and tunnels:

(a)  presence and number of bridges;

(b)  presence and number of tunnels;

(c)  visual elements representing hazards for the safety of the infrastructure.

9.  Other issues:

(a)  provision of safe parking areas and rest areas;

(b)  provision for heavy vehicles;

(c)  headlight glare;

(d)  roadworks;

(e)  unsafe roadside activities;

(f)  appropriate information in ITS equipment (e.g. variable message signs)

(g)  wildlife and animals;

(h)  school zone warnings (if applicable).";

(4)  Annex III is replaced by the following:

"Annex III

INDICATIVE ELEMENTS OF NETWORK-WIDE ROAD SAFETY ASSESSMENTS

1.  General:

(a)  type of road in relation to the type and size of regions/ cities it connects;

(b)  length of road section;

(c)  area type (rural, urban);

(d)  land use (educational, commercial, industrial & manufacturing, residential, farming & agricultural, undeveloped areas);

(e)  property access points density;

(f)  presence of service road (e.g. for shops);

(g)  presence of road works;

(h)  presence of parking.

2.  Traffic volumes:

(a)  traffic volumes;

(b)  observed motorcycle volumes;

(c)  observed pedestrian volumes on both sides, noting “along” or “crossing”;

(d)  observed bicycle volumes on both sides, noting “along” or “crossing”;

(e)  observed heavy vehicle volumes;

(f)  estimated pedestrian flows determined from adjacent land use attributes;

(g)  estimated bicycle flows determined from adjacent land use attributes.

3.  Accident data:

(a)  number, location and cause of fatalities by road user group;

(b)  number and location of serious injuries by road user group.

4.  Operational characteristics:

(a)  speed limit (general, for motorcycles; for trucks);

(b)  operating speed (85th percentile);

(c)  speed management and/or traffic calming;

(d)  presence of ITS devices: queue alerts, variable message signs;

(e)  school zone warning;

(f)  presence of school crossing supervisor at prescribed periods.

5.  Geometric characteristics:

(a)  cross section characteristics (number, type and width of lanes, central median shoulders layout and material, cycle tracks, foot paths, etc.), including their variability;

(b)  horizontal curvature;

(c)  grade and vertical alignment;

(d)  visibility and sight distances.

6.  Objects, clear zones and road restraint systems:

(a)  roadside environment and clear zones;

(b)  fixed obstacles at the roadside (e.g. lighting poles, trees, etc.);

(c)  distance of obstacles from roadside;

(d)  density of obstacles;

(e)  rumble strips;

(f)  road restraint systems.

7.  Bridges and tunnels:

(a)  presence and number of bridges, including their relevant information;

(b)  presence and number of tunnels, including their relevant information;

(c)  visual elements representing hazards for the safety of the infrastructure.

8.  Intersections:

(a)  intersection type and number of arms (noting particularly type of control and presence of protected turns);

(b)  presence of channelisation;

(c)  intersection quality;

(d)  intersecting road volume;

(e)  presence of road-rail crossings (noting, particularly, the type of crossing and if they are manned, unmanned, manual, or automated).

9.  Maintenance:

(a)  pavement defects;

(b)  pavement skid resistance;

(c)  shoulder condition (including vegetation);

(d)  condition of signs, markings and delineation;

(e)  condition of road restraint systems.

10.  Vulnerable road users’ facilities:

(a)  pedestrian and cycling crossings (surface crossings and grade separation);

(b)  cycling crossings (surface crossings and grade separation);

(c)  pedestrian fencing;

(d)  existence of sidewalk or separated facility;

(e)  bicycle facilities and their type (cycle parths, cycle lanes, other);

(f)  quality of pedestrian crossing related to conspicuity and signing of the facility;

(g)  pedestrian and cycling crossing facilities on entry arm of minor road joining network;

(h)  existence of alternative routes for pedestrians and cyclists where there are no separated facilities.

11.  Pre/post-crash systems for traffic injury and gravity mitigation elements:

(a)  Network operational centres and other patrolling facilities;

(b)  Mechanisms to communicate to the road users of the driving conditions to prevent accidents or incidents;

(c)  AID Automatic Incident Detection systems: sensors and cameras;

(d)  Incident Managements systems;

(e)  Systems to communicate with emergency bodies.";

(5)  Annex IV is amended as follows:

(a)  point 1 is replaced by the following:

"1. precise as possible location of the accident, including GNSS co-ordinates;";

(b)  point 5 is replaced by the following:

"5. accident severity.".

(1) OJ C 62, 15.2.2019, p. 261.
(2) Not yet published in the Official Journal.
(3)* TEXT HAS NOT YET UNDERGONE LEGAL-LINGUISTIC FINALISATION.
(4) OJ C 62, 15.2.2019, p. 261.
(5) OJ C ...
(6) Position of the European Parliament of 4 April 2019.
(7) 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).
(8) Directive 2008/96/EC of the European Parliament and of the Council of 19 November 2008 on road infrastructure safety management (OJ L 319, 29.11.2008, p. 59).
(9) 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 (OJ L 167, 30.4.2004, p. 39).
(10) Decision No 1313/2013/EU of the European Parliament and of the Council of 17 December 2013 on a Union Civil Protection Mechanism (OJ L 347, 20.12.2013, p. 924).
(11) 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).
(12) OJ L 123, 12.5.2016, 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 Member States of the Commission’s exercise of implementing powers (OJ L 55, 28.2.2011, p. 13).


Pan-European Personal Pension Product (PEPP) ***I
PDF 406kWORD 136k
Resolution
Consolidated text
European Parliament legislative resolution of 4 April 2019 on the proposal for a regulation of the European Parliament and of the Council on a Pan-European Personal Pension Product (PEPP) (COM(2017)0343 – C8-0219/2017 – 2017/0143(COD))
P8_TA-PROV(2019)0347A8-0278/2018

(Ordinary legislative procedure: first reading)

The European Parliament,

–  having regard to the Commission proposal to Parliament and the Council (COM (2017)0343),

–  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 (C8‑0219/2017),

–  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 October 2017(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 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 Economic and Monetary Affairs and the opinions of the Committee on Employment and Social Affairs and the Committee on the Internal Market and Consumer Protection (A8-0278/2018),

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.

Position of the European Parliament adopted at first reading on 4 April 2019 with a view to the adoption of Regulation (EU) 2019/… of the European Parliament and of the Council on a pan-European Personal Pension Product (PEPP)

P8_TC1-COD(2017)0143


(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 Economic and Social Committee(2),

Acting in accordance with the ordinary legislative procedure(3),

Whereas:

(1)  Union households are amongst the highest savers in the world, but the bulk of those savings are held in bank accounts with short maturities. More investment into capital markets can help meet the challenges posed by population ageing and low interest rates.

(2)  Old age pensions constitute an essential part of a retiree’s income and for many people, adequate pension provision makes the difference between a comfortable old age and poverty. They are a precondition for exercising fundamental rights laid down in the Charter of Fundamental Rights of the European Union, including in Article 25 on the rights of the elderly which states: “The Union recognises and respects the rights of the elderly to lead a life of dignity and independence and to participate in social and cultural life”.

(3)  The Union is facing several challenges, including demographic challenges because of the fact that Europe is an ageing continent. In addition, career patterns, the labour market and the distribution of wealth are undergoing radical changes, not least as a result of the digital revolution.

(4)   A substantial part of old age pensions is provided under public schemes. Notwithstanding the exclusive national competence regarding the organisation of pension systems as determined by the Treaties, income adequacy and financial sustainability of national pension systems are crucial to the stability of the Union as a whole. By channelling more of Europeans’ savings from cash and bank deposits to long-term investment products, such as voluntary pension products with a long-term retirement nature, the impact would therefore be beneficial both for individuals (who would benefit from higher returns and improved pension adequacy) and for the broader economy.

(5)  In 2015, 11,3 million Union citizens of working age (20 to 64 years old) were residing in a Member State other than the Member State of their citizenship and 1,3 million Union citizens were working in a Member State other than their Member State of residence.

(6)  A portable pan-European Personal Pension Product (PEPP) with a long-term retirement nature will increase its attractiveness as a product, particularly to young people and mobile workers, and will help to further facilitate the right of Union citizens to live and work across the Union.

(7)  Personal pensions are important in linking long-term savers with long-term investment opportunities. A larger, European market for personal pensions will support the supply of funds for institutional investors and investment into the real economy.

(8)  This Regulation enables the creation of a personal pension product which will have a long-term retirement nature and will take into account environmental, social and governance (ESG) factors as referred to in the United Nations-supported Principles for Responsible Investment, insofar as possible, will be simple, safe, reasonably-priced, transparent, consumer-friendly and portable Union-wide and complements the existing systems in the Member States.

(9)   Currently, ▌the internal market for personal pension products does not function smoothly. In some Member States there is not yet a market for personal pension products. In others, personal pension products are available, but there is a high degree of fragmentation between national markets. As a result, personal pension products have only a limited degree of portability ▌. This can result in difficulties for individuals to make use of their basic freedoms. For instance, they might be prevented from taking up a job or retiring in another Member State. In addition, the possibility for providers to use the freedom of establishment and the freedom to provide services is hampered by the lack of standardisation of existing personal pension products.

(10)  As the internal market for personal pension products is fragmented and diverse, the impact of PEPPs might be very different across Member States, and the target audience might be equally varied. In some Member States, PEPPs might offer solutions for people who do not currently have access to adequate provisions. In other Member States, PEPPs could broaden the consumer choice, or offer solutions to mobile citizens. However, PEPPs should not aim at replacing existing national pension systems, since it is an additional and complementary personal pension product.

(11)  The capital markets union (CMU) will help mobilise capital in Europe and channel it to all companies, including small and medium enterprises, infrastructure and long-term sustainable projects that need it to expand and create jobs. One of the main objectives of the CMU is to increase investment and choices for retail investors by putting European savings to better use. For this purpose, a PEPP will represent a step forward for the enhancement of the capital markets integration due to its support to the long-term financing of the real economy taking into account the long-term retirement nature of the product and the sustainability of investments.

(12)  As announced in the Commission's Action Plan on building a CMU of 30 September 2015, "the Commission will assess the case for a policy framework to establish a successful European market for simple, efficient and competitive personal pensions, and determine whether EU legislation is required to underpin this market."

(13)  In the resolution of the European Parliament of 19 January 2016 on stocktaking and challenges of the EU Financial Services Regulation: impact and the way forward towards a more efficient and effective EU framework for Financial Regulation and a Capital Markets Union(4), the European Parliament stressed that "an environment must be fostered that stimulates financial product innovation, creating more diversity and benefits for the real economy and providing enhanced incentives for investments, and that may also contribute to the delivery of adequate, safe and sustainable pensions, such as, for example, the development of a pan-European Pension Product (PEPP), with a simple transparent design".

(14)  In its conclusions of 28 June 2016, the European Council called for "swift and determined progress to ensure easier access to finance for business and to support investment in the real economy by moving forward with the Capital Markets Union agenda".

(15)  In the Communication of the Commission of 14 September 2016 Capital Markets Union – Accelerating Reform, the Commission announced that it "will consider proposals for a simple, efficient and competitive EU personal pension product [..] Options under consideration include a possible legislative proposal which could be tabled in 2017."

(16)  In the Communication of the Commission of 8 June 2017 Mid-Term Review of the Capital Markets Union Action Plan, the Commission announced "a legislative proposal on a pan-European Personal Pension Product (PEPP) by end June 2017. This will lay the foundations for a safer, more cost-efficient and transparent market in affordable and voluntary personal pension savings that can be managed on a pan-European scale. It will meet the needs of people wishing to enhance the adequacy of their retirement savings, address the demographical challenge, complement the existing pension products and schemes, and support the cost-efficiency of personal pensions by offering good opportunities for long-term investment of pension savings".

(17)  The development of a PEPP will contribute to increasing choices for retirement saving, especially for mobile workers, and establish a Union market for PEPP providers. It should, however, only be complementary to public pension systems.

(18)  Financial education can support the understanding and awareness of households’ saving choices in the area of voluntary personal pension products. Savers should also have a fair chance to fully grasp the risks and the features related to a PEPP .

(19)  A legislative framework for a PEPP will lay the foundations for a successful market in affordable and voluntary retirement-related investments that can be managed on a pan-European scale. By complementing the existing statutory and occupational pension schemes and products, it will contribute to meeting the needs of people wishing to enhance the adequacy of their retirement savings, addressing the demographic challenge and providing a powerful new source of private capital for long-term investment. This framework will not replace or harmonise existing national personal pension products or schemes, nor will it affect existing national statutory and occupational pension schemes and products.

(20)  A PEPP is an individual non- occupational pension product subscribed to voluntarily by a PEPP saver in view of retirement. Because a PEPP should provide for long-term capital accumulation, possibilities for the early withdrawal of capital should be limited and might be penalised.

(21)  This Regulation harmonises a set of core features for the PEPP, which concern key elements such as distribution, minimum content of contracts, investment policy, provider switching, or cross-border provision and portability. The harmonisation of those core features will improve the level playing field for personal pension providers at large and help boost the completion of the CMU and the integration of the internal market for personal pensions. It will lead to the creation of a largely standardised pan-European product, available in all Member States, empowering consumers to make full use of the internal market by transferring their pension rights abroad and offering a broader choice between different types of providers, including in a cross-border way. As a result of fewer barriers to the provision of pension services across borders, a PEPP will increase competition between providers on a pan-European basis and create economies of scale that should benefit savers.

(22)  Article 114 of the Treaty on the Functioning of the European Union (TFEU) allows the adoption of acts both in the shape of regulations or directives. The adoption of a regulation has been preferred as it would become directly applicable in all Member States. Therefore, a regulation would allow a quicker uptake of the PEPP and contribute more rapidly to address the need for more pension savings and investments in the CMU context. This Regulation is harmonising the core features of PEPPs which do not have to be subject to specific national rules and so, a regulation appears better suited than a directive in this case. On the contrary, the features which are out of the scope of this Regulation (e.g. accumulation phase conditions) are subject to national rules.

(23)  This Regulation should lay down uniform rules on the registration, provision, distribution and supervision of PEPPs. PEPPs should be subject to the provisions in this Regulation, relevant sectorial Union law as well as the corresponding delegated and implementing acts. In addition, the laws adopted by Member States in implementation of sectorial Union law should apply. If not already covered by this Regulation or by sectorial Union law, the respective laws of Member States should apply. A PEPP should also be subject to a contract concluded between the PEPP saver and the PEPP provider (the ‘PEPP contract’). There is a set of key characteristics of the product that should be included in the PEPP contract. This Regulation should be without prejudice to the Union rules on private international law, in particular rules related to court jurisdiction and applicable law. This Regulation should also be without prejudice to national contractual, social, labour and tax law.

(24)  This Regulation should make clear that the PEPP contract has to comply with all applicable rules. Moreover, the PEPP contract should set the rights and obligations of the parties and include a set of key characteristics of the product. A PEPP contract might also be concluded by the representative of a group of PEPP savers, such as an independent savers association, acting on behalf of that group provided that this is done in compliance with this Regulation and applicable national law and that PEPP savers subscribing in this way obtain the same information and advice as PEPP savers concluding a PEPP contract either directly with a PEPP provider or through a PEPP distributor.

(25)  PEPP providers should have access to the whole Union market with one single product registration to be granted on the basis of a single set of rules. In order to market a product under the designation “PEPP”, applicant PEPP providers should apply for registration to their competent authorities. This Regulation does not prevent registration of an existing personal pension product which fulfils the conditions laid down by this Regulation. Competent authorities should take a decision for registration if the applicant PEPP provider has provided all the necessary information and if suitable arrangements to comply with the requirements of this Regulation are in place. After a decision for registration has been taken by the competent authorities, they should notify the European Supervisory Authority (European Insurance and Occupational Pensions Authority) (EIOPA) established by Regulation (EU) No 1094/2010 of the European Parliament and of the Council(5) accordingly to register the PEPP provider and the PEPP in the central public register. Such registration should be valid across the entire Union. In order to ensure effective supervision of compliance with the uniform requirements laid down in this Regulation, any subsequent modifications to the information and documents provided in the registration procedure should be immediately notified to the competent authorities and to EIOPA, where applicable.

(26)  A central public register should be created by EIOPA to contain information about PEPPs that have been registered and could be provided and distributed in the Union, as well as about the PEPP providers and a list of Member States in which the PEPP is offered. Where PEPP providers are not distributing PEPPs within the territory of a Member State but are able to open a sub-account for that Member State in order to ensure the portability for their PEPP customers, that register should also contain information about the Member States for which the PEPP provider offers sub-accounts.

(27)  The way in which institutions for occupational retirement provision (IORPs), as referred to in Directive (EU) 2016/2341 of the European Parliament and of the Council(6), are organised and regulated varies significantly between Member States. In some Member States, those institutions are only allowed to carry out occupational pension activities whereas in other Member States, those institutions, including the authorised entities responsible for operating them and acting on their behalf, where IORPs do not have legal personality, are allowed to carry out occupational and personal pension activities. This has not only lead to different organisational structures of IORPs but is also accompanied by different supervision on national level. In particular, prudential supervision of IORPs which are authorised to provide occupational and personal pension activities is broader than of those IORPs which only carry out occupational pension activities.

In order not to jeopardise financial stability and to take into account the different organisational structure and supervision, only those IORPs which are also authorised and supervised to provide personal pension products pursuant to national law should be allowed to provide PEPPs. Moreover and to further safeguard financial stability, all assets and liabilities corresponding to the PEPP provision business should be ring-fenced, without any possibility to transfer them to the other retirement provision business of the institution. IORPs that provide PEPPs should also at all times comply with the relevant standards set by Directive (EU) 2016/2341 , including the more detailed investment rules laid down by the Member States where they are registered or authorised in accordance with Directive (EU) 2016/2341 when transposing that Directive, and the provisions of their system of governance. As with other PEPP providers, when this Regulation lays down more stringent provisions, such provisions should apply.

