Index 
Texts adopted
Wednesday, 16 November 2011 - Strasbourg
Mobilisation of the European Globalisation Adjustment Fund: application EGF/2010/019 IE/Construction 41 from Ireland
 Mobilisation of the European Globalisation Adjustment Fund: application EGF/2010/021 IE/Construction 71 from Ireland
 Mobilisation of the European Globalisation Adjustment Fund: application EGF/2010/020 IE/Construction 43 from Ireland
 Mobilisation of the European Globalisation Adjustment Fund: application EGF/2011/001 AT/Niederösterreich-Oberösterreich from Austria
 Mobilisation of the European Globalisation Adjustment Fund: application EGF/2011/004 EL/ALDI Hellas/Greece
 ACP-EU Joint Parliamentary Assembly in 2010
 European Heritage Label ***II
 Single European railway area ***I
 Climate change conference in Durban
 Accountability report on financing for development
 European cinema in the digital era

Mobilisation of the European Globalisation Adjustment Fund: application EGF/2010/019 IE/Construction 41 from Ireland
PDF 211kWORD 41k
Resolution
Annex
European Parliament resolution of 16 November 2011 on the proposal for a decision of the European Parliament and of the Council on mobilisation of the European Globalisation Adjustment Fund, in accordance with point 28 of the Interinstitutional Agreement of 17 May 2006 between the European Parliament, the Council and the Commission on budgetary discipline and sound financial management (application EGF/2010/019 IE/Construction 41 from Ireland) (COM(2011)0617 – C7-0313/2011 – 2011/2252(BUD))
P7_TA(2011)0496A7-0375/2011

The European Parliament,

–  having regard to the Commission proposal to the Parliament and the Council (COM(2011)0617 – C7-0313/2011),

–  having regard to the Interinstitutional Agreement of 17 May 2006 between the European Parliament, the Council and the Commission on budgetary discipline and sound financial management(1) (IIA of 17 May 2006), and in particular point 28 thereof,

–  having regard to Regulation (EC) No 1927/2006 of the European Parliament and of the Council of 20 December 2006 on establishing the European Globalisation Adjustment Fund(2) (EGF Regulation),

–  having regard to the trilogue procedure provided for in point 28 of the IIA of 17 May 2006,

–  having regard to the letter of the Committee on Employment and Social Affairs,

–  having regard to the report of the Committee on Budgets (A7-0375/2011),

A.  whereas the European Union has set up the appropriate legislative and budgetary instruments to provide additional support to workers who are suffering from the consequences of major structural changes in world trade patterns and to assist their reintegration into the labour market,

B.  whereas the scope of the EGF was broadened for applications submitted from 1 May 2009 to include support for workers made redundant as a direct result of the global financial and economic crisis,

C.  whereas the Union's financial assistance to workers made redundant should be dynamic and made available as quickly and efficiently as possible, in accordance with the Joint Declaration of the European Parliament, the Council and the Commission adopted during the conciliation meeting on 17 July 2008, and having due regard for the IIA of 17 May 2006 in respect of the adoption of decisions to mobilise the EGF,

D.  whereas Ireland has requested assistance in respect of a case concerning 4 866 redundancies, of which 3 205 have been targeted for assistance, in 1 482 enterprises operating in NACE Revision 2 Division 41 (‘Construction of buildings’)(3) in the NUTS II regions of Border, Midlands and Western (IE01) and Southern and Eastern (IE02) in Ireland. These two contiguous regions comprise the entire State of Ireland,

E.  whereas the application fulfils the eligibility criteria laid down by the EGF Regulation,

1.  Requests the institutions involved to make the necessary efforts to improve procedural and budgetary arrangements in order to accelerate the mobilisation of the EGF; appreciates in this sense the improved procedure put in place by the Commission, following Parliament's request for accelerating the release of grants, aimed at presenting to the budgetary authority the Commission's assessment on the eligibility of an EGF application together with the proposal to mobilise the EGF; hopes that further improvements in the procedure will be made within the framework of the upcoming review of the EGF and that greater efficiency, transparency and visibility of the EGF will be achieved;

2.  Recalls the institutions' commitment to ensuring a smooth and rapid procedure for the adoption of the decisions on the mobilisation of the EGF, providing one-off, time-limited individual support geared to helping workers who have been made redundant as a result of globalisation and the financial and economic crisis; emphasises the role that the EGF can play in the reintegration of workers made redundant into the labour market, in particular the most vulnerable and least qualified workers;

3.  Stresses that, in accordance with Article 6 of the EGF Regulation, it should be ensured that the EGF supports the reintegration of individual redundant workers into employment; further stresses that the EGF assistance can co-finance only active labour market measures which lead to long-term employment; reiterates that assistance from the EGF must not replace actions which are the responsibility of companies by virtue of national law or collective agreements, nor measures restructuring companies or sectors; deplores the fact that the EGF might provide an incentive for companies to replace their contractual workforce with a more flexible and short-term one;

4.  Notes that the information provided on the coordinated package of personalised services to be funded from the EGF includes information on the compatibility and complementarity with actions funded by the Structural Funds; reiterates its call to the Commission to present a comparative evaluation of those data in its annual reports as well;