(28)  The single PEPP passport will ensure the creation of an internal market for PEPP.

(29)  PEPP providers should be able to distribute PEPPs that they have manufactured and PEPPs that they have not manufactured provided that this would be in compliance with the relevant sectorial law. PEPP distributors should be entitled to distribute PEPPs which they have not manufactured. PEPP distributors should distribute only those products for which they have the appropriate knowledge and competence in accordance with the relevant sectorial law.

(30)  Advice should be given to prospective PEPP savers by PEPP providers or PEPP distributors prior to the conclusion of the PEPP contract taking into account the long-term retirement nature of the product, the individual demands and needs of the PEPP saver and the limited redeemability. Advice should particularly aim at informing a PEPP saver about the features of the investment options, the level of capital protection and the forms of out-payments.

(31)   Under the freedom to provide services or the freedom of establishment, PEPP providers can provide PEPPs and PEPP distributors can distribute PEPPs within the territory of a host Member State after opening of a sub-account for that host Member State. In order to ensure a high quality of service and effective consumer protection, home and host Member States should closely cooperate in the enforcement of the obligations set out in this Regulation. Where PEPP providers and PEPP distributors pursue business in different Member States under the freedom to provide services, the competent authorities of the home Member State should be responsible for ensuring compliance with the obligations set out in this Regulation, because of their closer links with the PEPP provider. In order to ensure fair sharing of responsibilities between the competent authorities from the home and the host Member States, if the competent authorities of a host Member State become aware of any infringement of obligations occurring within their territory, they should inform the competent authorities of the home Member State which should then be obliged to take the appropriate measures. Moreover, the competent authorities of the host Member State should be entitled to intervene if the competent authorities of the home Member State fail to take appropriate measures or if the measures taken are insufficient.

(32)  The competent authorities of the Member States should have at their disposal all means necessary to ensure the orderly pursuit of business by PEPP providers and PEPP distributors throughout the Union, whether pursued in accordance with the freedom of establishment or the freedom to provide services. In order to ensure the effectiveness of supervision, all actions taken by the competent authorities should be proportionate to the nature, scale and complexity of the risks inherent in the business of a particular provider or distributor▐.

(33)  The pan-European dimension of the PEPP can be developed not only at the level of the provider, through the possibilities for its cross-border activity, but also at the level of the PEPP saver, through the portability of the PEPP and the switching service, thereby contributing to the safeguarding of personal pension rights of persons exercising their right to free movement under Articles 21 and 45 TFEU. Portability involves the PEPP saver changing residence to another Member State without changing PEPP providers, whereas the switching of PEPP providers does not necessarily involve a change of residence.

(34)  A PEPP should comprise national sub-accounts, each of them accommodating personal pension product features allowing that contributions to the PEPP or out-payments qualify for incentives if available in the Member States in relation to which a sub-account is made available by the PEPP provider. The sub-account should be used to keep a record of the contributions made during the accumulation phase and the out-payments made during the decumulation phase in compliance with the law of the Member State for which the sub-account has been opened. At the level of the PEPP saver, a first sub-account should be created upon the conclusion of a PEPP contract.

(35)  In order to allow a smooth transition for PEPP providers, the obligation to provide PEPPs comprising sub-accounts for at least two Member States should apply withinthree years of the date of application of this Regulation. Upon launching a PEPP, the PEPP provider should provide information on which sub-accounts are immediately available, in order to avoid a possible misleading of PEPP savers. If a PEPP saver moves to another Member State and if no sub-account for that Member State is available, the PEPP provider should make it possible for the PEPP saver to switch without delay and free of charge to another PEPP provider which provides a sub-account for that Member State. The PEPP saver could also continue to contribute to the sub-account where contributions were made before changing residence.

(36)  Taking into account the long-term retirement nature of the PEPP and the administrative burden involved, PEPP providers and PEPP distributors should provide clear, easy to understand, and adequate information to prospective PEPP savers and PEPP beneficiaries to support their decision-making about their retirement. For the same reason, PEPP providers and PEPP distributors should equally ensure a high level of transparency throughout the various phases of a PEPP including the pre-contractual stage, the conclusion of the contract, the accumulation phase (including pre-retirement) and the decumulation phase . In particular, information concerning accrued retirement entitlements, projected levels of PEPP retirement benefits, risks and guarantees, the integration of ESG factors and costs should be given. Where projected levels of PEPP retirement benefits are based on economic scenarios, that information should also include a best-estimate scenario and an unfavourable scenario, which should be extreme but realistic.

(37)  Before concluding a PEPP contract ▌, prospective PEPP savers should be given all the necessary information to make an informed choice. Prior to the conclusion of the PEPP contract, retirement-related demands and needs should be specified and advice should be provided.

(38)  In order to ensure optimal product transparency, PEPP providers should draw up a PEPP key information document (PEPP KID) for the PEPPs that they manufacture before those PEPPs can be distributed to PEPP savers. They should also be responsible for the accuracy of the PEPP KID. The PEPP KID should replace and adapt the key information document for packaged retail and insurance-based investment products under Regulation (EU) No 1286/2014 of the European Parliament and of the Council(7) which, as a consequence, would not have to be provided for PEPPs. A stand-alone PEPP KID should be drawn up for the Basic PEPP. Where the PEPP provider offers alternative investment options, a generic KID for the alternative investment options which could also contain references to other documents should also be provided. Alternatively, where the information required on the alternative investment options cannot be provided within a single stand-alone KID, a stand-alone KID for every alternative investment option should be provided. However, this should only be the case if the provision of a generic KID for the alternative investment options would not be in the interest of PEPP customers. Therefore, when the competent authorities assess the compliance of the PEPP KID with this Regulation, they should ensure optimal comparability of different investment options, if applicable, taking into account in particular up-to-date knowledge of behavioural analysis to avoid any cognitive bias caused by the presentation of the information.

(39)  In order to ensure widespread dissemination and availability of PEPP KIDs, this Regulation should provide for the publication by the PEPP provider of the PEPP KIDs on its website. The PEPP provider should publish the PEPP KID for each Member State where the PEPP is distributed under the freedom to provide services or the freedom of establishment containing the specific information for the conditions related to the accumulation phase and to the decumulation phase for that Member State.

(40)  Personal pension product calculators are already being developed at national level. However, in order for the calculators to be as useful as possible to consumers, they should cover the costs and fees charged by various PEPP providers, together with any further costs or fees charged by intermediaries or other parts of the investment chain not already included by the PEPP providers.

(41)  The details of the information to be included in the PEPP KIDand the presentation of this information should be further harmonised through regulatory technical standards ▌taking into account existing and ongoing research into consumer behaviour, including results from testing the effectiveness of different ways of presenting information with consumers. The Commission should be empowered to adopt regulatory technical standards. The draft regulatory technical standards should be developed by EIOPA after consulting the other European supervisory authorities (ESAs) - the European Supervisory Authority (European Banking Authority)(EBA) established by Regulation (EU) No 1093/2010 of the European Parliament and of the Council(8) and the European Supervisory Authority (the European Securities and Markets Authority)(ESMA) established by Regulation (EU) No 1095/2010 of the European Parliament and of the Council(9) where applicable as well as with the European Central Bank, competent authorities and after consumer and industry testing as provided for in this Regulation, specifying the details and presentation of the information to be included in the PEPP KID; the conditions under which the PEPP KID should be reviewed and revised; the conditions for fulfilling the requirement to provide the PEPP KID; the rules to determine the assumptions on pension benefit projections; the details of the presentation of the information to be contained in the PEPP Benefit Statement; and the minimum criteria that the risk-mitigation techniques have to satisfy. When developing the draft regulatory technical standards, EIOPA should take into account the various possible types of PEPPs, the long-term nature of PEPPs, the capabilities of PEPP savers, and the features of PEPPs. Before submitting the draft regulatory technical standards to the Commission, consumer testing and industry testing with real data should take place where applicable. The Commission should adopt those regulatory technical standards by means of delegated acts pursuant to Article 290 TFEU and in accordance with Articles 10 to 14 of Regulation (EU) No 1094/2010. The Commission should also be empowered to adopt implementing technical standards developed by EIOPA regarding the details for cooperation and the exchange of information together with the requirements needed to present that information in a standardised format allowing for comparison and, after consulting the other ESAs and the competent authorities and after industry testing, regarding the format of supervisory reporting by means of implementing acts pursuant to Article 291 TFEU and in accordance with Article 15 of Regulation (EU) No 1094/2010 .

(42)  The PEPP KID should be clearly distinguishable and separate from any marketing material.

(43)  PEPP providers should draw up a PEPP benefit statement addressed to PEPP savers, in order to present them with key personal and generic data about the PEPP ▌ and to ensure up-to-date information on it. The PEPP benefit statement should be clear and comprehensive and should contain relevant and appropriate information to facilitate the understanding of pension entitlements over time and across pension products and serve labour mobility. The PEPP benefit statement should also contain key information on the investment policy relating to ESG-factors and should indicate where and how PEPP savers can obtain supplementary information on the integration of ESG factors. The PEPP benefit statement should be provided annually to PEPP savers.

(44)  PEPP providers should inform PEPP savers two months before the dates on which PEPP savers have the possibility to modify their pay-out options about the upcoming start of the decumulation phase, the possible forms of out-payments and the possibility to modify the form of out-payments. Where more than one sub-account has been opened, PEPP savers should be informed about the possible start of the decumulation phase of each sub-account.

(45)  During the decumulation phase, PEPP beneficiaries should continue to receive information on their PEPP benefits and corresponding pay-out options. This is particularly important when a significant level of investment risk is borne by PEPP beneficiaries in the pay-out phase.

(46)  In order to adequately protect the rights of PEPP savers and PEPP beneficiaries, PEPP providers should be able to opt for an asset allocation that suits the precise nature and duration of their liabilities, including those having a long-term horizon. Therefore, efficient supervision is required as well as an approach to investment rules that allows PEPP providers sufficient flexibility to decide on the most secure and efficient investment policy, while obliging them to act prudently and in the best long-term interests of PEPP savers as a whole. Compliance with the prudent person rule therefore requires an investment policy geared to the customers' structure of the PEPP provider.

(47)  By setting the prudent person rule as the underlying principle for capital investment and making it possible for PEPP providers to operate across borders, the redirection of savings into the sector of personal retirement provision is encouraged, thereby contributing to economic and social progress. The prudent person rule should also take into explicit consideration the role played by ESG factors in the investment process.

(48)  This Regulation should ensure an appropriate level of investment freedom for PEPP providers. As very long-term investors with low liquidity risks, PEPP providers are in a position to contribute to the development of the CMU by investing in non-liquid assets such as shares and in other instruments that have a long-term economic profile and are not traded on regulated markets, multilateral trading facilities (MTFs) or organised trading facilities (OTFs) within prudent limits. They can also benefit from the advantages of international diversification. Investments in shares in currencies other than those of the liabilities and in other instruments that have a long-term economic profile and are not traded on regulated markets, MTFs or OTFs should therefore not be restricted, in line with the prudent person rule so as to protect the interest of PEPP savers and PEPP beneficiaries, except on prudential grounds.

(49)  In the context of deepening the CMU, the understanding of what constitutes instruments with a long-term economic profile is broad. Such instruments are non-transferable securities and therefore do not have access to the liquidity of secondary markets. They often require fixed term commitments which restrict their marketability and should be understood to include participation and debt instruments in, and loans provided to, non-listed undertakings. Non-listed undertakings include infrastructure projects, unlisted companies seeking growth, real estate or other assets that could be suitable for long-term investment purposes. Low carbon and climate resilient infrastructure projects are often non-listed assets and rely on long-term credits for project financing. Considering the long-term nature of their liabilities, PEPP providers are encouraged to allocate a sufficient part of their asset portfolio to sustainable investments in the real economy with long-term economic benefits, in particular to infrastructure projects and corporates.

(50)  ESG factors are important for the investment policy and risk management systems of PEPP providers. PEPP providers should be encouraged to consider such factors in investment decisions and to take into account how they form part of their risk management system in order to avoid “stranded assets”. The information on ESG factors should be available to EIOPA, to the competent authorities and to PEPP savers.

(51)  One of the objectives of regulating PEPPs is to create a safe, cost-friendly long-term retirement savings product. Because the investments concerning personal pension products are long-term, special regard should be given to the long-term consequences of asset allocation. In particular, ESG factors should be taken into account. PEPP savings should be invested taking into account ESG factors such as those set out in the Union’s climate and sustainability objectives as set out in the Paris Agreement on Climate Change (Paris Agreement), the United Nations Sustainable Development Goals, and the United Nations Guiding Principles on Business and Human Rights.

(52)  In ensuring compliance with their obligation to develop an investment policy in accordance with the prudent person rule, PEPP providers should be prevented from investing in non-cooperative jurisdictions identified in the applicable Council's conclusions on the list of non-cooperative jurisdictions for tax purposes, nor in a high-risk third country with strategic deficiencies identified by the applicable Commission Delegated Regulation adopted on the basis of Article 9 of Directive (EU) 2015/849 of the European Parliament and of the Council(10).

(53)  In view of the long-term retirement objective of the PEPP, the investment options granted to the PEPP savers should be framed, covering the elements which allow investors to make an investment decision, including the number of investment options they can choose from. After the initial choice made upon the subscription of a PEPP, the PEPP saver should have the possibility to modify that choice after a minimum of five years from the subscription of a PEPP or in case of subsequent modification, from the most recent modification of the investment option, so that sufficient stability is offered to providers for their long-term investment strategy whilst at the same time investor protection is ensured. However, it should be possible for PEPP providers to allow PEPP savers to modify the chosen investment option more frequently.

(54)  The Basic PEPP should be a safe product and should act as a default investment option. It could take the form of either a risk-mitigation technique consistent with the objective of allowing the PEPP saver to recoup the capital, or a guarantee on the capital invested. A risk-mitigation technique consistent with the objective to allow the PEPP saver to recoup the capital could be a conservative investment strategy or a life-cycle strategy which progressively reduces the overall risk exposure over time. Guarantees provided under the default investment option should at least cover the contributions during the accumulation phase after deduction of all fees and charges. Guarantees could also cover the fees and charges and could provide for full or partial coverage of inflation. A guarantee on the capital invested should be due at the start of the decumulation phase and during the decumulation phase, where applicable.

(55)  In order to guarantee PEPP savers cost-efficiency and a sufficient performance, the costs and fees for the Basic PEPP should be limited to a fixed percentage of the accumulated capital. While that limit should be fixed at 1 % of the accumulated capital, it would be appropriate to further specify the types of costs and fees to be taken into account by regulatory technical standards, in order to ensure a level playing field between different PEPP providers and different types of PEPPs with their particular cost and fee structures. The Commission should be empowered to adopt such regulatory technical standards which should be developed by EIOPA. In drawing up the draft regulatory technical standards, EIOPA should, in particular, consider the long-term nature of the PEPP, the different types of PEPPs and the cost-relevant factors linked to their specific features, so as to ensure a fair and equal treatment of the different PEPP providers and their products while taking into account the character of the Basic PEPP as a simple, cost-efficient and transparent product providing a sufficient long-term real investment return. Moreover, with the aim of preserving the long-term retirement nature of the product, the form of out-payments, in particular with respect to lifelong annuities, should be carefully assessed. Within that framework, in order to ensure that PEPP providers offering a capital guarantee benefit of a level playing field with other providers, EIOPA should duly take into account the structure of costs and fees. Furthermore, the percentage values for costs and fees should be regularly revised in order to ensure their continued adequacy taking into account any changes in the level of costs. The Commission should adopt those regulatory technical standards by means of delegated acts pursuant to Article 290 TFEU and in accordance with Articles 10 to 14 of Regulation (EU) No 1094/2010.

In order to ensure continued cost-efficiency and to protect PEPP customers from overly burdensome cost structures, the power to adopt acts in accordance with Article 290 TFEU should be delegated to the Commission in respect of amending the percentage value, taking into account its reviews, in particular the actual level and changes in the actual level of costs and fees and the impact of the cost cap on the availability of PEPPs, and appropriate market access of different PEPP providers providing different types of PEPPs.

(56)  The competent authorities should exercise their powers having as their prime objectives the protection of the rights of PEPP savers and PEPP beneficiaries and the stability and soundness of PEPP providers.

(57)  Where the PEPP provider is an IORP or an EU Alternative Investment Fund Manager (EU AIFM), it should appoint a depositary in relation to the safekeeping of the assets corresponding to the PEPP provision business. Additional safeguards are needed in relation to the entity acting as a depositary and its functions as currently the rules set out in relation to the depositary in Directive 2011/61/EU of the European Parliament and of the Council(11) are targeted to funds marketed only to professional investors, with the exception of European long-term investment funds under Regulation (EU) 2015/760 of the European Parliament and of the Council(12), marketed to retail investors, and the sectorial law applicable to IORPsdoes not require appointment of a depositary in all cases. In order to ensure the highest level of investor protection in relation to the safekeeping of assets corresponding to the PEPP provision business, this Regulation requires IORPs and EU AIFM providing PEPP to follow the rules of Directive 2009/65/EC of the European Parliament and of the Council(13) as regards to the appointment of the depositary, the execution of its tasks and its oversight duties.

(58)  Transparency and fairness of costs and fees is essential to develop PEPP savers' trust and allow them to make informed choices. Accordingly, the use of non-transparent pricing methods should be prohibited.

(59)  In order to fulfil the objectives set out in this Regulation, the power to adopt acts in accordance with Article 290 TFEU should be delegated to the Commission in respect of specifying the conditions for the exercise of intervention powers by EIOPA and the competent authorities and the criteria and factors to be applied by EIOPA to determine when there is a significant PEPP saver protection concern. 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(14). 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.