5.  Welcomes the fact that following repeated requests from Parliament, for the first time the 2011 budget shows payment appropriations of EUR 47 608 950 on the EGF budget line 04 05 01; recalls that the EGF was created as a separate specific instrument with its own objectives and deadlines and that it therefore deserves a dedicated allocation, superseding transfers from other budget lines, as done in the past, which could be detrimental to the achievement of the various policies objectives; notes that the amount of payment appropriations initially entered on the budget line 04 05 01 will have been fully consumed after adoption by both arms of the budgetary authority of the proposals submitted to date for mobilising the EGF;

6.  Welcomes the reinforcement of the EGF budget line 04 05 01 by EUR 50 000 000 through Amending budget No 3/2011; notes that appropriations from this budget line will be used to cover EUR 6 091 460 of the amount needed for the present application, and as payment appropriations are available in 2011 under the budget line 04 02 01, ‘Completion of the European Social Fund (ESF) – Objective 1 (2000 to 2006)’, an additional amount of EUR 6 598 378 needed for the present application can therefore be made available for transfer;

7.  Approves the decision annexed to this resolution;

8.  Instructs its President to sign the decision with the President of the Council and to arrange for its publication in the Official Journal of the European Union;

9.  Instructs its President to forward this resolution, including its annex, to the Council and the Commission.

ANNEX

DECISION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

on the mobilisation of the European Globalisation Adjustment Fund in accordance with point 28 of the Interinstitutional Agreement of 17 May 2006 between the European Parliament, the Council and the Commission on budgetary discipline and sound financial management (application EGF/2010/019 IE/Construction 41 from Ireland)

(The text of this annex is not reproduced here since it corresponds to the final act, Decision 2011/772/EU.)

(1) OJ C 139, 14.6.2006, p. 1.
(2) OJ L 406, 30.12.2006, p. 1.
(3) Regulation (EC) No 1893/2006 of the European Parliament and of the Council of 20 December 2006 establishing the statistical classification of economic activities NACE Revision 2 and amending Council Regulation (EEC) No 3037/90 as well as certain EC regulations on specific statistical domains (OJ L 393, 30.12.2006, p. 1).


Mobilisation of the European Globalisation Adjustment Fund: application EGF/2010/021 IE/Construction 71 from Ireland
PDF 211kWORD 40k
Resolution
Annex
European Parliament resolution of 16 November 2011 on the proposal for a decision of the European Parliament and of the Council on mobilisation of the European Globalisation Adjustment Fund, in accordance with point 28 of the Interinstitutional Agreement of 17 May 2006 between the European Parliament, the Council and the Commission on budgetary discipline and sound financial management (application EGF/2010/021 IE/Construction 71 from Ireland) (COM(2011)0619 – C7-0315/2011 – 2011/2254(BUD))
P7_TA(2011)0497A7-0377/2011

The European Parliament,

–  having regard to the Commission proposal to Parliament and the Council (COM(2011)0619 – C7-0315/2011),

–  having regard to the Interinstitutional Agreement of 17 May 2006 between the European Parliament, the Council and the Commission on budgetary discipline and sound financial management(1) (IIA of 17 May 2006), and in particular point 28 thereof,

–  having regard to Regulation (EC) No 1927/2006 of the European Parliament and of the Council of 20 December 2006 on establishing the European Globalisation Adjustment Fund(2) (EGF Regulation),

–  having regard to the trilogue procedure provided for in point 28 of the IIA of 17 May 2006,

–  having regard to the letter of the Committee on Employment and Social Affairs,

–  having regard to the report of the Committee on Budgets (A7-0377/2011),

A.  whereas the European Union has set up the appropriate legislative and budgetary instruments to provide additional support to workers who are suffering from the consequences of major structural changes in world trade patterns and to assist their reintegration into the labour market,

B.  whereas the scope of the EGF was broadened for applications submitted from 1 May 2009 to include support for workers made redundant as a direct result of the global financial and economic crisis,

C.  whereas the Union's financial assistance to workers made redundant should be dynamic and made available as quickly and efficiently as possible, in accordance with the Joint Declaration of the European Parliament, the Council and the Commission adopted during the conciliation meeting on 17 July 2008, and having due regard for the IIA of 17 May 2006 in respect of the adoption of decisions to mobilise the EGF,

D.  whereas Ireland has requested assistance in respect of a case concerning 842 redundancies, of which 554 have been targeted for assistance, in 230 enterprises operating in the NACE Revision 2 Division 71 (‘Architectural and engineering activities; technical testing and analysis’)(3) in the NUTS II regions of Border, Midlands and Western (IE01) and Southern and Eastern (IE02) in Ireland. These two contiguous regions comprise the entire State of Ireland,

E.  whereas the application fulfils the eligibility criteria laid down by the EGF Regulation,

1.  Requests the institutions involved to make the necessary efforts to improve procedural and budgetary arrangements in order to accelerate the mobilisation of the EGF; appreciates in this sense the improved procedure put in place by the Commission, following Parliament's request for accelerating the release of grants, aimed at presenting to the budgetary authority the Commission's assessment on the eligibility of an EGF application together with the proposal to mobilise the EGF; hopes that further improvements in the procedure will be made within the framework of the upcoming review of the EGF and that greater efficiency, transparency and visibility of the EGF will be achieved;

2.  Recalls the institutions' commitment to ensuring a smooth and rapid procedure for the adoption of the decisions on the mobilisation of the EGF, providing one-off, time-limited individual support geared to helping workers who have been made redundant as a result of globalisation and the financial and economic crisis; emphasises the role that the EGF can play in the reintegration of workers made redundant into the labour market, in particular the most vulnerable and least qualified workers;

3.  Stresses that, in accordance with Article 6 of the EGF Regulation, it should be ensured that the EGF supports the reintegration of individual redundant workers into employment; further stresses that the EGF assistance can co-finance only active labour market measures which lead to long-term employment; reiterates that assistance from the EGF must not replace actions which are the responsibility of companies by virtue of national law or collective agreements, nor measures restructuring companies or sectors; deplores the fact that the EGF might provide an incentive for companies to replace their contractual workforce with a more flexible and short-term one;

4.  Notes that the information provided on the coordinated package of personalised services to be funded from the EGF includes information on the compatibility and complementarity with actions funded by the Structural Funds; reiterates its call to the Commission to present a comparative evaluation of those data in its annual reports as well;

5.  Welcomes the fact that following repeated requests from Parliament, for the first time the 2011 budget shows payment appropriations of EUR 47 608 950 on the EGF budget line 04 05 01; recalls that the EGF was created as a separate specific instrument with its own objectives and deadlines and that it therefore deserves a dedicated allocation, superseding transfers from other budget lines, as done in the past, which could be detrimental to the achievement of the various policies objectives;

6.  Points out that the amount of payment appropriations initially entered on the budget line 04 05 01 will have been fully consumed with application EGF/2010/019 IE/Construction 41 from Ireland; considers that as payment appropriations are available in 2011 under the budget line 04 02 01 ‘Completion of the European Social Fund (ESF) – Objective 1 (2000 to 2006)’, an amount of EUR 1 387 819 needed for the present application can therefore be made available for transfer;

7.  Approves the decision annexed to this resolution;

8.  Instructs its President to sign the decision with the President of the Council and to arrange for its publication in the Official Journal of the European Union;

9.  Instructs its President to forward this resolution, including its annex, to the Council and the Commission.

ANNEX

DECISION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

on the mobilisation of the European Globalisation Adjustment Fund in accordance with point 28 of the Interinstitutional Agreement of 17 May 2006 between the European Parliament, the Council and the Commission on budgetary discipline and sound financial management (application EGF/2010/021 IE/Construction 71 from Ireland)

(The text of this annex is not reproduced here since it corresponds to the final act, Decision 2011/774/EU.)

(1) OJ C 139, 14.6.2006, p. 1.
(2) OJ L 406, 30.12.2006, p. 1.
(3) Regulation (EC) No 1893/2006 of the European Parliament and of the Council of 20 December 2006 establishing the statistical classification of economic activities NACE Revision 2 and amending Council Regulation (EEC) No 3037/90 as well as certain EC regulations on specific statistical domains (OJ L 393, 30.12.2006, p. 1).


Mobilisation of the European Globalisation Adjustment Fund: application EGF/2010/020 IE/Construction 43 from Ireland
PDF 211kWORD 40k
Resolution
Annex
European Parliament resolution of 16 November 2011 on the proposal for a decision of the European Parliament and of the Council on mobilisation of the European Globalisation Adjustment Fund, in accordance with point 28 of the Interinstitutional Agreement of 17 May 2006 between the European Parliament, the Council and the Commission on budgetary discipline and sound financial management (application EGF/2010/020 IE/Construction 43 from Ireland) (COM(2011)0618 – C7-0314/2011 – 2011/2253(BUD))
P7_TA(2011)0498A7-0376/2011

The European Parliament,

–  having regard to the Commission proposal to Parliament and the Council (COM(2011)0618 – C7-0314/2011),

–  having regard to the Interinstitutional Agreement of 17 May 2006 between the European Parliament, the Council and the Commission on budgetary discipline and sound financial management(1) (IIA of 17 May 2006), and in particular point 28 thereof,

–  having regard to Regulation (EC) No 1927/2006 of the European Parliament and of the Council of 20 December 2006 on establishing the European Globalisation Adjustment Fund(2) (EGF Regulation),

–  having regard to the trilogue procedure provided for in point 28 of the IIA of 17 May 2006,

–  having regard to the letter of the Committee on Employment and Social Affairs,

–  having regard to the report of the Committee on Budgets (A7-0376/2011),

A.  whereas the European Union has set up the appropriate legislative and budgetary instruments to provide additional support to workers who are suffering from the consequences of major structural changes in world trade patterns and to assist their reintegration into the labour market,

B.  whereas the scope of the EGF was broadened for applications submitted from 1 May 2009 to include support for workers made redundant as a direct result of the global financial and economic crisis,

C.  whereas the Union's financial assistance to workers made redundant should be dynamic and made available as quickly and efficiently as possible, in accordance with the Joint Declaration of the European Parliament, the Council and the Commission adopted during the conciliation meeting on 17 July 2008, and having due regard for the IIA of 17 May 2006 in respect of the adoption of decisions to mobilise the EGF,

D.  whereas Ireland has requested assistance in respect of a case concerning 3 382 redundancies, of which 2 228 have been targeted for assistance, in 1 560 enterprises operating in the NACE Revision 2 Division 43 (‘Specialised construction activities’)(3) in the NUTS II regions of Border, Midlands and Western (IE01) and Southern and Eastern (IE02) in Ireland,