(60)  Without prejudice to the right of PEPP customers to bring action in the courts, easily accessible, adequate, independent, impartial, transparent and effective alternative dispute resolution (ADR) procedures should be established between PEPP providers or PEPP distributors and PEPP customers for resolving disputes arising from the rights and obligations set out in this Regulation.

(61)  With a view to establishing an efficient and effective dispute resolution procedure, PEPP providers and PEPP distributors should put in place an effective complaints procedure that can be followed by their customers before the dispute is referred to be resolved in an ADR procedure or before a court. The complaints procedure should contain short and clearly defined timeframes within which the PEPP provider or PEPP distributor should reply to a complaint. ADR bodies should have sufficient capacity to engage in an adequate and efficient way in cross-border cooperation with regard to disputes concerning rights and obligations pursuant to this Regulation.

(62)  In order to find better conditions for their investments, thus also stimulating the competition among PEPP providers, PEPP savers should have the right to switch to a different PEPP provider located in the same or another Member State during the accumulation phase, through a clear, quick and safe procedure. However, PEPP providers should not be obliged to provide the switching service for PEPPs, where savers are receiving out-payments in the form of lifetime annuities. During switching, transferring PEPP providers should transfer the corresponding amounts or, where applicable, assets-in-kind from the PEPP account and close it. PEPP savers should conclude contracts with receiving PEPP providers for the opening of a new PEPP account. The new PEPP account should have the same sub-account structure as the former PEPP account.

(63)  During the switching service, PEPP savers can choose to transfer assets-in-kind only when the switching is between PEPP providers, such as investment firms or other eligible providers holding an additional licence, engaged in portfolio management for PEPP savers. Written consent of the receiving provider is needed in that case.. In the case of collective investment management, the switching of assets-in-kind is not possible as there is no separation of assets for every PEPP saver.

(64)  The switching process should be straightforward for the PEPP saver. Accordingly, the receiving PEPP provider should be responsible for initiating and managing the process on behalf of the PEPP saver and upon his request. PEPP providers should be able to use additional means, such as a technical solution, on a voluntary basis when establishing the switching service. Considering the pan-European nature of the product, PEPP savers should be able to switch without delay and free of charge when no sub-account is available in the Member State the PEPP saver moves to.

(65)  Before giving the authorisation for switching, the PEPP saver should be informed of all the steps of the procedure and costs necessary to complete the switching, in order to enable the PEPP saver to make an informed decision about the switching service.

(66)  The cooperation of the transferring PEPP provider is necessary in order for the switching to be successful. Therefore, the receiving PEPP provider should be provided by the transferring PEPP provider with all the information necessary to reinstate the payments on the other PEPP account. However, such information should not exceed what is necessary in order to carry out the switching.

(67)  PEPP savers should not be subject to financial losses, including charges and interest, caused by any mistakes made by either of the PEPP providers involved in the switching process. In particular, PEPP savers should not bear any financial loss deriving from the payment of additional fees, interest or other charges as well as fines, penalties or any other type of financial detriment due to delay in the execution of the switching. As capital protection should be ensured at the start of the decumulation phase and during the decumulation phase, where applicable, the transferring PEPP provider should not be obliged to ensure the capital protection or guarantee at the moment of switching. The PEPP provider might also decide to ensure the capital protection or provide the guarantee at the moment of switching.

(68)  PEPP savers should have the possibility to make an informed decision before switching. The receiving PEPP provider should comply with all the distribution and information requirements, including the provision of a PEPP KID, advice and adequate information regarding the costs related to the switching and the possible negative implications on the capital protection when a PEPP with a guarantee is being switched. Costs for the switching applied by the transferring PEPP provider should be kept to an amount that does not constitute an obstacle to mobility and in any case, be limited to 0,5 % of the corresponding amounts or monetary value of the assets-in-kind to be transferred .

(69)  PEPP savers should be given the freedom to decide upon subscription of a PEPP and when opening a new sub-account about their pay-out choice (annuities, lump sum, or other) in the decumulation phase, but with a possibility to revise their choice one year before the start of the decumulation phase, at the start of the decumulation phase and at the moment of switching, in order to be able to best adapt their pay-out choice to their needs when they near retirement. If the PEPP provider makes available more than one form of out-payments, it should be possible for the PEPP saver to opt for a different pay-out choice for each sub-account opened in his PEPP account.

(70)  PEPP providers should be allowed to make available to PEPP savers a wide range of forms of out-payments. That approach would achieve the goal of enhanced take-up of the PEPP through increased flexibility and choice for PEPP savers. It would allow providers to design their PEPPs in the most cost-effective way. It is coherent with other Union policies and politically feasible, as it preserves enough flexibility for Member States to decide about which forms of out-payments they wish to encourage. In line with the long-term retirement nature of the product, it should be possible for Member States to adopt measures to privilege particular forms of out-payments such as quantitative limits for lump sum payments to further encourage lifelong annuities and drawdown payments.

(71)   In view of the pan-European character of the PEPP, there is a need to ensure a consistent high level of PEPP saver protection throughout the internal market. This requires adequate tools to effectively combat infringements and prevent consumer detriment. Therefore, the powers of EIOPA and the competent authorities should be complemented by an explicit mechanism for prohibiting or restricting the marketing, distribution or sale of any PEPP giving rise to serious concerns regarding PEPP saver protection, including with respect to the long-term retirement nature of the product, the orderly functioning and integrity of financial markets, or the stability of the whole or part of the financial system, together with appropriate coordination and contingency powers for EIOPA.

The powers of EIOPA should be based on Article 9(5) of Regulation (EU) No 1094/2010 so as to ensure that such mechanisms for intervention can be applied in the case of significant PEPP saver protection concerns, including with respect to the particular long-term retirement nature of the PEPP. Where the conditions are met, the competent authorities should be able to impose a prohibition or restriction on a precautionary basis before a PEPP has been marketed, distributed or sold to PEPP savers. Those powers do not relieve the PEPP provider of its responsibility to comply with all the relevant requirements under this Regulation.

(72)  Full transparency on costs and fees related to the investment in a PEPP should be guaranteed. A level-playing field between providers would be established, whilst ensuring consumer protection. Comparative information would be available between different products, thus incentivising competitive pricing.

(73)  Although the ongoing supervision of PEPP providers is to be exercised by the respective competent authorities, EIOPA should coordinate the supervision with regards to PEPPs, in order to guarantee the consistent application of a unified supervisory methodology, contributing in that way to the pan-European and long-term retirement nature of PEPPs.

(74)  In order to strengthen consumer rights and to facilitate access to a complaints procedure, PEPP savers should be able, either individually or collectively, to submit complaints to the competent authorities of their Member State of residence, regardless of where the infringement occurred.

(75)  EIOPA should cooperate with competent authorities and facilitate cooperation and consistency between them. In this respect, EIOPA should play a role in the power of competent authorities to apply supervisory measures by providing evidence about PEPP-related infringements. EIOPA should also provide binding mediation in the event of disagreement between competent authorities in cross-border situations.

(76)  In order to ensure compliance with this Regulation by PEPP providers and PEPP distributers and to ensure that they are subject to similar treatment across the Union, administrative penalties and other measures which are effective, proportionate and dissuasive should be provided.

(77)  In line with the Communication of the Commission of 8 December 2010 "Reinforcing sanctioning regimes in the financial services sector" and in order to ensure that the requirements of this Regulation are fulfilled, it is important that Member States take necessary steps to ensure that infringements of this Regulation are subject to appropriate administrative penalties and other measures.

(78)  Although Member States can lay down rules for administrative and criminal penalties for the same infringements, Member States should not be required to lay down rules for administrative penalties for infringements of this Regulation which are subject to national criminal law. However, the maintenance of criminal penalties instead of administrative penalties for infringements of this Regulation should not reduce or otherwise affect the ability of competent authorities to cooperate, access and exchange information in a timely way with competent authorities in other Member States for the purposes of this Regulation, including after any referral of the relevant infringements to the competent judicial authorities for criminal prosecution.

(79)  Competent authorities should be empowered to impose pecuniary penalties which are sufficiently high to offset the actual or potential profits, and to be dissuasive even for larger financial undertakings and their managers.

(80)  In order to ensure a consistent application of penalties across the Union, the competent authorities should take into account all relevant circumstances when determining the type of administrative penalty or other measures and the level of pecuniary penalties.

(81)  In order to ensure that decisions on infringements and penalties by competent authorities have a dissuasive effect on the public at large and to strengthen consumer protection by warning them about PEPPs distributed in infringement of this Regulation, those decisions should be published unless such disclosure jeopardises the stability of financial markets or an ongoing investigation.

(82)  In order to detect potential infringements, the competent authorities should have the necessary investigatory powers, and should establish effective mechanisms, to enable reporting of potential or actual infringements.

(83)  This Regulation should be without prejudice to any provisions in the laws of Member States in respect of criminal offences.

(84)  Any processing of personal data carried out within the framework of this Regulation, such as the exchange or transmission of personal data by the competent authorities or the processing of personal data by PEPP providers or PEPP distributors, should be undertaken in accordance with Regulation (EU) 2016/679 of the European Parliament and of the Council(15) and Directive 2002/58/EC of the European Parliament and of the Council(16). Any exchange or transmission of information by the ESAs should be undertaken in accordance with Regulation (EU) 2018/1725 of the European Parliament and of the Council(17).

(85)   Given the sensitivity of personal financial data, strong data protection is of the utmost importance. Therefore it is recommended that data protection authorities are closely involved in the implementation and supervision of this Regulation.

(86)  The registration and notification procedure laid down in this Regulation should not replace any additional national procedure in place to have the possibility to benefit from the advantages and incentives fixed at national level.

(87)  An evaluation of this Regulation is to be carried out, inter alia, by assessing market developments, such as the emergence of new types of PEPPs, as well as developments in other areas of Union law and the experiences of Member States. Such an evaluation should take account of the different aims and purposes of establishing a well- functioning PEPP-market, and in particular should evaluate whether this Regulation has resulted in more European citizens saving for sustainable and adequate pensions. The importance of minimum European standards for the supervision of PEPP providers also requires the evaluation of the PEPP providers in terms of compliance with this Regulation and the applicable sectorial law.

(88)  Given the possible long-term implications of this Regulation, it is essential to closely monitor developments during the initial phase of application. When carrying out the evaluation the Commission should also reflect the experiences of EIOPA, stakeholders and experts, and report to the European Parliament and to the Council any observations it might have.

(89)  This Regulation should ensure respect for fundamental rights and observe the principles recognised in particular by the Charter of the Fundamental Rights of the European Union, in particular the rights of the elderly to lead a life of dignity and independence and to participate in social and cultural life, the right to the protection of personal data, the right to property, the freedom to conduct a business, the principle of equality between men and women and the principle of a high level of consumer protection.

(90)  Since the objectives of this Regulation, namely to enhance PEPP saver protection and improve PEPP saver confidence in PEPPs, including where those products are distributed cross-border, cannot be sufficiently achieved by the Member States but can rather, by reason of its 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 those objectives.

HAVE ADOPTED THIS REGULATION:

CHAPTER I

GENERAL PROVISIONS

Article 1

Subject matter

This Regulation lays down uniform rules on the registration, manufacturing, distribution and supervision of personal pension products that are distributed in the Union under the designation "pan-European Personal Pension product" or "PEPP".

Article 2

Definitions

For the purposes of this Regulation, the following definitions apply:

(1)  "personal pension product" means a product which:

(a)  is based on a contract between an individual saver and an entity on a voluntary basis and is complementary to any statutory or occupational pension product;

(b)  provides for long-term capital accumulation with the explicit objective of providing income on retirement and with ▌limited possibilities for early withdrawal before that time;

(c)  is neither a statutory nor an occupational pension product;

(2)  "pan-European Personal Pension Product” or “PEPP" means a long-term savings personal pension product, which is provided by a ▌financial undertaking eligible according to Article 6(1) under a PEPP contract, and subscribed to by a PEPP saver, or by an independent PEPP savers association on behalf of its members, in view of retirement, and which has no or strictly limited possibility for early redemption and is registered in accordance with this Regulation;

(3)  "PEPP saver" means a natural person who has concluded a PEPP contract with a PEPP provider;

(4)  "PEPP contract" means a contract between a PEPP saver and a PEPP provider which fulfils the conditions laid down in Article 4;

(5)  "PEPP account" means a personal pension account held in the name of a PEPP saver or a PEPP beneficiary which is used for the recording of transactions allowing the PEPP saver to contribute periodically sums towards ▐ retirement and the PEPP beneficiary to receive PEPP benefits;

(6)  "PEPP beneficiary" means a natural person receiving PEPP benefits;

(7)  "PEPP customer" means a PEPP saver, a prospective PEPP saver or a PEPP beneficiary;

(8)  "PEPP distribution" means advising on, proposing, or carrying out other work preparatory to the conclusion of contracts for providing a PEPP, concluding such contracts, or assisting in the administration and performance of such contracts, including the provision of information concerning one or more PEPP contracts in accordance with criteria selected by PEPP customers through a website or other media and the compilation of a PEPP ranking list, including price and product comparison, or a discount on the price of a PEPP, when the PEPP customer is able to directly or indirectly conclude a PEPP contract using a website or other media;

(9)  "PEPP retirement benefits" means benefits paid by reference to reaching, or the expectation of reaching, retirement in one of the forms referred to in Article 58(1);

(10)  "PEPP benefits" means PEPP retirement benefits and other additional benefits to which a PEPP beneficiary is entitled in accordance with the PEPP contract, in particular for the strictly limited cases of early redemption or if the PEPP contract provides a coverage of biometric risks;

(11)  "accumulation phase" means the period during which assets are accumulated in a PEPP account and ordinarily runs until the decumulation phase starts;

(12)  "decumulation phase" means the period during which assets accumulated in a PEPP account may be drawn upon to fund retirement or other income requirements;

(13)  "annuity" means a sum payable at specific intervals over a period, such as the PEPP beneficiary's life or a certain number of years, in return for an investment;

(14)  "drawdown payments" means discretionary amounts which PEPP beneficiaries may draw ▌up to a certain limit on a periodic basis;

(15)  ▌"PEPP provider" means a financial undertaking as referred to in Article 6(1) authorised to manufacture a PEPP and to distribute that PEPP;

(16)  ▌"PEPP distributor" means a financial undertaking as referred to in Article 6(1) authorised to distribute PEPPs not manufactured by it, an investment firm providing investment advice, or an ▌insurance intermediary as defined in point (3) of Article 2(1) of Directive (EU) 2016/97 of the European Parliament and of the Council(18) ;

(17)  "durable medium" means any instrument which:

(a)  enables a PEPP customer to store information addressed personally to that customer in a way accessible for future reference and for a period of time adequate for the purposes of the information; and

(b)  allows the unchanged reproduction of the information stored;

(18)  "competent authorities ▌means the national authorities designated by a Member State to supervise PEPP providers or PEPP distributors, as the case may be or to carry out the duties provided for in this Regulation;

(19)  "home Member State of the PEPP provider" means home Member State as defined in the relevant legislative act as referred to in Article 6(1);

(20)  "home Member State of the PEPP distributor" means:

(a)  where the distributor is a natural person, the Member State in which his or her residence is situated;

(b)  where the distributor is a legal person, the Member State in which its registered office is situated or, where the distributor under its national law has no registered office, the Member State in which its head office is situated;

(21)  "host Member State of the PEPP provider" means a Member State, other than the home Member State of the PEPP provider, in which the PEPP provider provides PEPPs under the freedom to provide services or the freedom of establishment or for which the PEPP provider has opened a sub-account;

(22)  "host Member State of the PEPP distributor" means a Member State, other than the home Member State of the PEPP distributor, in which the PEPP distributor distributes PEPPs under the freedom to provide services or the freedom of establishment;

(23)  "sub-account" means a national section which is opened within each PEPP account and which corresponds to the legal requirements and conditions for using possible incentives fixed at national level for investing in a PEPP by the Member State of the PEPP saver's residence; accordingly, an individual may be a PEPP saver or a PEPP beneficiary in each sub-account, depending on the respective legal requirements for the accumulation phase and decumulation phase;

(24)  "capital" means aggregate capital contributions ▌, calculated on the basis of amounts investible after deduction of all fees, charges and expenses that are directly or indirectly borne by PEPP savers;

(25)  "financial instruments" means those instruments specified in Section C of Annex I to Directive 2014/65/EU of the European Parliament and of the Council(19);

(26)  "depositary" means an institution charged with the safekeeping of assets and oversight of compliance with the fund rules and applicable law;

(27)   "Basic PEPP" means an investment option as laid down in Article 45;

(28)  "risk mitigation techniques" means techniques for a systematic reduction in the extent of exposure to a risk and/or the likelihood of its occurrence;

(29)  "biometric risks" means risks linked to death, disability and/or longevity;

(30)  "switching provider" means, upon a PEPP saver’s request, transferring from one PEPP provider to another the corresponding amounts, or where applicable assets-in-kind in accordance with Article 52(4), from one PEPP account to the other, with ▌closing the former PEPP account without prejudice to point (e) of Article 53(4).;

(31)  "advice" means a personal recommendation provided by the PEPP provider or PEPP distributor to a PEPP customer in respect of one or more PEPP contracts ▌;

(32)  "partnership" means cooperation between PEPP providers to offer sub-accounts for different Member States in the context of the portability service, as referred to in Article 19(2);

(33)  “environmental, social and governance factors” or “ESG factors” means environmental, social and governance matters such as those referred to in the Paris Agreement, the United Nations Sustainable Development Goals, the United Nations Guiding Principles on Business and Human Rights and the United Nations-supported Principles for Responsible Investment.