E.  whereas the application fulfils the eligibility criteria laid down by the EGF Regulation,

1.  Requests the institutions involved to make the necessary efforts to improve procedural and budgetary arrangements in order to accelerate the mobilisation of the EGF; appreciates in this sense the improved procedure put in place by the Commission, following Parliament's request for accelerating the release of grants, aimed at presenting to the budgetary authority the Commission's assessment on the eligibility of an EGF application together with the proposal to mobilise the EGF; hopes that further improvements in the procedure will be made within the framework of the upcoming review of the EGF and that greater efficiency, transparency and visibility of the EGF will be achieved;

2.  Recalls the institutions' commitment to ensuring a smooth and rapid procedure for the adoption of the decisions on the mobilisation of the EGF, providing one-off, time-limited individual support geared to helping workers who have been made redundant as a result of globalisation and the financial and economic crisis; emphasises the role that the EGF can play in the reintegration of workers made redundant into the labour market, in particular the most vulnerable and least qualified workers;

3.  Stresses that, in accordance with Article 6 of the EGF Regulation, it should be ensured that the EGF supports the reintegration of individual redundant workers into employment; further stresses that the EGF assistance can co-finance only active labour market measures which lead to long-term employment; reiterates that assistance from the EGF must not replace actions which are the responsibility of companies by virtue of national law or collective agreements, nor measures restructuring companies or sectors; deplores the fact that the EGF might provide an incentive for companies to replace their contractual workforce with a more flexible and short-term one;

4.  Notes that the information provided on the coordinated package of personalised services to be funded from the EGF includes information on the compatibility and complementarity with actions funded by the Structural Funds; reiterates its call to the Commission to present a comparative evaluation of those data in its annual reports as well;

5.  Recalls that the EGF was created as a separate specific instrument with its own objectives and deadlines and that it therefore deserves a dedicated allocation, superseding transfers from other budget lines, as done in the past, which could be detrimental to the achievement of the various policies objectives; points out that the amount of payment appropriations initially entered on the EGF budget line 04 05 01 were fully consumed with application EGF/2010/019 IE/Construction 41 from Ireland.

6.  Notes, however, that, in order to mobilise the EGF in this case, payments appropriations will be transferred from a budget line dedicated to the ‘Completion of the European Social Fund (ESF) – Objective 1 (2000 to 2006).

7.  Approves the decision annexed to this resolution;

8.  Instructs its President to sign the decision with the President of the Council and to arrange for its publication in the Official Journal of the European Union;

9.  Instructs its President to forward this resolution, including its annex, to the Council and the Commission.

ANNEX

DECISION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

on mobilisation of the European Globalisation Adjustment Fund in accordance with point 28 of the Interinstitutional Agreement of 17 May 2006 between the European Parliament, the Council and the Commission on budgetary discipline and sound financial management (application EGF/2010/020 IE/Construction 43 from Ireland)

(The text of this annex is not reproduced here since it corresponds to the final act, Decision 2011/773/EU.)

(1) OJ C 139, 14.6.2006, p. 1.
(2) OJ L 406, 30.12.2006, p. 1.
(3) Regulation (EC) No 1893/2006 of the European Parliament and of the Council of 20 December 2006 establishing the statistical classification of economic activities NACE Revision 2 and amending Council Regulation (EEC) No 3037/90 as well as certain EC Regulations on specific statistical domains (OJ L 393, 30.12.2006, p. 1).


Mobilisation of the European Globalisation Adjustment Fund: application EGF/2011/001 AT/Niederösterreich-Oberösterreich from Austria
PDF 211kWORD 40k
Resolution
Annex
European Parliament resolution of 16 November 2011 on the proposal for a decision of the European Parliament and of the Council on mobilisation of the European Globalisation Adjustment Fund, in accordance with point 28 of the Interinstitutional Agreement of 17 May 2006 between the European Parliament, the Council and the Commission on budgetary discipline and sound financial management (application EGF/2011/001 AT/Niederösterreich-Oberösterreich from Austria) (COM(2011)0579 – C7-0254/2011 – 2011/2199(BUD))
P7_TA(2011)0499A7-0379/2011

The European Parliament,

–  having regard to the Commission proposal to Parliament and the Council (COM(2011)0579 – C7-0254/2011),

–  having regard to the Interinstitutional Agreement of 17 May 2006 between the European Parliament, the Council and the Commission on budgetary discipline and sound financial management(1) (IIA of 17 May 2006), and in particular point 28 thereof,

–  having regard to Regulation (EC) No 1927/2006 of the European Parliament and of the Council of 20 December 2006 on establishing the European Globalisation Adjustment Fund(2) (EGF Regulation),

–  having regard to the trilogue procedure provided for in point 28 of the IIA of 17 May 2006,

–  having regard to the letter of the Committee on Employment and Social Affairs,

–  having regard to the report of the Committee on Budgets (A7-0379/2011),

A.  whereas the European Union has set up the appropriate legislative and budgetary instruments to provide additional support to workers who are suffering from the consequences of major structural changes in world trade patterns and to assist their reintegration into the labour market,

B.  whereas the scope of the EGF was broadened for applications submitted from 1 May 2009 to include support for workers made redundant as a direct result of the global financial and economic crisis,

C.  whereas the Union's financial assistance to workers made redundant should be dynamic and made available as quickly and efficiently as possible, in accordance with the Joint Declaration of the European Parliament, the Council and the Commission adopted during the conciliation meeting on 17 July 2008, and having due regard for the IIA of 17 May 2006 in respect of the adoption of decisions to mobilise the EGF,

D.  whereas Austria has requested assistance in respect of a case concerning 2 338 redundancies, of which 502 have been targeted for assistance, in 706 enterprises operating in the NACE Revision 2 Division 49 (‘Land transport and transport via pipelines’) in the NUTS II regions of Niederösterreich (AT12) and Oberösterreich (AT31) in Austria,

E.  whereas the application fulfils the eligibility criteria laid down by the EGF Regulation,

1.  Requests the institutions involved to make the necessary efforts to improve procedural and budgetary arrangements in order to accelerate the mobilisation of the EGF; appreciates in this sense the improved procedure put in place by the Commission, following Parliament's request for accelerating the release of grants, aimed at presenting to the budgetary authority the Commission's assessment on the eligibility of an EGF application together with the proposal to mobilise the EGF; hopes that further improvements in the procedure will be made within the framework of the upcoming review of the EGF and that greater efficiency, transparency and visibility of the EGF will be achieved;

2.  Recalls the institutions' commitment to ensuring a smooth and rapid procedure for the adoption of the decisions on the mobilisation of the EGF, providing one-off, time-limited individual support geared to helping workers who have been made redundant as a result of globalisation and the financial and economic crisis; emphasises the role that the EGF can play in the reintegration of workers made redundant into the labour market, in particular the most vulnerable and least qualified workers;

3.  Stresses that, in accordance with Article 6 of the EGF Regulation, it should be ensured that the EGF supports the reintegration of individual redundant workers into employment; further stresses that the EGF assistance can co-finance only active labour market measures which lead to long-term employment; reiterates that assistance from the EGF must not replace actions which are the responsibility of companies by virtue of national law or collective agreements, nor measures restructuring companies or sectors; deplores the fact that the EGF might provide an incentive for companies to replace their contractual workforce with a more flexible and short-term one;

4.  Notes that the information provided on the coordinated package of personalised services to be funded from the EGF includes information on the compatibility and complementarity with actions funded by the Structural Funds; reiterates its call to the Commission to present a comparative evaluation of those data in its annual reports as well;

5.  Welcomes the fact that following repeated requests from Parliament, for the first time the 2011 budget shows payment appropriations of EUR 47 608 950 on the EGF budget line 04 05 01; recalls that the EGF was created as a separate specific instrument with its own objectives and deadlines and that it therefore deserves a dedicated allocation, which will avoid there being transfers from other budget lines, as happened in the past, which could be detrimental to the achievement of the various policies objectives;

6.  Welcomes the foreseen reinforcement of the EGF budget line 04 05 01 by EUR 50 000 000 through Amending budget No 3/2011, which will be used to cover the amount needed for this application;

7.  Approves the decision annexed to this resolution;

8.  Instructs its President to sign the decision with the President of the Council and to arrange for its publication in the Official Journal of the European Union;

9.  Instructs its President to forward this resolution, including its annex, to the Council and the Commission.

ANNEX

DECISION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

on the mobilisation of the European Globalisation Adjustment Fund in accordance with point 28 of the Interinstitutional Agreement of 17 May 2006 between the European Parliament, the Council and the Commission on budgetary discipline and sound financial management (application EGF/2011/001 AT/Niederösterreich-Oberösterreich from Austria)

(The text of this annex is not reproduced here since it corresponds to the final act, Decision 2011/770/EU.)

(1) OJ C 139, 14.6.2006, p. 1.
(2) OJ L 406, 30.12.2006, p. 1.


Mobilisation of the European Globalisation Adjustment Fund: application EGF/2011/004 EL/ALDI Hellas/Greece
PDF 209kWORD 40k
Resolution
Annex
European Parliament resolution of 16 November 2011 on the proposal for a decision of the European Parliament and of the Council on mobilisation of the European Globalisation Adjustment Fund, in accordance with point 28 of the Interinstitutional Agreement of 17 May 2006 between the European Parliament, the Council and the Commission on budgetary discipline and sound financial management (application EGF/2011/004 EL/ALDI Hellas from Greece) (COM(2011)0580 – C7-0255/2011 – 2011/2200(BUD))
P7_TA(2011)0500A7-0378/2011

The European Parliament,

–  having regard to the Commission proposal to Parliament and the Council (COM(2011)0580 – C7-0255/2011),

–  having regard to the Interinstitutional Agreement of 17 May 2006 between the European Parliament, the Council and the Commission on budgetary discipline and sound financial management(1) (IIA of 17 May 2006), and in particular point 28 thereof,

–  having regard to Regulation (EC) No 1927/2006 of the European Parliament and of the Council of 20 December 2006 on establishing the European Globalisation Adjustment Fund(2) (EGF Regulation),

–  having regard to the trilogue procedure provided for in point 28 of the IIA of 17 May 2006,

–  having regard to the letter of the Committee on Employment and Social Affairs,

–  having regard to the report of the Committee on Budgets (A7-0378/2011),

A.  whereas the European Union has set up the appropriate legislative and budgetary instruments to provide additional support to workers who are suffering from the consequences of major structural changes in world trade patterns and to assist their reintegration into the labour market,

B.  whereas the scope of the EGF was broadened for applications submitted from 1 May 2009 to include support for workers made redundant as a direct result of the global financial and economic crisis,