Article 3

Applicable rules

The registration, manufacturing, distribution and supervision of PEPPs shall be subject to:

(a)  this Regulation, and

(b)   in the case of matters not regulated by this Regulation ▌:

(i)  relevant sectorial Union law including the corresponding delegated and implementing acts;

(ii)  the laws adopted by Member States in implementation of relevant sectorial Union law and implementation of measures relating specifically to PEPPs;

(iii)  other national laws which apply to PEPPs.

Article 4

PEPP contract

1.  The PEPP contract shall lay down the specific provisions for the PEPP in accordance with the applicable rules referred to in Article 3.

2.  The PEPP contract shall in particular include the following:

(a)  a description of the Basic PEPP as referred to in Article 45, including information on the guarantee on the capital invested or the investment strategy directed at ensuring the capital protection;

(b)  a description of the alternative investment options as referred to in Article 42(2), where applicable;

(c)  the conditions related to the modification of the investment option referred to in Article 44;

(d)  where the PEPP offers biometric risk coverage, details of that coverage, including the circumstances that would trigger it;

(e)  a description of the PEPP retirement benefits, in particular the possible forms of out-payments and the right to change the form of out-payment referred to in Article 59;

(f)  the conditions related to the portability service referred to in Articles 17 to 20 including information on the Member States for which a sub-account is available;

(g)  the conditions related to the switching service referred to in Articles 52 to 55;

(h)  the categories of costs and total aggregate costs expressed in percentage terms and in monetary terms, where applicable;

(i)  the conditions related to the accumulation phase for the sub-account corresponding to the Member State of residence of the PEPP saver referred to in Article 47;

(j)  the conditions related to the decumulation phase for the sub-account corresponding to the Member State of residence of the PEPP saver referred to in Article 57;

(k)  where applicable, the conditions under which advantages or incentives granted are to be repaid to the Member State of residence of the PEPP saver.

CHAPTER II

REGISTRATION

Article 5

Registration

1.  A PEPP may only be provided and distributed in the Union where it has been registered in the central public register kept by EIOPA in accordance with Article 13.

2.  Registration of a PEPP shall be valid in all Member States. It entitles the PEPP provider to provide the PEPP and PEPP distributor to distribute the PEPP registered in the central public register referred to in Article 13.

Supervision of compliance with this Regulation on an ongoing basis shall be carried out in accordance with Chapter IX.

Article 6

Application for registration of a PEPP

1.  Only the following financial undertakings authorised or registered under Union law may apply for registration of a PEPP:

(a)  credit institutions authorised in accordance with Directive 2013/36/EU of the European Parliament and of the Council(20);

(b)  insurance undertakings authorised in accordance with Directive 2009/138/EC of the European Parliament and of the Council(21), engaged in direct life insurance according to Article 2(3) of Directive 2009/138/EC and Annex II to that Directive;

(c)  institutions for occupational retirement provision (IORPs) authorised or registered in accordance with Directive (EU) 2016/2341 which, pursuant to national law, are authorised and supervised to provide also personal pension products. In that case, all assets and liabilities corresponding to PEPP provision business shall be ring-fenced, without any possibility to transfer them to the other retirement provision business of the institution;

(d)  investment firms authorised in accordance with Directive 2014/65/EU, providing portfolio management ;

(e)  investment companies or management companies authorised in accordance with Directive 2009/65/EC;

(f)   EU alternative investment fund managers (EU AIFM) authorised in accordance with Directive 2011/61/EU.

2.  Financial undertakings listed in paragraph 1 shall submit the application for registration of a PEPP to their competent authorities. The application shall include the following:

(a)  standard contract terms of the PEPP contract to be proposed to PEPP savers as referred to in Article 4;

(b)  information on the identity of the applicant ;

(c)  information on arrangements regarding portfolio and risk management and administration with regard to the PEPP, including arrangements as referred to in Articles 19(2), 42(5) and 49(3);

(d)  a list of Member States where the applicant PEPP provider intends to market the PEPP, where applicable;

(e)  information on the identity of the depositary, where applicable;

(f)  PEPP key information as referred to in Article 26;

(g)   a list of Member States for which the applicant PEPP provider will be able to ensure the immediate opening of a sub-account.

3.   The competent authorities shall assess whether the application referred to in paragraph 2 is complete within 15 working days of receipt of the application.

The competent authorities shall set a time limit by which the applicant is to provide additional information, if the application is not complete. After the application is considered to be complete, the competent authorities shall notify the applicant accordingly.

4.   Within three months of the date of the submission of the complete application under paragraph 3, the competent authorities shall take a decision for registration of a PEPP only if the applicant is eligible to provide PEPPs according to paragraph 1 and if the information and documents submitted in the application for registration referred to in paragraph 2 comply with this Regulation.

5.   Within five working days of taking a decision for registration of the PEPP, competent authorities shall communicate to EIOPA the decision as well as the information and documents referred to in points (a), (b), (d), (f) and (g) of paragraph 2 and shall inform the applicant PEPP provider accordingly.

EIOPA shall not be responsible nor be held liable for a decision for registration taken by competent authorities.

Where the competent authorities refuse to grant registration, they shall issue a reasoned decision which shall be subject to a right to appeal.

6.  In the event that there is more than one competent authority for a specific type of financial undertaking as referred to in paragraph 1 in a Member State, that Member State shall designate a single competent authority for each type of financial undertaking referred to in paragraph 1 to be responsible for the registration procedure and for the communication with EIOPA.

Any subsequent modifications to the information and documents provided in the application referred to in paragraph 2 shall be immediately notified to the competent authorities. Where modifications are in relation to the information and documents referred to in points (a), (b), (d), (f) and (g) of paragraph 2, the competent authorities shall communicate those modifications to EIOPA without undue delay.

Article 7

Registration of a PEPP

1.  Within five working days from the date of communication of the decision for registration as well as the information and documents in accordance with Article 6(5), EIOPA shall register the PEPP in the central public register referred to in Article 13 and shall notify the competent authorities accordingly without undue delay.

2.  Within five working days after receiving the notification for the registration of the PEPP referred to in paragraph 1, competent authorities shall inform the applicant PEPP provider accordingly.

3.   The PEPP provider may provide the PEPP and the PEPP distributor may distribute the PEPP as from the date of the registration of the PEPP in the central public register referred to in Article 13.

Article 8

Conditions for deregistration of a PEPP

1.  The competent authorities shall issue a decision for deregistration of the PEPP when :

(a)  the PEPP provider expressly renounces the registration;

(b)  the PEPP provider has obtained the registration by making false statements or by any other irregular means;

(c)  the PEPP provider has seriously or systematically infringed this Regulation; or

(d)  the PEPP provider or the PEPP no longer meets the conditions under which registration was granted.

2.  Within five working days after taking a decision for deregistration of the PEPP the competent authorities shall communicate it to EIOPA and shall inform the PEPP provider accordingly.

3.  Within five working days after receiving the notification of the decision for deregistration referred to in paragraph 2, EIOPA shall deregister the PEPP and shall notify the competent authorities accordingly.

4.  Within five working days after receiving the notification for the deregistration of the PEPP referred to in paragraph 3, including the date of the deregistration, competent authorities shall notify the PEPP provider accordingly.

5.  The PEPP provider shall no longer provide the PEPP and the PEPP distributor shall no longer distribute the PEPP as from the date of the deregistration of the PEPP in the central public register referred to in Article 13.

6.  Where EIOPA has received information regarding the existence of one of the circumstances referred to in point (b) or (c) of paragraph 1 of this Article, in accordance with the duty of cooperation between competent authorities and EIOPA referred to in Article 66, EIOPA shall request the competent authorities of the PEPP provider to verify the existence of such circumstances and the competent authorities shall submit to EIOPA their findings and the corresponding information.

7.  Before taking a decision for deregistration of the PEPP, the competent authorities and EIOPA shall give their best efforts to ensure that the PEPP savers interests are safeguarded.

Article 9

Designation ▌

The designation "pan-European Personal Pension Product" or "PEPP" in relation to a personal pension product may only be used where the personal pension product has been registered by EIOPA to be distributed under the designation "PEPP" in accordance with this Regulation.

Article 10

Distribution of PEPPs

1.  Financial undertakings referred to in Article 6(1) may distribute PEPPs which they have manufactured. They may also distribute PEPPs which they have not manufactured provided they comply with the relevant sectorial law in accordance with which they may distribute products which they have not manufactured.

2.  Insurance intermediaries registered in accordance with Directive (EU) 2016/97 and investment firms authorised in accordance with Directive 2014/65/EU for the provision of investment advice as defined in point 4 of Article 4(1) of Directive 2014/65/EU may distribute PEPPs which they have not manufactured.

Article 11

Prudential regime applicable to different types of providers

PEPP providers and PEPP distributors shall comply ▌with this Regulation, as well as with the relevant prudential regime applicable to them in accordance with the legislative acts referred to in Article 6(1) and Article 10(2).

Article 12

Publication of national provisions

1.  The texts of the national laws, regulations and administrative provisions governing the conditions related to the accumulation phase as referred to in Article 47 and the conditions related to the decumulation phase as referred to in Article 57, including information about additional national procedures put in place for applying for advantages and incentives set at national level, where applicable, shall be made public and kept up to date by the relevant national authority.

2.  All competent authorities in a Member State shall maintain and keep up to date on their website a link to the texts referred to in paragraph 1.

3.  The publication of the texts referred to in paragraph 1 shall only be for informational purposes and shall not create legal obligations or liabilities for the relevant national authorities.

Article 13

Central public register

1.  EIOPA shall keep a central public register identifying each PEPP registered under this Regulation, the registration number of the PEPP, the PEPP provider of this PEPP, the competent authorities of the PEPP provider, the date of the registration of the PEPP, a complete list of Member States in which this PEPP is offered and a complete list of Member States for which the PEPP provider offers a sub-account. The register shall be publicly available in electronic format and shall be kept up to date.

2.  Competent authorities shall inform EIOPA of the links referred to in Article 12(2) and shall keep this information up to date.

3.  EIOPA shall publish and keep up to date the links referred to in paragraph 2 in the central public register referred to in paragraph 1.

CHAPTER III

CROSS-BORDER PROVISION AND PORTABILITY OF PEPP

SECTION I

FREEDOM TO PROVIDE SERVICES AND FREEDOM OF ESTABLISHMENT

Article 14

Exercise of the freedom to provide services and freedom of establishment by PEPP providers and PEPP distributors

1.   PEPP providers may provide and PEPP distributors may distribute PEPPs within the territory of a host Member State under the freedom to provide services or the freedom of establishment, provided they do so in compliance with the relevant rules and procedures established by or under the Union law applicable to them as referred to in points (a), (b), (d) and (e) of Article 6(1) or in Article 10(2) and after notifying their intention to open a sub-account for this host Member State in accordance with Article 21.

2.   PEPP providers as referred to in point (c) and (f) of Article 6(1) shall comply with the rules set out in Article 15.

Article 15

Exercise of the freedom to provide services by IORPs and EU AIFM

1.  PEPP providers as referred to in point (c) and point (f) of Article 6(1) which intend to provide PEPPs to PEPP savers within the territory of a host Member State for the first time under the freedom to provide services and after notifying their intention to open a sub-account for this host Member State in accordance with Article 21, shall communicate the following information to the competent authorities of their home Member State:

(a)  the name and address of the PEPP provider;

(b)  the Member State in which the PEPP provider intends to provide or distribute PEPPs to PEPP savers.

2.  The competent authorities of the home Member State shall transmit the information within 10 working days of the date of receipt to the host Member State together with a confirmation that the PEPP provider referred to in paragraph 1 of this Article complies with the requirements set out in Article 6(1). The information is communicated to the competent authorities of the host Member State unless the competent authorities of the home Member State have reason to doubt the adequacy of the administrative structure in relation to the provision of PEPP or the financial situation of the PEPP provider as referred to in point (c) and (f) of Article 6(1).

Where the competent authorities of the home Member State refuse to communicate the information to the competent authorities of the host Member State, they shall give reasons for such refusal to the PEPP provider concerned within one month of receiving all the information and documents. The refusal or any failure to reply shall be subject to the right to appeal to the courts in the PEPP provider’s home Member State.

3.  The competent authorities of the host Member State shall within 10 working days acknowledge receipt of the information referred to in paragraph 1. The competent authorities of the home Member State shall then inform the PEPP provider that the information has been received by the competent authorities of the host Member State and that the PEPP provider can start the provision of PEPP to PEPP savers in that Member State.

4.  In the absence of acknowledgment of receipt as referred to in paragraph 3 within 10 working days of the date of the transmission of the information as referred to in paragraph 2, the competent authorities of the home Member State shall inform the PEPP provider that the PEPP provider can start providing services in that host Member State.

5.  In the event of a change in any of the information referred to in paragraph 1, the PEPP provider shall notify that change to the competent authorities of the home Member State at least one month before implementing the change. The competent authorities of the home Member State shall inform the competent authorities of the host Member State about the change as soon as possible and no later than one month from receipt of the notification.

6.   Host Member States may, for the purposes of this procedure, designate other competent authorities than those referred to in point 18 of Article 2 in order to exercise the powers conferred on the competent authorities of the host Member State. They shall inform the Commission and EIOPA, indicating any division of those duties.

Article 16

Powers of the competent authorities of the host Member State

1.  Where the competent authorities of the host Member State have reason to consider that a PEPP is distributed within its territory or a sub-account for that Member State has been opened in infringement of any obligations resulting from the applicable rules as referred to in Article 3, they shall refer their findings to the competent authorities of the home Member State of the PEPP provider or the PEPP distributor.

2.  After assessing the information received pursuant to paragraph 1, the competent authorities of the home Member State shall, where applicable, take appropriate measures without delay to remedy the situation. They shall inform the competent authorities of the host Member State of any such measures.

3.  Where the measures taken by the competent authorities of the home Member State prove to be inadequate or are lacking, and the PEPP provider or the PEPP distributor continues to distribute the PEPP in a manner that is clearly detrimental to the interests of the host Member State's PEPP savers or to the orderly functioning of the market for personal pension products in that Member State, the competent authorities of the host Member State may, after informing the competent authorities of the home Member State, take appropriate measures to prevent further irregularities, including, in so far as is strictly necessary, preventing the PEPP provider or the PEPP distributor from continuing the distribution of PEPPs within their territory.

In addition, the competent authorities of the home Member State or the competent authorities of the host Member State may refer the matter to EIOPA and request its assistance in accordance with Article 19 of Regulation (EU) No 1094/2010.

4.  Paragraphs 1 to 3 shall not affect the power of the host Member State to take appropriate and non-discriminatory measures to prevent or penalise irregularities committed within its territory, in situations where immediate action is strictly necessary in order to protect the rights of consumers in the host Member State, and where equivalent measures of the home Member State are inadequate or lacking, or in cases where the irregularities are contrary to national legal provisions protecting the general good, in so far as strictly necessary. In such situations, host Member States shall have the possibility of preventing the PEPP provider or the PEPP distributor from carrying on new business within their territory.

5.  Any measure adopted by the competent authorities of the host Member State under this Article shall be communicated to the PEPP provider or the PEPP distributor in a well-reasoned document and notified to the competent authorities of the home Member State without undue delay.

SECTION II

PORTABILITY

Article 17

The portability service

1.  PEPP savers shall have the right to use a portability service which gives them the right to continue contributing into their existing PEPP account, when changing their residence to another Member State.

2.  When using the portability service, PEPP savers are entitled to retain all advantages and incentives granted by the PEPP provider and connected with continuous investment in their PEPP.

Article 18

Provision of the portability service

1.  PEPP providers shall provide the portability service referred to in Article 17 to PEPP savers holding a PEPP account with them and requesting this service.

2.  When proposing a PEPP, the PEPP provider or PEPP distributor shall provide prospective PEPP savers with information on the portability service and on which sub-accounts are immediately available.

3.  Within three years of the date of application of this Regulation, each PEPP provider shall offer national sub-accounts for at least two Member States upon request addressed to the PEPP provider.

Article 19

Sub-accounts of the PEPP

1.  Where PEPP providers provide a portability service to PEPP savers in accordance with Article 17, PEPP providers shall ensure that when a new sub-account is opened within a PEPP account, it shall correspond to the legal requirements and conditions determined at national level as referred to in Articles 47 and 57 for the PEPP by the new Member State of residence of the PEPP saver. All transactions in the PEPP account shall be entered into a corresponding sub-account. The contributions made to and withdrawals from the sub-account may be subject to separate contract terms.

2.  Without prejudice to applicable sectorial law, PEPP providers may also ensure compliance with the requirements referred to in paragraph 1 by establishing a partnership with another registered PEPP provider (the “partner”).

Having regard to the scope of the functions to be carried out by the partner, the partner shall be qualified and capable of undertaking the delegated functions. The PEPP provider shall enter into a written agreement with the partner. The agreement shall be legally enforceable and shall clearly define the rights and obligations of the PEPP provider and of the partner. The agreement shall comply with the relevant rules and procedures for delegation and outsourcing established by or under the Union law applicable to them as referred to in Article 6(1). Notwithstanding that agreement, the PEPP provider shall remain solely liable for its responsibilities under this Regulation.

Article 20

Opening of a new sub-account

1.   Without delay after being informed about the PEPP saver's change of residence to another Member State, the PEPP provider shall inform the PEPP saver about the possibility to open a new sub-account within the PEPP saver's PEPP account and about the timeframe within which such a sub-account could be opened.

In that case, the PEPP provider shall provide the PEPP saver free of charge with the PEPP KID, containing the specific requirements referred to in point (g) of Article 28(3) for the sub-account corresponding to the new Member State of residence of the PEPP saver.

In the case that a new sub-account is not available, the PEPP provider shall inform the PEPP saver about the right to switch without delay and free of charge and of the possibility to continue saving in the last sub-account opened.

2.  If the PEPP saver intends to make use of the possibility to open a sub-account, the PEPP saver shall inform the PEPP provider of the following:

(a)  the PEPP saver's new Member State of residence;

(b)  the date from which the contributions shall be directed to the new sub-account;

(c)  any relevant information about ▌other conditions for the PEPP.

3.  The PEPP saver may continue contributing to the last sub-account opened.

4.   The PEPP provider shall offer to provide the PEPP saver with a personalised recommendation explaining whether the opening of a new sub-account within the PEPP saver's PEPP account and making contributions to the new sub-account would be more favourable than continuing to contribute to the last sub-account opened.

5.  Where the PEPP provider is not able to ensure the opening of a new sub-account corresponding to the PEPP saver’s new Member State of residence, the PEPP saver shall according to his or her choice be able to:

(a)  switch PEPP provider without delay and free of charge notwithstanding the requirements of Article 52(3) on the frequency of switching; or

(b)  continue contributing to the last sub-account opened.

6.  The new sub-account shall be opened by ▌amending the existing PEPP contract between the PEPP saver and the PEPP provider, in compliance with the applicable contract law. The date of opening shall be defined in the contract ▌.

Article 21

Provision of information on portability to the competent authorities

1.  The PEPP provider wishing to open a new sub-account for a host Member State for the first time shall notify the competent authorities of the home Member State.

2.  The PEPP provider shall include in the notification the following information and documents:

(a)  standard contract terms of the PEPP contract as referred to in Article 4, including the annex for the new sub-account;

(b)  the PEPP KID, containing the specific requirements for the sub-account corresponding to the new sub-account in accordance with point (g) of Article 28(3);

(c)   the PEPP Benefit Statement referred to in Article 36;

(d)  information about contractual arrangements referred to in Article 19(2), where applicable.

3.  The competent authorities of the home Member State shall verify whether the documentation provided is complete and transmit it within 10 working days of receipt of the complete documentation to the competent authorities of the host Member State.

4.  The competent authorities of the host Member State shall without delay acknowledge the receipt of the information and documents referred to in paragraph 2.

5.  The competent authorities of the home Member State shall then inform the PEPP provider that the information has been received by the competent authorities of the host Member State and that the PEPP provider can open the sub-account for that Member State.

In the absence of acknowledgment of receipt as referred to in paragraph 4 within 10 working days of the date of the transmission of the documentation as referred to in paragraph 3, the competent authorities of the home Member State shall inform the PEPP provider that the sub-account for that Member State can be opened.

6.  In the event of a change in any of the information and documents referred to in paragraph 2, the PEPP provider shall notify that change to the competent authorities of the home Member State at least one month before implementing the change. The competent authorities of the home Member State shall inform the competent authorities of the host Member State about the change as soon as possible and no later than one month from receipt of the notification.

CHAPTER IV

DISTRIBUTION AND INFORMATION REQUIREMENTS

SECTION I

General provisions

Article 22

General principle

When carrying out distribution activities for PEPPs, PEPP providers and PEPP distributors shall always act honestly, fairly and professionally in accordance with the best interests of their PEPP customers.

Article 23

Distribution regime applicable to different types of PEPP providers and PEPP distributors

1.   For the distribution of PEPPs, the different types of PEPP providers and PEPP distributors shall comply with the following rules:

(a)  insurance undertakings as referred to in point (b) of Article 6(1) of this Regulation and insurance intermediaries as referred to in Article 10(2) of this Regulation shall comply with the applicable national law giving effect to the rules set out in Chapters V and VI of Directive (EU) 2016/97, with the exception of Articles 20, 23, 25 and Article 30(3) of that Directive for the distribution of insurance-based investment products, with any directly applicable Union law adopted under those rules with respect to the distribution of such products and with this Regulation, with the exception of Article 34(4);

(b)  investment firms as referred to in ▌Article 10(2) of this Regulation shall comply with the applicable national law▌giving effect to the rules on marketing and distribution of financial instruments set out in the first subparagraph of Article 16(3) and Articles 23, 24 and 25 of Directive 2014/65/EU, with the exception of Article 24(2) and Article 25(3) and (4) of that Directive, with any directly applicable Union law adopted under those provisions, and with this Regulation with the exception of Article 34(4);

(c)  all other PEPP providers and PEPP distributors shall comply with the applicable national law giving effect to the rules on marketing and distribution of financial instruments set out in the first subparagraph of Article 16(3) and in Articles 23, 24 and 25 of Directive 2014/65/EU, with the exception of Article 24(2) and Article 25(2), (3) and (4) of that Directive, with any directly applicable Union law adopted under those provisions and with this Regulation.

2.  The rules set out in point (a) of paragraph 1 shall apply only to the extent that there is no more stringent provision in the applicable national law giving effect to the rules set out in Chapters V and VI of Directive (EU) 2016/97.

Article 24

Electronic distribution and other durable mediums

PEPP providers and PEPP distributors shall provide all documents and information under this Chapter free of charge to PEPP customers electronically, provided that the PEPP customer is able to store such information in a way accessible for future reference and for a period of time adequate for the purposes of the information and that the tool allows the unchanged reproduction of the information stored.

Upon request, PEPP providers and PEPP distributors shall provide free of charge those documents and information also on another durable medium, including paper. PEPP providers and PEPP distributors shall inform PEPP customers about their right to request a copy of those documents on another durable medium, including paper, free of charge.

Article 25

Product oversight and governance requirements

1.  PEPP providers shall maintain, operate and review a process for the approval of each PEPP, or significant adaptations of an existing PEPP, before it is distributed to PEPP customers.

The product approval process shall be proportionate and appropriate to the nature of the PEPP.

The product approval process shall specify an identified target market for each PEPP, ensure that all relevant risks to such identified target market are assessed and that the intended distribution strategy is consistent with the identified target market, and take reasonable steps to ensure that the PEPP is distributed to the identified target market.

The PEPP provider shall understand and regularly review the PEPPs it provides, taking into account any event that could materially affect the potential risk to the identified target market, to assess at least whether the PEPPs remain consistent with the needs of the identified target market and whether the intended distribution strategy remains appropriate.

PEPP providers shall make available to PEPP distributors all appropriate information on the PEPP and the product approval process, including the identified target market of the PEPP.

PEPP distributors shall have in place adequate arrangements to obtain the information referred to in the fifth subparagraph and to understand the characteristics and identified target market of each PEPP.

2.  The policies, processes and arrangements referred to in this Article shall be without prejudice to all other requirements under or applying by virtue of this Regulation including those relating to disclosure, suitability or appropriateness, identification and management of conflicts of interest, ▌inducements and ESG factors.

SECTION II

PRE-CONTRACTUAL INFORMATION

Article 26

PEPP KID

1.  Before a PEPP is proposed to PEPP savers, the PEPP provider shall draw up a PEPP KID for that PEPP product in accordance with the requirements of this Section and shall publish the PEPP KID on its website.

2.  The PEPP KID shall constitute pre-contractual information. It shall be accurate, fair, clear and not misleading. It shall provide key information and shall be consistent with any binding contractual documents, with the relevant parts of the offer documents and with the terms and conditions of the PEPP.

3.  The PEPP KID shall be a stand-alone document, clearly separate from marketing materials. It shall not contain cross-references to marketing materials. It may contain cross-references to other documents including a prospectus where applicable, only where such cross-references are related to the information required to be included in the PEPP KID by this Regulation.

A separate PEPP KID shall be drawn up for the Basic PEPP.

4.  Where a PEPP provider offers to a PEPP saver a range of alternative investment options such that all information required in Article 28(3) regarding those underlying investment options cannot be provided within a single, concise, stand-alone PEPP KID, PEPP providers shall produce one of the following:

(a)  a stand-alone PEPP KID for each alternative investment option;

(b)  a generic PEPP KID providing at least a generic description of the alternative investment options and stating where and how more detailed pre-contractual information relating to the investments backing those investments options can be found.

5.  In accordance with Article 24, the PEPP KID shall be drawn up as a short document written in a concise manner. It shall:

(a)  be presented and laid out in a way that is easy to read, using characters of readable size;

(b)  focus on the key information that PEPP customers need;

(c)  be clearly expressed and written in language and a style that facilitates the understanding of the information and, in particular, in language that is clear, succinct and comprehensible.

6.  Where colours are used in the PEPP KID, they shall not diminish the comprehensibility of the information if the PEPP KID is printed or photocopied in black and white.

7.  Where the corporate branding or logo of the PEPP provider or the group to which it belongs is used in the PEPP KID, it shall not distract from the information contained in the document or obscure the text.

8.  In addition to the PEPP KID, PEPP providers and PEPP distributors shall provide prospective PEPP savers with references to any publicly available reports on the ▌financial condition of the PEPP provider, including its solvency, allowing prospective PEPP savers easy access to this information.

9.   Prospective PEPP savers shall also be provided with information on the past performance of the PEPP saver's investment option covering performance of a minimum of ten years or, in cases where the PEPP has been provided for less than ten years, covering all the years for which the PEPP has been provided. Information on past performance shall be accompanied by the statement "past performance is not indicative of future performance".

Article 27

Language of the PEPP KID

1.  The PEPP KID shall be written in the official languages, or in at least one of the official languages, used in the part of the Member State where the PEPP is distributed, or in another language accepted by the competent authorities of that Member State, or where it has been written in a different language, it shall be translated into one of those languages.

The translation shall faithfully and accurately reflect the content of the original PEPP KID.

2.  If a PEPP is marketed in a Member State through marketing materials in one or more of the official languages of that Member State, the PEPP KID shall at least be in the corresponding official languages.

3.  The PEPP KID shall be made available upon request in an appropriate format to PEPP savers with a visual impairment.

Article 28

Content of the PEPP KID

1.  The title 'PEPP Key Information Document' shall appear prominently at the top of the first page of the PEPP KID.

The PEPP KID shall be presented in the sequence laid down in paragraphs 2 and 3.

2.  An explanatory statement shall appear directly underneath the title. It shall read:"

‘This document provides you with key information about this pan-European Personal Pension Product (PEPP). It is not marketing material. The information is required by law to help you understand the nature, risks, costs, potential gains and losses of this personal pension product and to help you compare it with other PEPPs.’

"

3.  The PEPP KID shall contain the following information:

(a)  at the beginning of the document: the name of the PEPP, whether it is a basic PEPP or not, the identity and contact details of the PEPP provider, information about the competent authorities of the PEPP provider, the registration number of the PEPP in the central public register and the date of the document;

(b)  the statement: ‘The retirement product described in this document is a long-term product with limited redeemability which cannot be terminated at any time.’;

(c)  under a section titled ‘What is this product?’, the nature and main features of the PEPP, including:

(i)  its long-term objectives and the means for achieving them, in particular whether the objectives are achieved by means of direct or indirect exposure to the underlying investment assets, including a description of the underlying instruments or reference values, including a specification of the markets the PEPP provider invests in, as well as an explanation of how the return is determined;

(ii)  a description of the type of PEPP saver to whom the PEPP is intended to be marketed, in particular in terms of the PEPP saver's ability to bear investment loss and the investment horizon;

(iii)  a statement as to

­  whether the Basic PEPP provides a guarantee on the capital or takes the form of a risk-mitigation technique consistent with the objective to allow the PEPP saver to recoup the capital, or

­  whether and to what extent any alternative investment option, if applicable, provides a guarantee or a risk-mitigation technique;

(iv)  a description of the PEPP retirement benefits, in particular the possible forms of out-payments and the right to modify the form of out-payments as referred to in Article 59(1);

(v)  where the PEPP covers biometric risk: details of the risks covered and of the insurance benefits, including the circumstances in which those benefits may be claimed;

(vi)  information on the portability service, including a reference to the central public register referred to in Article 13 where information for the conditions for the accumulation phase and the decumulation phase determined by Member States in accordance with Article 47 and Article 57 is contained;

(vii)  a statement on the consequences for the PEPP saver of early withdrawal from the PEPP, including all applicable fees, penalties, and possible loss of capital protection and of other possible advantages and incentives;

(viii)  a statement on the consequences for the PEPP saver if the PEPP saver stops contributing to the PEPP;

(ix)  information on the sub-accounts available and on the PEPP saver's rights referred to in Article 20(5);

(x)  information about the PEPP saver’s right to switch and the right to receive information about the switching service as referred to in Article 56;

(xi)  the conditions for modification of the chosen investment option referred to in Article 44;

(xii)  information, where available, related to the performance of the PEPP provider’s investments in terms of ESG factors;

(xiii)  the law applicable to the PEPP contract where the parties do not have a free choice of law or, where the parties are free to choose the applicable law, the law that the PEPP provider proposes to choose;

(xiv)  where applicable, whether there is a cooling-off period or cancellation period for the PEPP saver;

(d)  under a section titled ‘What are the risks and what could I get in return?’, a short description of the risk-reward profile comprising the following elements:

(i)  a summary risk indicator, supplemented by a narrative explanation of that indicator, its main limitations and a narrative explanation of the risks which are materially relevant to the PEPP and which are not adequately captured by the summary risk indicator;

(ii)  the possible maximum loss of invested capital, including, information on:

­  whether the PEPP saver can lose all invested capital, or

­  whether the PEPP saver bears the risk of incurring additional financial commitments or obligations;

(iii)  appropriate performance scenarios and the assumptions on which they are based;

(iv)  where applicable, conditions for returns to PEPP savers or built-in performance caps;

(v)  a statement that the tax law of the PEPP saver's Member State of residence may have an impact on the actual payout;

(e)  under a section titled ‘What happens if [the name of the PEPP provider] is unable to pay out?’, a short description of whether the related loss is covered by an investor compensation or guarantee scheme and if so, which scheme it is, the name of the guarantor and which risks are covered by the scheme and which are not;

(f)  under a section titled ‘What are the costs?’, the costs associated with an investment in the PEPP, comprising both direct and indirect costs to be borne by the PEPP saver, including one-off and recurring costs, presented by means of summary indicators of those costs and, to ensure comparability, total aggregate costs expressed in monetary and percentage terms, to show the compound effects of the total costs on the investment.

The PEPP KID shall include a clear indication that the PEPP provider or PEPP distributor shall provide information detailing any cost of distribution that is not already included in the costs specified above, so as to enable the PEPP saver to understand the cumulative effect that those aggregate costs have on the return of the investment;

(g)  under a section "What are the specific requirements for the sub-account corresponding to [my Member State of residence]?":

(i)  under a sub-section: "Requirements for the pay-in phase":

a description of the conditions for the accumulation phase, as determined by the Member State of residence of the PEPP saver in accordance with Article 47;

(ii)  under a sub-section: "Requirements for the pay-out phase":

a description of the conditions for the decumulation phase, as determined by the Member State of residence of the PEPP saver in accordance with Article 57;

(h)  under a section titled ‘How can I complain?’: information about how and to whom a PEPP saver can make a complaint about the PEPP or the conduct of the PEPP provider or PEPP distributor.

4.  Layering of the information required under paragraph 3 shall be permitted where the PEPP KID is provided in an electronic format, whereby detailed parts of the information can be presented through pop-ups or through links to accompanying layers. In this case, it shall be possible to print the PEPP KID as one single document.

5.  In order to ensure consistent application of this Article, EIOPA shall, after consulting the other ESAs and after conducting consumer testing and industry testing, develop draft regulatory technical standards specifying:

(a)  the details of the presentation, including the form and length of the document, and the content of each of the elements of information referred to in paragraph 3;

(b)  the methodology underpinning the presentation of risk and reward as referred to in points (d)(i) and (iv) of paragraph 3;

(c)  the methodology for the calculation of costs, including the specification of summary indicators, as referred to in point (f) of paragraph 3;

(d)  where information is presented in an electronic format with layering of information, which information shall be in the first layer, and which information may be provided in the additional layers of detail.

When developing the draft regulatory technical standards, EIOPA shall take into account the various possible types of PEPPs, the long-term nature of the PEPP, the capabilities of PEPP savers, and the features of the PEPPs, in order to allow the PEPP saver to select from different investment options and other options provided for by the PEPP, including where that selection may be undertaken at different points in time, or changed in the future.

EIOPA shall submit those draft regulatory technical standards to the Commission by … [12 months after the date of entry into force of this Regulation].

Power is delegated to the Commission to supplement this Regulation by adopting the regulatory technical standards referred to in the first subparagraph in accordance with Articles 10 to 14 of Regulation (EU) No 1094/2010.

Article 29

Marketing materials

Marketing materials that contain specific information relating to the PEPP shall not include any statement that contradicts the information contained in the PEPP KID or diminishes the significance of the PEPP KID. Marketing materials shall indicate that a PEPP KID is available and supply information on how and where to obtain it, including the PEPP provider's website.

Article 30

Revision of the PEPP KID

1.  The PEPP provider shall review the information contained in the PEPP KID at least annually and shall promptly revise the document where the review indicates that changes need to be made. The revised version shall be made available promptly.

2.  In order to ensure consistent application of this Article, EIOPA shall, after consulting the other ESAs and after conducting consumer testing and industry testing, develop draft regulatory technical standards specifying the conditions under which the PEPP KID shall be reviewed and revised.

EIOPA shall submit those draft regulatory technical standards to the Commission by ... [12 months after the date of entry into force of this Regulation].

Power is delegated to the Commission to supplement this Regulation by adopting the regulatory technical standards referred to in the first subparagraph in accordance with Articles 10 to 14 of Regulation (EU) No 1094/2010.

Article 31

Civil liabilities

1.  The PEPP provider shall not incur civil liability solely on the basis of the PEPP KID, including any translation thereof, unless it is misleading, inaccurate or inconsistent with the relevant parts of legally binding pre-contractual and contractual documents or with the requirements laid down in Article 28.