C.  whereas the Union's financial assistance to workers made redundant should be dynamic and made available as quickly and efficiently as possible, in accordance with the Joint Declaration of the European Parliament, the Council and the Commission adopted during the conciliation meeting on 17 July 2008, and having due regard for the IIA of 17 May 2006 in respect of the adoption of decisions to mobilise the EGF,

D.  whereas Greece has requested assistance in respect of a case concerning 642 redundancies in two enterprises in the retail sector (‘supermarket and supplier’) operating in the regions of Central Macedonia and Attica where the greatest number of ALDI stores were located. Smaller numbers of ALDI redundancies also occurred in other Greek regions, such as Eastern Macedonia-Thrace, Western Macedonia, Epirus, Western Greece, Sterea Ellada and Peloponnese. Of the 642 redundancies, 554 occurred during the reference period, and 88 occurred before the reference period, but are eligible for assistance according to Article 3a(b) of Regulation (EC) No 1927/2006. All 642 redundant workers are targeted for EGF assistance,

E.  whereas the application fulfils the eligibility criteria laid down by the EGF Regulation,

1.  Requests the institutions involved to make the necessary efforts to improve procedural and budgetary arrangements in order to accelerate the mobilisation of the EGF; appreciates in this sense the improved procedure put in place by the Commission, following Parliament's request for accelerating the release of grants, aimed at presenting to the budgetary authority the Commission's assessment on the eligibility of an EGF application together with the proposal to mobilise the EGF; hopes that further improvements in the procedure will be made within the framework of the upcoming review of the EGF and that greater efficiency, transparency and visibility of the EGF will be achieved;

2.  Recalls the institutions' commitment to ensuring a smooth and rapid procedure for the adoption of the decisions on the mobilisation of the EGF, providing one-off, time-limited individual support geared to helping workers who have been made redundant as a result of globalisation and the financial and economic crisis; emphasises the role that the EGF can play in the reintegration of workers made redundant into the labour market, in particular the most vulnerable and least qualified workers;

3.  Stresses that, in accordance with Article 6 of the EGF Regulation, it should be ensured that the EGF supports the reintegration of individual redundant workers into employment; further stresses that the EGF assistance can co-finance only active labour market measures which lead to long-term employment; reiterates that assistance from the EGF must not replace actions which are the responsibility of companies by virtue of national law or collective agreements, nor measures restructuring companies or sectors; deplores the fact that the EGF might provide an incentive for companies to replace their contractual workforce with a more flexible and short-term one;

4.  Notes that the information provided on the coordinated package of personalised services to be funded from the EGF includes information on the compatibility and complementarity with actions funded by the Structural Funds; reiterates its call to the Commission to present a comparative evaluation of those data in its annual reports as well;

5.  Welcomes the fact that following repeated requests from Parliament, for the first time the 2011 budget shows payment appropriations of EUR 47 608 950 on the EGF budget line 04 05 01; recalls that the EGF was created as a separate specific instrument with its own objectives and deadlines and that it therefore deserves a dedicated allocation, which will avoid there being transfers from other budget lines, as happened in the past, which could be detrimental to the achievement of the various policies objectives;

6.  Welcomes the foreseen reinforcement of the EGF budget line 04 05 01 by EUR 50 000 000 through Amending budget No 3/2011, which will be used to cover the amount needed for this application;

7.  Approves the decision annexed to this resolution;

8.  Instructs its President to sign the decision with the President of the Council and to arrange for its publication in the Official Journal of the European Union;

9.  Instructs its President to forward this resolution, including its annex, to the Council and the Commission.

ANNEX

DECISION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

on the mobilisation of the European Globalisation Adjustment Fund in accordance with point 28 of the Interinstitutional Agreement of 17 May 2006 between the European Parliament, the Council and the Commission on budgetary discipline and sound financial management (application EGF/2011/004 EL/ALDI Hellas from Greece)

(The text of this annex is not reproduced here since it corresponds to the final act, Decision 2011/771/EU.)

(1) OJ C 139, 14.6.2006, p. 1.
(2) OJ L 406, 30.12.2006, p. 1.


ACP-EU Joint Parliamentary Assembly in 2010
PDF 132kWORD 49k
European Parliament resolution of 16 November 2011 on the work of the ACP-EU Joint Parliamentary Assembly in 2010 (2011/2120(INI))
P7_TA(2011)0501A7-0315/2011

The European Parliament,

–  having regard to the partnership agreement between the members of the African, Caribbean and Pacific group of states (ACP), of the one part, and the European Community and its Member States, of the other part, signed in Cotonou on 23 June 2000 (Cotonou Partnership Agreement)(1) and revised in Luxemburg on 25 June 2005 and in Ouagadougou on 22 June 2010(2),

–  having regard to the Rules of Procedure of the ACP-EU Joint Parliamentary Assembly (JPA), as adopted on 3 April 2003(3) and most recently amended in Port Moresby (Papua New Guinea) on 28 November 2008(4),

–  having regard to Regulation (EC) No 1905/2006 of the European Parliament and of the Council of 18 December 2006 establishing a financing instrument for development cooperation(5),

–  having regard to the Declaration for development-friendly Economic Partnership Agreements (EPAs) adopted by the JPA on 22 November 2007 in Kigali (Rwanda)(6),

–  having regard to the Declaration on the Second Revision of the ACP-EU Partnership Agreement (Cotonou Partnership Agreement) adopted by the JPA on 3 December 2009 in Luanda (Angola)(7),

–  having regard to the Communiqué adopted on 29 April 2010 in Mahé (Seychelles) at the JPA East Africa/Indian Ocean regional meeting(8),

–  having regard to the European Consensus on Humanitarian Aid signed on 18 December 2007(9),

–  having regard to the resolutions adopted by the JPA in 2010:

   in Tenerife on:
   The financial and economic impact of climate change in ACP countries;
   The social impact of the global crisis;
   Post-disaster reconstruction and rehabilitation in Haiti, and the link between poverty and natural disasters;
   Supporting the consolidation of peace in Southern Sudan; and
   The Declaration on the EU-Latin America bananas agreement and its impact on ACP and EU banana producers and the conclusions on the Regional Strategy Papers for the six ACP regions(10);
   in Kinshasa on:
   Free and independent media;
   Post-Copenhagen: technology transfer, new technologies and technical capacity-building in the ACP countries;
   Achieving the MDGs: innovative responses to meet the social and economic challenges;
   Food security;
   The security problem in the Sahel-Saharan region: terrorism and trafficking in drugs, arms and human beings; and
   The Declaration on the announcement of the results of the second round of the presidential election held on 28 November 2010 in Côte d'Ivoire(11);
   having regard to the Declaration of 28 September 2010 by the ACP Parliamentary Assembly on the peaceful co-existence of religions and the importance given to the phenomenon of homosexuality in the ACP-EU partnership,
   having regard to the statement of 6 December 2010 made in response to the abovementioned ACP Declaration by EU Members of the ACP-EU JPA from the EPP, S&D, ALDE, Verts/ALE and GUE/NGL Groups of the European Parliament,
   having regard to Rule 48 of its Rules of Procedure,
   having regard to the report of the Committee on Development (A7-0315/2011),

A.  whereas the EU Council was not represented at the 20th Session in Kinshasa,

B.  whereas the ACP-EU JPA is the largest parliamentary body encompassing countries of both the North and the South,

C.  whereas the budget of the ACP Secretariat made it possible for two fact-finding missions, to Madagascar and Haiti, and one election observation mission, to Burundi, to be organised in 2010,

D.  whereas the Commissioner with responsibility for development and humanitarian aid gave an undertaking at the JPA session in Wiesbaden (Germany) in June 2007 to subject Country and Regional Strategy Papers for the ACP countries (2008-2013) to democratic scrutiny by parliaments; and welcoming the fact that that undertaking has been fulfilled and that conclusions were adopted on the Regional Strategy Papers at the 19th Session in Tenerife,

E.  whereas the revision of the Cotonou Partnership Agreement in 2010 provided a valuable opportunity to strengthen the role of the JPA and its regional dimension and develop parliamentary scrutiny in ACP regions and countries,

F.  whereas the JPA regional meeting held in the Seychelles in 2010 was a considerable success and resulted in the adoption of the abovementioned Mahé Communiqué,

G.  whereas the situation in Haiti is still very serious 20 months after the earthquake that devastated the island, and welcoming the conclusions of the JPA mission to the country and the resolution adopted in Tenerife,

1.  Welcomes the fact that in 2010 the JPA continued to provide a framework for an open, democratic and in-depth dialogue between the European Union and the ACP countries on the Cotonou Partnership Agreement, including the EPAs, and also the Regional Strategy Papers for the six ACP regions;

2.  Stresses the need to pay more attention to the outcomes of the work of the ACP-EU JPA, and to ensure coherence between its resolutions and those of the EP; asks for more participation and involvement of MEPs in its meetings and activities;

3.  Regrets the fact that the EU Council was absent from the 20th Session in Kinshasa, and urges the High Representative to ensure that the establishment of the European External Action Service (EEAS) will lead to a clarification of the role of the EU Council and a clear delineation of responsibility between the EEAS and the Commission in terms of the implementation of the Cotonou Partnership Agreement;

4.  Stresses in particular the crucial role of the ACP national parliaments in managing and monitoring, and local authorities and non-state actors in monitoring, the Country and Regional Strategy Papers and the implementation of the European Development Fund (EDF), and calls on the Commission to guarantee their involvement; emphasises, further, the need for close parliamentary scrutiny during the negotiation and conclusion of EPAs;

5.  Calls on the parliaments of the ACP countries to insist that their governments and the Commission involve them in the process of drafting and implementing the Country and Regional Strategy Papers relating to cooperation between the EU and their countries over the period from 2008 to 2013 and ensure their full participation in the EPA negotiations;

6.  Calls on the JPA to maintain its pressure on EU Member States to take urgent steps to meet their 0.7 % GNI commitments in order to achieve the MDGs, as well as their specific pledges to Africa and LDCs, and recommends fully transparent, multiannual, binding measures, including legislation;

7.  Calls on the Commission to supply all available information to the parliaments of the ACP countries and to assist them in exercising democratic scrutiny, in particular by means of capacity-building;

8.  Calls on the parliaments and governments of the ACP countries to take steps to tackle climate change that take account of the need to maintain growth, eradicate poverty and guarantee fair access to resources; calls in this respect on the Commission, in conjunction with the ACP governments and the JPA, to verify that the European Water Fund, established to provide the very poor in the ACP countries with a water supply and basis sanitation facilities, is being properly used and proving beneficial;