2.  A PEPP saver who demonstrates loss resulting from reliance on a PEPP KID under the circumstances referred to in paragraph 1, when concluding a PEPP contract for which that PEPP KID was produced, may claim damages from the PEPP provider for that loss in accordance with national law.

3.  Elements such as ‘loss’ or ‘damages’ as referred to in paragraph 2 which are not defined shall be interpreted and applied in accordance with the applicable national law as determined by the relevant rules of private international law.

4.  This Article does not exclude further civil liability claims in accordance with national law.

5.  The obligations under this Article shall not be limited or waived by contractual clauses.

Article 32

PEPP contracts which cover biometric risks

Where the PEPP KID concerns a PEPP contract covering biometric risks, the PEPP provider's obligations under this section shall be only towards the PEPP saver.

Article 33

Provision of the PEPP KID

1.  A PEPP provider or PEPP distributor shall provide prospective PEPP savers with all the PEPP KIDs drawn up in accordance with Article 26 when advising on, or offering for sale, a PEPP, in good time before those PEPP savers are bound by any PEPP contract or offer relating to that PEPP contract.

2.  A PEPP provider or PEPP distributor may satisfy the requirements of paragraph 1 by providing the PEPP KID to a natural person with written authority to make investment decisions on behalf of the PEPP saver in respect of transactions concluded under that written authority.

3.  In order to ensure consistent application of this Article, EIOPA shall, after having consulted the other ESAs where appropriate, develop draft regulatory technical standards specifying the conditions for fulfilling the requirement to provide the PEPP KID as laid down in paragraph 1.

EIOPA shall submit those draft regulatory technical standards to the Commission by … [12 months after the date of entry into force of this Regulation].

Power is delegated to the Commission to supplement this Regulation by adopting the regulatory technical standards referred to in the first subparagraph in accordance with Articles 10 to 14 of Regulation (EU) No 1094/2010.

SECTION III

ADVICE ▌

Article 34

Specification of demands and needs and provision of advice

1.  Prior to the conclusion of a PEPP ▌contract, the PEPP provider or PEPP distributor ▌ shall specify, on the basis of information required and obtained from the prospective PEPP saver, the retirement-related demands and needs of that prospective PEPP saver, including the possible need to acquire a product offering annuities, and shall provide the prospective PEPP saver with objective information about the PEPP in a comprehensible form to allow that PEPP saver to make an informed decision.

Any PEPP contract proposed shall be consistent with the PEPP saver’s retirement-related demands and needs, taking into account his or her accrued retirement entitlements.

2.  The PEPP provider or PEPP distributor shall provide advice to the prospective PEPP saver prior to the conclusion of the PEPP contract providing the prospective PEPP saver with a personalised recommendation explaining why a particular PEPP, including a particular investment option, if applicable, would best meet the PEPP saver’s demands and needs.

The PEPP provider or PEPP distributor shall also provide the prospective PEPP saver with personalised pension benefit projections for the recommended product based on the earliest date on which the decumulation phase may start and a disclaimer that those projections may differ from the final value of the PEPP benefits received. If the pension benefit projections are based on economic scenarios, that information shall also include a best estimate scenario and an unfavourable scenario, taking into consideration the specific nature of the PEPP contract.

3.  If a Basic PEPP is offered without at least a guarantee on the capital, the PEPP provider or PEPP distributor shall clearly explain the existence of PEPPs with a guarantee on the capital, the reasons for recommending a Basic PEPP based on a risk mitigation technique consistent with the objective to allow the PEPP saver to recoup the capital and clearly demonstrate any additional risks that such PEPPs might entail in comparison to a capital guarantee based Basic PEPP providing a guarantee on the capital. This explanation shall be done in written format.

4.  When providing advice the PEPP provider or PEPP distributor referred to in point (c) of Article 23(1) of this Regulation shall ask the prospective PEPP saver to provide information regarding that person’s knowledge and experience in the investment field relevant to the PEPP offered or demanded and that person’s financial situation including his or her ability to bear losses, and his or her investment objectives including his or her risk tolerance so as to enable the PEPP provider or PEPP distributor to recommend to the prospective PEPPsaver one or more PEPPs that are suitable for that person and, in particular, are in accordance with his or her risk tolerance and ability to bear losses.

5.  The responsibilities of the PEPP provider or PEPP distributor shall not be reduced due to the fact that advice is provided in whole or in part through an automated or semi-automated system.

6.  Without prejudice to stricter applicable sectorial law, PEPP providers and PEPP distributors ▌ shall ensure and demonstrate to competent authorities on request that natural persons giving advice on PEPPs possess the necessary knowledge and competence to fulfil their obligations under this Regulation. Member States shall publish the criteria to be used for assessing such knowledge and competence.

SECTION IV

INFORMATION DURING THE TERM OF THE CONTRACT

Article 35

General provisions

1.  PEPP providers shall draw up a concise personalised document to be provided during the accumulation phase containing key information for each PEPP saver taking into consideration the specific nature of national pension systems and of any relevant law, including national social, labour and tax law (PEPP Benefit Statement). The title of the document shall contain the words “PEPP Benefit Statement”.

2.  The exact date to which the information in the PEPP Benefit Statement refers shall be stated prominently.

3.  The information contained in the PEPP Benefit Statement, shall be accurate and up-to-date.

4.  The PEPP provider shall make the PEPP Benefit Statement available to each PEPP saver annually.

5.  Any material change to the information contained in the PEPP Benefit Statement compared to the previous statement shall be clearly indicated.

6.  In addition to the PEPP Benefit Statement, the PEPP saver shall be ▌ informed promptly throughout the term of the contract of any change concerning the following information:

(a)  the contract terms including general and special policy conditions;

(b)  the name of the PEPP provider, its legal form or the address of its head office and, where appropriate, of the branch which concluded the contract;

c)  information on how the investment policy takes into account ESG factors.

Article 36

PEPP Benefit Statement

1.  The PEPP Benefit Statement shall include, at least, the following key information for PEPP savers:

(a)  personal details of the PEPP saver and the earliest date on which the decumulation phase may start for any sub-account;

(b)  the name and contact address of the PEPP provider and an identification of the PEPP contract;

(c)  the Member State in which the PEPP provider is authorised or registered and the names of the competent authorities;

(d)  information on pension benefit projections based on the date referred to in point (a), and a disclaimer that those projections may differ from the final value of the PEPP benefits received. If the pension benefit projections are based on economic scenarios, that information shall also include a best estimate scenario and an unfavourable scenario, taking into consideration the specific nature of the PEPP contract;

(e)  information on the contributions paid by the PEPP saver or any third party into the PEPP account over the previous 12 months;

(f)   a breakdown of all costs incurred, directly and indirectly, by the PEPP saver over the previous 12 months, indicating the costs of administration, the costs of safekeeping of assets, the costs related to portfolio transactions and other costs, as well as an estimation of the impact of the costs on the final PEPP benefits; such costs should be expressed both in monetary terms and as a percentage of contributions over the previous 12 months;

(g)  where applicable, the nature and the mechanism of the guarantee or risk mitigation techniques referred to in Article 46;

(h)  where applicable, the number and value of units corresponding to the PEPP saver’s contributions over the previous 12 months;

(i)  the total amount in the PEPP account of the PEPP saver on the date of the statement referred to in Article 35;

(j)  information on the past performance of the PEPP saver's investment option covering performance of a minimum of ten years or, in cases where the PEPP has been provided for less than ten years, covering all the years for which the PEPP has been provided. Information on past performance shall be accompanied by the statement "past performance is not indicative of future performance";

(k)  for PEPP accounts with more than one sub-account, information in the PEPP Benefit Statement shall be broken down for all existing sub-accounts;

(l)  summary information on the investment policy relating to ESG factors.

2.  EIOPA shall, in consultation with the European Central Bank and competent authorities, develop draft regulatory technical standards specifying the rules to determine the assumptions on pension benefit projections referred to in point (d) of paragraph 1 of this Article and in Article 34(2). Those rules shall be applied by PEPP providers to determine, where relevant, the annual rate of nominal investment returns, the annual rate of inflation and the trend of future wages.

EIOPA shall submit those draft regulatory technical standards to the Commission by … [12 months after the date of entry into force of this Regulation]. Power is delegated to the Commission to supplement this Regulation by adopting the regulatory technical standards referred to in the first subparagraph in accordance with Article 10 to 14 of Regulation (EU) No 1094/2010.

Article 37

Supplementary information

1.  The PEPP Benefit Statement shall specify where and how to obtain supplementary information including:

(a)  further practical information about the PEPP saver's rights and options, including with regard to investments, the decumulation phase, the switching service and the portability service;

(b)  ▌the annual accounts and annual reports of the PEPP provider that are publicly available;

(c)  a written statement of the PEPP provider’s investment-policy principles, containing at least information on the investment risk measurement methods, the risk-management processes implemented and the strategic asset allocation with respect to the nature and duration of PEPP liabilities, as well as how the investment policy takes ESG factors into account;

(d)  where applicable, information about the assumptions used for amounts expressed in annuities, in particular with respect to the annuity rate, the type of PEPP provider and the duration of the annuity;

(e)  the level of PEPP benefits, in the case of ▌ redemption before the date referred to in point (a) of Article 36(1).

2.  In order to ensure consistent application of Article 36 and of this Article, EIOPA shall, after consulting the other ESAs and after conducting consumer testing and industry testing, develop draft regulatory technical standards specifying the details of the presentation of the information referred to in Article 36 and in this Article. In relation to the presentation of the information on past performance as referred to in point (j) of Article 36(1) the differences between the investment options shall be taken into account, in particular if the PEPP saver bears investment risk, if the investment option is age-dependent or includes duration matching.

EIOPA shall submit those draft regulatory technical standards to the Commission by … [12 months after the date of entry into force of this Regulation].

Power is conferred on the Commission to supplement this Regulation by adopting the regulatory technical standards referred to in the first subparagraph in accordance with Articles 10 to 14 of Regulation (EU) No 1094/2010.

3.  Without prejudice to Article 34(2) and point (d) of Article 36(1), in order to allow for comparison with national products, Member States may require PEPP providers to provide PEPP savers with additional pension benefit projections where the rules to determine the assumptions are set by the respective Member States.

Article 38

Information to be given to PEPP savers during the pre-retirement phase and to PEPP beneficiaries during the decumulation phase

1.  In addition to the PEPP Benefit Statement, PEPP providers shall provide each PEPP saver two months before the dates referred to in points (a) and (b) of Article 59(1) or at the request of the PEPP saver, with information about the upcoming start of the decumulation phase, the possible forms of out-payments and the possibility for the PEPP saver to modify the form of out-payments in accordance with Article 59(1).

2.   During the decumulation phase, PEPP providers shall ▌provide annually PEPP beneficiaries with information about the PEPP benefits due and the corresponding form of out-payments.

Where the PEPP saver continues to make contributions or to bear investment risk during the decumulation phase, the PEPP provider shall continue providing the PEPP Benefit Statement containing the relevant information.

Article 39

▌ Information to be given on request to PEPP savers and PEPP beneficiaries

At the request of a PEPP saver or of a PEPP beneficiary or of their representatives, the PEPP provider shall provide the supplementary information referred to in Article 37(1) and supplementary information about the assumptions used to generate the projections referred to in point (d) of Article 36(1).

SECTION V

REPORTING TO NATIONAL AUTHORITIES

Article 40

General provisions

1.  PEPP providers shall submit to their competent authorities the information which is necessary for the purposes of supervision in addition to the information provided under the relevant sectorial law. That additional information shall include, where applicable, the information necessary to carry out the following activities when performing a supervisory review process:

(a)  to assess the system of governance applied by the PEPP providers, the business they are pursuing, the valuation principles applied for solvency purposes, the risks faced and the risk-management systems, and their capital structure, needs and management;

(b)  to make any appropriate decisions resulting from the exercise of their supervisory rights and duties.

2.  The competent authorities, in addition to the powers conferred to them according to national law, shall have the following powers:

(a)  to determine the nature, the scope and the format of the information referred to in paragraph 1 which they require PEPP providers to submit at predefined intervals, upon occurrence of predefined events or during enquiries regarding the situation of a PEPP provider;

(b)  to obtain from the PEPP providers any information regarding contracts which are held by PEPP providers or regarding contracts which are entered into with third parties; and

(c)  to require information from external experts, such as auditors and actuaries.

3.  The information referred to in paragraphs 1 and 2 shall comprise the following:

(a)  qualitative or quantitative elements, or any appropriate combination thereof;

(b)  historic, current or prospective elements, or any appropriate combination thereof;

(c)  data from internal or external sources, or any appropriate combination thereof.

4.  The information referred to in paragraphs 1 and 2 shall:

(a)  reflect the nature, scale and complexity of the business of the PEPP provider concerned, and in particular the risks inherent in that business;

(b)  be accessible, complete in all material respects, comparable and consistent over time;

(c)  be relevant, reliable and comprehensible.

5.  PEPP providers shall submit to the competent authorities annually the following information:

(a)  for which Member States the PEPP provider offers sub-accounts;

(b)  number of notifications in accordance with Article 20(1) received from PEPP savers that have changed their residence to another Member State;

(c)  number of requests for opening a sub-account and number of sub-accounts opened in accordance with Article 20(2);

(d)  number of requests from PEPP savers for switching and actual transfers made in accordance with point (a) of Article 20(5);

(e)  number of requests from PEPP savers for switching and actual transfers made in accordance with Article 52(3).

The competent authorities shall forward the information to EIOPA.

6.  PEPP providers shall have appropriate systems and structures in place to fulfil the requirements laid down in paragraphs 1 to 5 as well as a written policy, approved by the management, supervisory or administrative body of the PEPP provider, ensuring the ongoing appropriateness of the information submitted.

7.  Upon request to the competent authorities and in order to carry out the duties assigned to it by this Regulation, EIOPA shall have access to the information submitted by PEPP providers.

8.  Where PEPP contributions and PEPP benefits are eligible for advantages or incentives, the PEPP provider shall in accordance with the relevant national law submit to the relevant national authority all information necessary for the provision or reclaiming of such advantages and incentives received in relation to such contributions and benefits , where applicable.

9.  The Commission shall adopt delegated acts in accordance with Article 72 to supplement this Regulation by specifying the additional information referred to in paragraphs 1 to 5 of this Article, with a view to ensuring to the appropriate extent convergence of supervisory reporting.

EIOPA, after consulting the other ESAs and the competent authorities and after industry testing, shall develop draft implementing technical standards regarding the format of supervisory reporting.

EIOPA shall submit those draft implementing technical standards to the Commission by … [12 months after the date of entry into force of this Regulation].

Power is conferred on the Commission to adopt the implementing technical standards referred to in the second subparagraph in accordance with Article 15 of Regulation (EU) No 1094/2010.

CHAPTER V

ACCUMULATION PHASE

SECTION I

INVESTMENT RULES FOR PEPP PROVIDERS

Article 41

Investment rules

1.  PEPP providers shall invest the assets corresponding to the PEPP in accordance with the "prudent person" rule and in particular in accordance with the following rules:

(a)  the assets shall be invested in the best long-term interests of PEPP savers as a whole. In the case of a potential conflict of interest, a PEPP provider, or the entity which manages its portfolio, shall ensure that the investment is made in the sole interest of PEPP savers;

(b)  within the prudent person rule, PEPP providers shall take into account risks related to and the potential long-term impact of investment decisions on ESG factors;

(c)  the assets shall be invested in such a manner as to ensure the security, quality, liquidity and profitability of the portfolio as a whole;

(d)  the assets shall be predominantly invested on regulated markets. Investment in assets which are not admitted to trading on a regulated financial market shall be kept to prudent levels;

(e)  investment in derivative instruments shall be possible insofar as such instruments contribute to a reduction in investment risks or facilitate efficient portfolio management. Those instruments shall be valued on a prudent basis, taking into account the underlying asset, and included in the valuation of a PEPP provider's assets. PEPP providers shall also avoid excessive risk exposure to a single counterparty and to other derivative operations;

(f)  the assets shall be properly diversified in such a way as to avoid excessive reliance on any particular asset, issuer or group of undertakings and accumulations of risk in the portfolio as a whole. Investments in assets issued by the same issuer or by issuers belonging to the same group shall not expose a PEPP provider to excessive risk concentration;

(g)  the assets shall not be invested in a non-cooperative jurisdiction for tax purposes identified in the applicable Council's conclusions on the list of non-cooperative jurisdictions for tax purposes, nor in a high-risk third country with strategic deficiencies identified by the applicable Commission Delegated Regulation adopted on the basis of Article 9 of Directive (EU) 2015/849

(h)  the PEPP provider shall not expose itself and the assets corresponding to the PEPP to risks stemming from excessive leverage and excessive maturity transformation.

2.  The rules set out in points (a) to (h) of paragraph 1 apply only to the extent that there is no more stringent provision in the relevant sectorial law applicable to the PEPP provider.

SECTION II

INVESTMENT OPTIONS FOR PEPP SAVERS

Article 42

General provisions

1.  PEPP providers may offer up to six investment options to PEPP savers.

2.  The investment options shall include the Basic PEPP and may include alternative investment options.

3.  All investment options shall be designed by PEPP providers on the basis of a guarantee or risk-mitigation technique which shall ensure sufficient protection for PEPP savers.

4.  Provision of guarantees shall be subject to the relevant sectorial law applicable to the PEPP provider.

5.  PEPP providers referred to in points (c), (d), (e) and (f) of Article 6(1) may offer PEPP with a guarantee only by cooperating with credit institutions or insurance undertakings that can provide such guarantees according to the sectorial law applicable to them. Those institutions or undertakings shall be solely liable for the guarantee.

Article 43

Choice of investment option by the PEPP saver

Having received the relevant information and advice, the PEPP saver shall choose an investment option when concluding the PEPP contract.

Article 44

Conditions for modification of the chosen investment option

1.  If the PEPP provider provides alternative investment options, the PEPP saver, while accumulating in the PEPP, shall be able to choose a different investment option after a minimum of five years from the conclusion of the PEPP contract and, in the case of subsequent changes, after five years from the most recent change of investment option. The PEPP provider may allow the PEPP saver to modify the chosen investment option more frequently.

2.  The modification of the investment option shall be free of charge for the PEPP saver.

Article 45

The Basic PEPP

1.  The Basic PEPP shall be a safe product representing the default investment option. It shall be designed by PEPP providers on the basis of a guarantee on the capital which shall be due at the start of the decumulation phase and during the decumulation phase, where applicable, or a risk-mitigation technique consistent with the objective to allow the PEPP saver to recoup the capital.

2.  The costs and fees for the Basic PEPP shall not exceed 1 % of the accumulated capital per year.

3.  In order to ensure a level playing field between different PEPP providers and different types of PEPPs, EIOPA shall develop draft regulatory technical standards specifying the types of costs and fees referred to in paragraph 2, having consulted the other ESAs where applicable.

When developing the draft regulatory technical standards, EIOPA shall take into account the various possible types of PEPPs, the long-term retirement nature of the PEPP and the various possible features of the PEPPs, in particular out-payments in the form of long-term annuities or annual drawdowns until at least the age corresponding with the average life expectancy of the PEPP saver. EIOPA shall also assess the peculiar nature of the capital protection with specific regard to the capital guarantee. EIOPA shall submit those draft regulatory technical standards to the Commission by... [12 months after the date of entry into force of this Regulation].

Power is delegated to the Commission to supplement this Regulation by adopting the regulatory technical standards referred to in the first subparagraph in accordance with Articles 10 to 14 of Regulation (EU) No 1094/2010.

4.  Every two years from the date of application of this Regulation, the Commission shall, after having consulted EIOPA and, where applicable, the other ESAs, review the adequacy of the percentage value referred to in paragraph 2. The Commission shall, in particular take into account the actual level and changes in the actual level of costs and fees and the impact on the availability of PEPPs.

The Commission is empowered to adopt delegated acts in accordance with Article 72 to amend the percentage value referred to in paragraph 2 of this Article in the light of its reviews with a view to allowing appropriate market access for PEPP providers.

Article 46

Risk-mitigation techniques

1.  The use of risk-mitigation techniques shall ensure that the investment strategy for the PEPP is designed in order to build up a stable and adequate individual future retirement income from the PEPP and to ensure a fair treatment of all generations of PEPP savers.

All risk-mitigation techniques, whether applied under the Basic PEPP or for the alternative investment options, shall be sound, robust and consistent with the risk profile of the corresponding investment option.

2.  The applicable risk-mitigation techniques may include, inter alia, provisions:

(a)  for gradually adapting the investment allocation to mitigate the financial risks of investments for cohorts corresponding to the remaining duration (life-cycling);

(b)  establishing reserves from contributions or investment returns, which shall be allocated to PEPP savers in a fair and transparent manner, to mitigate investment losses; or

(c)  for using appropriate guarantees to protect against investment losses.

3.  In order to ensure the consistent application of this Article, EIOPA shall, after consulting the other ESAs, and after conducting industry testing, develop draft regulatory technical standards specifying the minimum criteria that the risk-mitigation techniques have to satisfy, taking into account the various types of PEPPs and their specific features, as well as the various types of PEPP providers and the differences between their prudential regime.

EIOPA shall submit those draft regulatory technical standards to the Commission by ... [12 months after the date of entry into force of this Regulation].

Power is delegated to the Commission to supplement this Regulation by adopting the regulatory technical standards referred to in the first subparagraph in accordance with Articles 10 to 14 of Regulation (EU) No 1094/2010.

SECTION III

OTHER ASPECTS OF THE ACCUMULATION PHASE

Article 47

Conditions related to the accumulation phase

1.  The conditions related to the accumulation phase of the national sub-accounts shall be determined by Member States unless they are specified in this Regulation.

2.  Such conditions may include in particular age limits for starting the accumulation phase, minimum duration of the accumulation phase, maximum and minimum amount of contributions and their continuity .

CHAPTER VI

INVESTOR PROTECTION

Article 48

Depositary

1.  The PEPP providers referred to in points (c), (e) and (f) of Article 6(1) ▌shall appoint one or more depositaries for the safekeeping of assets in relation to the PEPP provision business and oversight duties.

2.  For the appointment of the depositary, the execution of its tasks in relation to the safekeeping of assets and the liability of the depositary and for the oversight duties of the depositary, Chapter IV of Directive 2009/65/EC shall be applied accordingly.

Article 49

Coverage of biometric risks

1.  PEPP providers may offer PEPPs with an option ensuring the coverage of biometric risks ▌.

2.  Coverage of biometric risks shall be subject to the relevant sectorial law applicable to the PEPP provider. The coverage of biometric risks may vary from sub-account to sub-account.

3.  PEPP providers referred to in points (a), (c), (d), (e) and (f) of Article 6(1) may offer PEPPs with an option ensuring the coverage of biometric risks. In that case, the coverage shall be granted only by cooperating with insurance undertakings that can cover those risks according to the sectorial law applicable to them. The insurance undertaking shall be fully liable for the coverage of biometric risks.

Article 50

Complaints

1.  PEPP providers and PEPP distributors shall put in place and apply adequate and effective ▌ procedures for the settlement of complaints lodged by PEPP customers concerning their rights and obligations under this Regulation.

2.  Those procedures shall be applied in every Member State where the PEPP provider or PEPP distributor offers its services and shall be available in an official language of the relevant Member State as chosen by the PEPP customer, or in another language if agreed between the PEPP provider or PEPP distributor and the PEPP customer.

3.  PEPP providers and PEPP distributors shall make every possible effort to reply, either electronically or in another durable medium in accordance with Article 24, to the PEPP customers’ complaints. The reply shall address all points raised, within an adequate timeframe and at the latest within 15 working days of receipt of the complaint. In exceptional situations, if the answer cannot be given within 15 working days for reasons beyond the control of the PEPP provider or PEPP distributor, it shall be required to send a holding reply, clearly indicating the reasons for a delay in answering to the complaint and specifying the deadline by which the PEPP customer will receive the final reply. In any event, the deadline for receiving the final reply shall not exceed 35 working days.

4.  PEPP providers and PEPP distributors shall inform the PEPP customer about at least one alternative dispute resolution (ADR) body which is competent to deal with disputes concerning PEPP customers' rights and obligations under this Regulation.

5.  The information on the procedures referred to in paragraph 1 shall be mentioned in a clear, comprehensive and easily accessible way on the website of the PEPP provider or PEPP distributor, at the branch, and in the general terms and conditions of the contract between the PEPP provider or PEPP distributor and the PEPP customer. It shall specify how further information on the ADR body concerned and on the conditions for using it can be accessed.

6.  The competent authorities shall set up procedures which allow PEPP customers and other interested parties, including consumer associations, to submit complaints to the competent authorities with regard to PEPP providers' and PEPP distributors' alleged infringements of this Regulation. In all cases, complainants shall receive replies.

7.  In cases that concern more than one Member State, the complainant may choose to lodge his or her complaint through the competent authorities of his or her Member State of residence, regardless of where the infringement occurred.

Article 51

Out-of-court redress

1.  Adequate, independent, impartial, transparent and effective ADR procedures for the settlement of disputes between PEPP customers and PEPP providers or PEPP distributors concerning the rights and obligations arising under this Regulation shall be established in accordance with Directive 2013/11/EU of the European Parliament and the Council(22), using existing competent bodies where appropriate. Such ADR procedures shall be applicable, and the relevant ADR body’s competence shall effectively extend, to PEPP providers or PEPP distributors against whom the procedures are initiated.

2.  The bodies referred to in paragraph 1 shall cooperate effectively for the resolution of cross-border disputes concerning rights and obligations arising under this Regulation.

CHAPTER VII

SWITCHING OF PEPP PROVIDERS

Article 52

Provision of the switching service

1.  PEPP providers shall provide a switching service transferring, upon a request of the PEPP saver, the corresponding amounts or, where applicable, assets-in-kind in accordance with paragraph 4, from a PEPP account held with the transferring PEPP provider to a new PEPP account with the same sub-accounts opened with the receiving PEPP provider, with closing the former PEPP account.

When using the switching service, the transferring PEPP provider shall transfer all information linked to all sub-accounts of the former PEPP account, including reporting requirements, to the receiving PEPP provider. The receiving PEPP provider shall register that information in the corresponding sub-accounts.

A PEPP saver may request to switch to a PEPP provider established in the same Member State (domestic switching) or in a different Member State (cross-border switching). The PEPP saver may exercise the right to switch providers during the accumulation phase and the decumulation phase of the PEPP.

2.  Notwithstanding paragraph 1, during the decumulation phase, PEPP providers shall not be obliged to provide a switching service for PEPPs, where PEPP savers are receiving out-payments in the form of lifetime annuities.

3.  The PEPP saver may switch PEPP providers after a minimum of five years from the conclusion of the PEPP contract, and, in case of subsequent switching, after five years from the most recent switching, without prejudice to point (a) of Article 20(5). The PEPP provider may allow the PEPP saver to switch PEPP providers more frequently.

4.  Where the switching is between PEPP providers engaged in individual portfolio management for PEPP savers, PEPP savers may choose to transfer assets-in-kind or corresponding amounts. In all other cases, only the transfer of corresponding amounts shall be allowed.

The written consent of the receiving PEPP provider shall be required where the PEPP saver requests a transfer of assets-in-kind.

Article 53

The switching service

1.  At the request of the PEPP saver, after the PEPP saver has made an informed decision based on the information received from the PEPP providers as defined in Article 56, the switching service shall be initiated by the receiving PEPP provider. ▌

2.  ▌ The request from the PEPP saver ▌shall be drawn up in an official language of the Member State where the switching service is being initiated or in any other language agreed between the parties. In the request, the PEPP saver shall:

(a)  give his or her specific consent to the performance by the transferring PEPP provider of each of the tasks referred to in paragraph 4 and shall give his or her specific consent to the performance by the receiving PEPP provider of each of the tasks referred to in paragraph 5;

(b)   in agreement with the receiving PEPP provider, specify the date from which payments are to be executed to the PEPP account opened with the receiving PEPP provider.

That date shall be at least two weeks after the date on which the receiving PEPP provider receives the documents transferred from the transferring PEPP provider pursuant to paragraph 4.

Member States may require the request from the PEPP saver to be in writing and that a copy of the accepted request is provided to the PEPP saver.

3.  Within five working days from receipt of the request referred to in paragraph 2, the receiving PEPP provider shall request the transferring PEPP provider to carry out the tasks as referred to in paragraph 4.

4.  Upon receipt of a request from the receiving PEPP provider, the transferring PEPP provider shall ▌:

(a)  within five working days, send the PEPP Benefit Statement for the period from the date of the last drawn up PEPP Benefit Statement to the date of the request to the PEPP saver and to the receiving PEPP provider;

(b)  within five working days, send a list of the existing assets that are being transferred in the case of transfer of assets-in-kind as referred to in Article 52(4) to the receiving PEPP provider;

(c)  stop accepting incoming payments on the PEPP account with effect from the date specified by the PEPP saver in the request referred to in point (b) of paragraph 2;

(d)  transfer the corresponding amounts, or where applicable, assets-in-kind in accordance with Article 52(4), from the PEPP account to the new PEPP account opened with the receiving PEPP provider on the date specified by the PEPP saver in the request;

(e)  close the PEPP account on the date specified by the PEPP saver if the PEPP saver has no outstanding obligations ▌. The transferring PEPP provider shall immediately inform the PEPP saver where such outstanding obligations prevent the PEPP saver’s account from being closed.

5.  The receiving PEPP provider shall, as ▌provided for in the request and to the extent that the information provided by the transferring PEPP provider or the PEPP saver enables the receiving PEPP provider to ▌do so, make any necessary preparations to accept incoming payments and accept them with effect from the date specified by the PEPP saver in the request.

Article 54

Fees and charges connected with the switching service

1.  PEPP savers shall be able to access free of charge their personal information held either by the transferring or by the receiving PEPP provider.

2.  The transferring PEPP provider shall provide the information requested by the receiving PEPP provider pursuant to point (a) of Article 53(4) without charging the PEPP saver or the receiving PEPP provider.

3.  The total fees and charges applied by the transferring PEPP provider to the PEPP saver for the closure of the PEPP account held with it shall be limited to the actual administrative costs incurred by the PEPP provider and shall not exceed 0,5 % of the corresponding amounts or monetary value of the assets-in-kind to be transferred to the receiving PEPP provider.

Member States may set a lower percentage of the fees and charges as referred to in the first subparagraph and a different percentage when the PEPP provider allows PEPP savers to switch PEPP provider more frequently as referred to in Article 52(3).

The transferring PEPP provider shall not charge any additional fees or charges to the receiving PEPP provider.

4.  ▌ The receiving PEPP provider may only charge the actual administrative and transaction costs of the switching service.

Article 55

Protection of PEPP savers against financial loss

1.  Any financial loss, including fees, charges and interest, incurred by the PEPP saver and resulting directly from the non-compliance of a PEPP provider involved in the switching process with its obligations under Article 53 shall be refunded by that PEPP provider without delay.

2.  Liability under paragraph 1 shall not apply in cases of abnormal and unforeseeable circumstances beyond the control of the PEPP provider pleading for the application of those circumstances, the consequences of which would have been unavoidable despite all efforts to the contrary, or where a PEPP provider is bound by other legal obligations covered by Union or national law.

3.  Liability under paragraph 1 shall be established in accordance with the legal requirements applicable at national level.

4.  The PEPP saver shall bear ▌any risk of financial loss connected with the redemption in kind of the assets held in the PEPP account for the sake of their transfer from the transferring PEPP provider to the receiving PEPP provider as referred to in Article 52(4).

5.  The transferring PEPP provider shall not be obliged to ensure capital protection or provide a guarantee at the moment of switching.

Article 56

Information about the switching service

1.  PEPP providers shall give to PEPP savers the following information about the switching service in order to enable the PEPP saver to make an informed decision:

(a)  the roles of the transferring and receiving PEPP provider for each step of the switching process, as set out n Article 53;

(b)  the time-frame for completion of the respective steps;

(c)  the fees and charges charged for the switching process;

(d)   the possible implications of the switching, in particular on the capital protection or guarantee, and other information related to the switching service;

(e)  information about the possibility for a transfer of assets-in-kind, if applicable.

The receiving PEPP provider shall comply with the requirements of Chapter IV.

The receiving PEPP provider shall, where applicable, inform the PEPP saver of the existence of any guarantee scheme, including a deposit guarantee scheme, investor-compensation scheme or insurance guarantee scheme, which covers that PEPP saver ▌.

2.  The information referred to in paragraph 1 of this Article shall be available on the PEPP provider's website. It shall also be provided to PEPP savers on request in accordance with the requirements of Article 24.

CHAPTER VIII

DECUMULATION PHASE

Article 57

Conditions related to the decumulation phase

1.   The conditions related to the decumulation phase and the out-payments of the national sub-accounts shall be determined by Member States unless they are specified in this Regulation.

2.  Such conditions may include in particular the setting of the minimum age for the start of the decumulation phase ▌, of a maximum period before reaching the retirement age for joining a PEPP ▌, as well as conditions for redemption before the minimum age for the start of the decumulation phase, notably in case of particular hardship.

Article 58

Forms of out-payments

1.  PEPP providers shall make available to PEPP savers one or more of the following forms of out-payments:

(a)  annuities;

(b)  lump sum;

(c)  drawdown payments;

(d)  combinations of the above forms.

2.  PEPP savers shall choose the form of out-payments for the decumulation phase when they conclude a PEPP contract and when they request an opening of a new sub-account. The form of out-payments may differ from sub-account to sub-account.

3.  Without prejudice to paragraph 1 of this Article or to Article 57 or59, Member States may adopt measures to privilege particular forms of out-payments. Such measures may include quantitative limits on lump sum payments to further encourage the other forms of out-payments referred to in paragraph 1 of this Article. Such quantitative limits shall only apply to out-payments corresponding to the capital accumulated in PEPP sub-accounts linked to Member States whose national law provides for quantitative limits on lump sum payments.

4.  Member States may specify conditions under which advantages and incentives granted shall be repaid to them.

Article 59

Modifications of the forms of out-payments

1.  If the PEPP provider provides different forms of out-payments, the PEPP saver shall be allowed to modify the form of out-payments of each opened sub-account:

(a)  one year before the start of the decumulation phase;

(b)  at the start of the decumulation phase;

(c)  at the moment of switching.

The modification of the form of out-payment shall be free of charge for the PEPP saver.

2.  Upon receipt of a PEPP saver's request to modify his or her form of out-payments, the PEPP provider shall provide the PEPP saver with information in a clear and understandable format about the financial implications of such change on the PEPP saver or PEPP beneficiary, in particular as regards any impact on the national incentives that might apply to the existing sub-accounts of the PEPP saver's PEPP.

Article 60

Retirement planning and advice on out-payments

1.  For the Basic PEPP, at the start of the decumulation phase, the PEPP provider shall offer the PEPP saver personal retirement planning on the sustainable use of the capital accumulated in the PEPP sub-accounts, taking into account at least:

(a)  the value of the capital accumulated in the PEPP sub-accounts;

(b)  the total amount of other accrued retirement entitlements; and

(c)  the long-term retirement-related demands and needs of the PEPP saver.

2.  The retirement planning referred to in paragraph 1 shall include a personal recommendation to the PEPP saver on his or her optimal form of out-payments unless only one form of out-payments is provided. If a lump-sum payment is not in line with the retirement-related needs of the PEPP saver, the advice shall be accompanied by a warning to that end.

CHAPTER IX

SUPERVISION

Article 61

Supervision by the competent authorities and monitoring by EIOPA

1.  The competent authorities of the PEPP provider shall supervise compliance with this Regulation on an ongoing basis and in accordance with the relevant sectorial supervisory regime and standards. They shall also be responsible for supervising compliance with the obligations set out in the rules or instruments of incorporation of the PEPP provider, and the adequacy of its arrangements and organisation with regard to the tasks to be fulfilled when providing a PEPP.

2.  EIOPA and competent authorities shall monitor personal pension products provided or distributed in order to verify that such products are designated "PEPP" or it is suggested that such products are PEPPs only when they are registered under this Regulation.

Article 62

Powers of competent authorities

Each Member State shall ensure that the competent authorities have all supervisory and investigatory powers that are necessary for the exercise of their functions pursuant to this Regulation.

Article 63

Product intervention powers of competent authorities

1.  Competent authorities may prohibit or restrict in or from its Member State the marketing or distribution of a PEPP under the following conditions:

(a)  the competent authorities are satisfied that there are reasonable grounds to believe that the PEPP gives rise to significant or reiterated saver’s protection concerns or poses a risk to the orderly functioning and integrity of financial markets or the stability of whole or part of the financial system within at least one Member State;

(b)  the action is proportionate taking into account the nature of the risks identified, the level of sophistication of PEPP savers concerned and the likely effect of the action on PEPP savers who have concluded a PEPP contract;

(c)  the competent authorities have properly consulted competent authorities in other Member States that may be significantly affected by the action; and

(d)  the action does not have a discriminatory effect on services or activities provided from another Member State.

Where the conditions set out in the first subparagraph are fulfilled, competent authorities may impose the prohibition or restriction on a precautionary basis before a PEPP has been marketed or distributed to PEPP savers. A prohibition or restriction may apply in circumstances, or be subject to exceptions, specified by the competent authorities.

2.  The competent authorities shall not impose a prohibition or restriction under this Article unless, not less than one month before the measure is intended to take effect, they have notified all other competent authorities involved and EIOPA in writing or through another medium agreed between the authorities of the details of:

(a)  the PEPP to which the proposed action relates;

(b)  the precise nature of the proposed prohibition or restriction and when it is intended to take effect; and

(c)  the evidence upon which they have based their decision and upon which they have reasonable grounds to believe that each of the conditions in paragraph 1 are met.

3.  In exceptional cases where the competent authorities deem it necessary to take urgent action under this Article in order to prevent detriment arising from the PEPP, the competent authorities may take action on a provisional basis with no less than 24 hours' written notice before the measure is intended to take effect to all other competent authorities and EIOPA, provided that all the conditions set out in this Article are met and that, in addition, it is clearly established that a one-month notification period would not adequately address the specific concern or threat. The competent authorities shall not take action on a provisional basis for a period exceeding three months.

4.  The competent authorities shall publish on their websites notice of any decision to impose any prohibition or restriction referred to in paragraph 1. That notice shall specify details of the prohibition or restriction, a time after the publication of the notice from which the measures will take effect and the evidence upon which it is satisfied each of the conditions in paragraph 1 are met. The prohibition or restriction shall only apply in relation to action taken after the publication of the notice.

5.  The competent authorities shall revoke a prohibition or restriction if the conditions in paragraph 1 no longer apply.

Article 64

Facilitation and coordination

1.  EIOPA shall perform a facilitation and coordination role in relation to action taken by competent authorities under Article 63. In particular, EIOPA shall ensure that action taken by a competent authority is justified and proportionate and that, where appropriate, a consistent approach is taken by competent authorities.

2.  After receiving notification under Article 63 of any prohibition or restriction that is to be imposed under that Article, EIOPA shall issue an opinion on whether the prohibition or restriction is justified and proportionate. If EIOPA considers that the taking of a measure by other competent authorities is necessary to address the risk, it shall state this in its opinion. The opinion shall be published on EIOPA's website.

3.  Where a competent authority proposes to take, or takes, action contrary to an opinion issued by EIOPA under paragraph 2 or declines to take action contrary to such an opinion, it shall immediately publish on its website a notice fully explaining its reasons for so doing.

Article 65

Product intervention powers of EIOPA

1.  In accordance with Article 9(2) of Regulation (EU) No 1094/2010, EIOPA shall monitor the market for PEPPs which are marketed, distributed or sold in the Union.

2.  In accordance with Article 9(5) of Regulation (EU) No 1094/2010, EIOPA may, where the conditions in paragraphs 3 and 4 of this Article are fulfilled, temporarily prohibit or restrict in the Union the marketing, distribution or sale of certain PEPPs or PEPPs with certain specified features.

A prohibition or restriction may apply in circumstances, or be subject to exceptions, to be specified by EIOPA.

3.  EIOPA shall take a decision under paragraph 2 of this Article after consulting the other ESAs, where appropriate, and only if all of the following conditions are fulfilled:

(a)  the proposed action addresses a significant PEPP saver protection concern, including with respect to the long-term retirement nature of the product, or a threat to the orderly functioning and integrity of financial markets or to the stability of the whole or part of the financial system in the Union;

(b)  regulatory requirements under Union law that are applicable to PEPPs do not address the threat;

(c)  a competent authority or competent authorities have not taken action to address the threat or the actions that have been taken do not adequately address the threat.

Where the conditions set out in the first subparagraph are fulfilled, EIOPA may impose the prohibition or restriction referred to in paragraph 2 on a precautionary basis before a PEPP has been marketed, distributed or sold to PEPP customers.

4.  When taking action under this Article, EIOPA shall ensure that the action does not:

(a)  have a detrimental effect on the efficiency of financial markets or on PEPP savers that is disproportionate to the benefits of the action; or

(b)  create a risk of regulatory arbitrage.

Where a competent authority or competent authorities have taken a measure under Article 63, EIOPA may take any of the measures referred to in paragraph 2 of this Article without issuing the opinion provided for in Article 64.

5.  Before deciding to take any action under this Article, EIOPA shall notify competent authorities of the action it proposes.

6.  EIOPA shall publish on its website notice of any decision to take any action under this Article. That notice shall specify details of the prohibition or restriction and specify a time after the publication of the notice from which the measures will take effect. A prohibition or restriction shall only apply to action taken after the measures take effect.

7.  EIOPA shall review a prohibition or restriction imposed under paragraph 2 at appropriate intervals and at least every three months. If the prohibition or restriction is not renewed after that three-month period, it shall expire.

8.  Any action taken by EIOPA in accordance with this Article shall take precedence over any previous action taken by a competent authority.

9.  The Commission shall adopt delegated acts in accordance with Article 72 to supplement this Regulation with criteria and factors to be applied by EIOPA in determining when there is a significant PEPP saver protection concern, including with respect to the long-term retirement nature of the product, or a threat to the orderly functioning and integrity of financial markets or to the stability of the whole or part of the financial system of the Union referred to in point (a) of paragraph 3.

Those criteria and factors shall include:

(a)  the degree of complexity of the PEPP and the relation to the type of PEPP saver to whom it is marketed and sold;

(b)  the degree of innovation of a PEPP, an activity or a practice;

(c)  the leverage a PEPP or practice provides;

(d)  in relation to the orderly functioning and integrity of financial markets, the size or the total amount of accumulated capital of the PEPP.

Article 66

Cooperation and consistency

1.  Each competent authority shall contribute to the consistent application of this Regulation throughout the Union.

2.  The competent authorities shall cooperate with each other in accordance with Regulation (EU) No 575/2013/EU of the European Parliament and of the Council(23), Directives 2009/65/EC, 2009/138/EC, 2011/61/EU and 2014/65/EU , and Directives (EU) 2016/97 and (EU) 2016/2341.

3.  The competent authorities and EIOPA shall cooperate with each other for the purpose of carrying out their respective duties under this Regulation in accordance with Regulation (EU) No 1094/2010.

4.  The competent authorities and EIOPA shall exchange all information and documentation necessary to carry out their respective duties under this Regulation in accordance with Regulation (EU) No 1094/2010, in particular to identify and remedy infringements of this Regulation.

5.  In order to ensure consistent application of this Article, EIOPA shall develop draft implementing technical standards specifying the details of ▌cooperation and exchange of information, together with the requirements needed to present the information above in a standardised format allowing for comparison.

EIOPA shall submit those draft implementing technical standards to the Commission by … [12 months after the date of entry into force of this Regulation].

Power is conferred on the Commission to adopt the implementing technical standards referred to in the first subparagraph in accordance with Article 15 of Regulation (EU) No 1094/2010.

CHAPTER X

PENALTIES

Article 67

Administrative penalties and other measures

1.  Without prejudice to the supervisory powers of competent authorities and to the right for Member States to provide for and impose criminal sanctions, Member States shall lay down the rules on appropriate administrative penalties and other measures applicable to infringements of this Regulation and shall take all measures necessary to ensure that they are implemented. The administrative penalties and other measures provided for shall be effective, proportionate and dissuasive.

Member States may decide not to lay down rules for administrative penalties as referred to in the first subparagraph for infringements which are subject to criminal sanctions under their national law.

By the date of application of this Regulation, Member States shall notify the rules referred to in the first and second subparagraph to the Commission and to EIOPA. They shall notify the Commission and EIOPA without delay of any subsequent amendment thereto.

2.  The administrative penalties and other measures laid down in paragraph 3 of this Article shall apply at least to situations where:

(a)  a financial undertaking as referred to in Article 6(1) has obtained a registration of a PEPP through false or misleading statements or any other irregular means in infringement of Articles 6 and 7;

(b)  a financial undertaking as referred to in Article 6(1) provides, respectively distributes, products bearing the designation "pan-European Personal Pension Product" or "PEPP" without the required registration;

(c)  a PEPP provider has not provided the portability service in infringement of Articles 18 or 19 or the information about that service required under Articles 20 and 21, or has failed to meet the requirements and obligations set out in Chapter IV, Chapter V, Articles 48 and 50 and Chapter VII;

(d)  a depositary has failed to fulfil its oversight duties under Article 48.

3.   Member States shall, in accordance with national law, provide for competent authorities to have the power to impose at least the following administrative penalties and other measures in relation to the situations referred to in paragraph 2 of this Article:

(a)  a public statement, which indicates the identity of the natural or legal person and the nature of the infringement in accordance with Article 69;

(b)  an order requiring the natural or legal person to cease the conduct and to desist from a repetition of that conduct;

(c)  a temporary ban on any member of the financial undertaking's management, supervisory or administrative body or any other natural person, who is held responsible, from exercising management functions in such undertakings;

(d)  in case of a legal person, maximum administrative fines of at least EUR 5 000 000, or in the Member States whose currency is not the euro, the corresponding value in the national currency on ... [date of entry into force of this Regulation];

(e)  in the case of a legal person, the maximum administrative fines referred to in point (d) may be up to 10 % of the total annual turnover according to the latest available accounts approved by the management, supervisory or administrative body; where the legal person is a parent undertaking or a subsidiary of the parent undertaking which has to prepare consolidated financial accounts in accordance with Directive 2013/34/EU of the European Parliament and of the Council(24), the relevant total annual turnover shall be the total annual turnover or the corresponding type of income in accordance with the relevant accounting legislative acts according to the latest available consolidated accounts approved by the management, supervisory or administrative body of the ultimate parent undertaking;

(f)  in the case of a natural person, maximum administrative fines of at least EUR 700 000 or, in the Member States whose currency is not the euro, the corresponding value in the national currency on ... [date of entry into force of this Regulation];

(g)  maximum administrative fines of at least twice the amount of the benefit derived from the infringement where that benefit can be determined, even if that exceeds the maximum amounts in point (d), (e) or (f), respectively.

4.  Any decision imposing administrative penalties or other measures set out in the first subparagraph of paragraph 1 and in paragraph 3 shall be ▌reasoned and subject to the right of appeal before a tribunal.

5.  In the exercise of their powers under the first subparagraph of paragraph 1 and paragraph 3, competent authorities shall cooperate closely to ensure that the administrative penalties and other measures produce the results pursued by this Regulation and coordinate their action in order to avoid possible duplication and overlap when applying administrative penalties and other measures to cross-border cases.

Article 68

Exercise of the power to impose administrative penalties and other measures

1.  Competent authorities shall exercise the powers to impose administrative penalties and other measures referred to in Article 67 in accordance with their national legal frameworks:

(a)  directly;

(b)  in collaboration with other authorities;

(c)  by application to the competent judicial authorities.

2.  Competent authorities, when determining the type and level of an administrative penalty or other measure imposed under Article 67(3), shall take into account all 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, as indicated in particular by the total turnover of the responsible legal person or the annual income and net assets of the responsible natural person;

(d)  the importance of profits gained or losses avoided by the responsible natural or legal person, insofar as they can be determined;

(e)  the losses for third parties caused by the infringement, insofar as they can be determined;

(f)  the level of cooperation of the responsible natural or legal person with the competent authorities, without prejudice to the need to ensure disgorgement of profits gained or losses avoided by that person;

(g)  previous infringements by the responsible natural or legal person.

Article 69

Publication of administrative penalties and other measures

1.  Competent authorities shall publish without undue delay on their official websites any decision imposing an administrative penalty or other measure for infringement of this Regulation after the addressee of the administrative penalty or other measure has been notified of that decision.

2.  The publication referred to in paragraph 1 shall include information on the type and nature of the infringement and the identity of the persons responsible and the administrative penalties or other measures imposed.

3.  Where the publication of the identity, in the case of legal persons, or the identity and personal data, in the case of natural persons, is considered by the competent authorities to be disproportionate following a case-by-case assessment, or where the competent authorities consider that the publication jeopardises the stability of financial markets or an on-going investigation, competent authorities shall either:

(a)  defer the publication of the decision imposing the administrative penalty or other measure until the reasons for non-publication cease to exist; or

(b)  publish the decision imposing the administrative penalty or other measure, omitting for a reasonable period of time the identity and personal data of the addressee, if it is envisaged that within that period the reasons for anonymous publication shall cease to exist and provided that such anonymous publication ensures an effective protection of the personal data concerned; or

(c)  not publish at all the decision to impose the administrative penalty or other measure in the event that the options set out in points (a) and (b) are considered to be insufficient to ensure:

(i)  that the stability of financial markets would not be put in jeopardy;

(ii)  the proportionality of the publication of such decisions with regard to measures which are deemed to be of a minor nature.

4.  In the case of a decision to publish an administrative penalty or other measure on an anonymous basis as referred to in paragraph 3(b), the publication of the relevant data may be postponed. Where a decision imposing an administrative penalty or other measure is subject to an appeal before the relevant judicial authorities, competent authorities shall also without delay add that information to their official website and any subsequent information on the outcome of such appeal. Any judicial decision annulling a decision imposing an administrative penalty or an other measure shall also be published.

5.  Competent authorities shall ensure that any publication referred to in paragraphs 1 to 4 shall remain on their official website for at least five years after its publication. Personal data contained in the publication shall only be kept on the official websites of the competent authorities for the period which is necessary in accordance with the applicable data protection rules.

Article 70

Duty to submit information to EIOPA in relation to administrative penalties and other measures

1.  Competent authorities shall inform EIOPA of all administrative penalties and other measures imposed but not published in accordance with point (c) of Article 69(3) including any appeal in relation thereto and the outcome thereof.

2.  Competent authorities shall provide EIOPA annually with aggregated information regarding all administrative penalties and other measures imposed in accordance with Article 67.

EIOPA shall publish that information in an annual report.

3.  Where Member States have chosen, in accordance with the second subparagraph of Article 67(1), to lay down criminal sanctions for infringements of this Regulation, their competent authorities shall on an annual basis provide EIOPA with anonymised and aggregated data regarding all criminal investigations undertaken and criminal sanctions imposed. EIOPA shall publish anonymised data on criminal sanctions imposed in an annual report.

4.  Where competent authorities have disclosed an administrative penalty, other measure or criminal sanction to the public, they shall at the same time report that penalty, measure or sanction to EIOPA.

CHAPTER XI

FINAL PROVISIONS

Article 71

Processing of personal data

With regard to the processing of personal data within the framework of this Regulation, PEPP providers, PEPP distributors and competent authorities shall carry out their tasks for the purpose of this Regulation in accordance with Regulation (EU) 2016/679 , and Directive 2002/58/EC. With regard to the processing of personal data by EIOPA within the framework of this Regulation, EIOPA shall comply with Regulation (EU) 2018/1725.

Article 72

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 40(9), 45(4) and 65(9) 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 powers referred to in Articles 40(9), 45(4) and 65(9) 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 40(9), 45(4) or 65(9) shall enter into force only if no objection has been expressed either by the European Parliament or the Council within a period of three months of notification of that act to the European Parliament and the Council or if, before the expiry of that period, the European Parliament and the Council have both informed the Commission that they will not object. That period shall be extended by three months at the initiative of the European Parliament or the Council.

Article 73

Evaluation and report

1.  Five years after the date of application of this Regulation, and every five years thereafter, the Commission shall carry out an evaluation of this Regulation, and after consulting EIOPA and the other ESAs where appropriate, present a report on the main findings to the European Parliament and the Council. That report shall be accompanied, where appropriate, by a legislative proposal.

2.  ▌The Report shall cover in particular the following:

(a)  the functioning of the procedure for registration of PEPPs in accordance with Chapter II;

(b)  portability, in particular the sub-accounts available to PEPP savers and the possibility for the saver to continue to contribute to the last opened sub-account in accordance with Article 20(3) and (4);

(c)  development of partnerships;