9.  Urges the JPA, the European Commission, and the ACP parliaments and governments to uphold the full right to land and to take measures restricting the phenomenon of land hoarding that could lead to severe environmental damage, the migration of local smallholders and workers, exploitation of resources and the loss of means of subsistence and food security;

10.  Draws attention, in this regard, to the need to involve parliaments in the democratic process and in the national development strategies; stresses their vital role in establishing, following up and monitoring development policies;

11.  Stresses the necessity of upholding the media's freedom and its independence, these being vital elements in ensuring pluralism and the involvement of democratic opposition groups and minorities in political life;

12.  Calls on the European Union and the ACP countries to encourage citizens, and particularly women, to participate on issues such as gender violence or human trafficking, since the involvement of society is vital if progress is to be made in resolving these problems; acknowledges the problem-solving and conflict-resolution skills of women, and urges the Commission and the JPA to include more women in task forces and working groups dealing with issues such as family life, child care, education, etc.;

13.  Calls on parliaments to exercise close parliamentary scrutiny of the EDF; highlights the JPA's key position in this debate and calls on it and the parliaments of the ACP countries to take an active part therein, in particular in connection with the ratification of the revised Cotonou Partnership Agreement;

14.  Asks the European Commission to update the JPA on the state of play of the ratification of the Cotonou Partnership Agreement, as revised in Ouagadougou on 22 June 2010;

15.  Welcomes the increasingly parliamentary – and hence political – nature of the JPA, together with the ever more active role played by its members and the greater quality of its debates, which are helping it to make a vital contribution to the ACP-EU partnership;

16.  Deplores strongly the fact that virtually no mention was made during the JPA in Kinshasa of the increase in acts of mass sexual violence and of general impunity, particularly in the east of the Democratic Republic of the Congo;

17.  Calls on the Commission and the JPA to promote equitable and sustainable development incorporating the social dimension, which supports new forms of enterprises (e.g. cooperatives);

18.  Reasserts that the principle of non-discrimination, including discrimination on the basis of sexual orientation, will not be compromised in the ACP-EU partnership;

19.  Asks the European Commission to provide the members of the JPA with information on the Community financing granted to host countries in the form of budgetary support; stressed that some States benefiting from budgetary support have a controversial political system and that Members of the European Parliament should be informed of the Commission's assessment of the eligibility criteria for budgetary support and of the monitoring thereof;

20.  Considers the exchanges of views with local authorities on the situation in the country, which took place for the first time in Kinshasa, to be a significant example of this enhanced dialogue;

21.  Emphasises once again the significance of the abovementioned Declaration by the JPA on the EU-Latin America bananas agreement, given the major impact this agreement will have henceforth on the competitiveness of ACP and EU banana producers; calls in this regard on the European Parliament and the Council to do all that is in their power to find an agreement which enables compensation for ACP banana producers, provided for in the regulation establishing the banana accompanying measures to be released; asks the JPA Bureau, therefore, and the Committee on Economic Affairs, Finance and Trade to continue to monitor closely developments on this matter;

22.  Calls on the JPA to continue to monitor the situation in Haiti, Madagascar and South Sudan, and to send an observation mission to monitor the level and effectiveness of humanitarian aid to the populations struck by famine in the Horn of Africa; draws attention to the need to cooperate closely with the new Haitian authorities and to support them as they structure their institutions, move towards a fully operational democracy and throughout the whole of the reconstruction process;

23.  Calls on the JPA to continue to organise its own election observation missions on the same basis as the successful mission to Burundi, inasmuch as they reflect the JPA's dual legitimacy, while ensuring the independence of its electoral missions and close coordination with other regional observation bodies;

24.  Welcomes the fact that one further regional meeting provided for in the Cotonou Partnership Agreement and the JPA Rules of Procedure was held in 2010; considers that these meetings make for a genuine exchange of views on regional issues, including conflict prevention and resolution, regional cohesion and EPA negotiations; commends the organisers of the extremely successful meeting in the Seychelles;

25.  Welcomes the establishment of the Working Group on Working Methods, and calls on the JPA Bureau to implement its recommendations in order to improve the efficiency and the political impact of the JPA both in the implementation of the Cotonou Partnership Agreement and on the international stage;

26.  Stresses the importance of the on-site visits organised during the JPA, which complement the part-session discussion; regrets that the visits arranged in Kinshasa lacked relevance;

27.  Instructs its President to forward this resolution to the EU Council, the Commission, the ACP Council, the Vice-President of the Commission/High Representative of the Union for Foreign Affairs and Security Policy, the JPA Bureau and the governments and parliaments of Spain and the Democratic Republic of Congo.

(1) OJ L 317, 15.12.2000, p. 3.
(2) OJ L 287, 4.11.2010, p. 3.
(3) OJ C 231, 26.9.2003, p. 68.
(4) ACP-EU/100.291/08/fin.
(5) OJ L 378, 27.12.2006, p. 41.
(6) OJ C 58, 1.3.2008, p. 44.
(7) OJ C 68, 18.3.2010, p. 43.
(8) APP 100.746.
(9) Joint Statement by the Council and the Representatives of the Governments of the Member States meeting within the Council, the European Parliament and the European Commission, entitled: ‘The European Consensus on humanitarian aid’ (OJ C 25, 30.1.2008, p. 1.).
(10) OJ C 193, 16.7.2010.
(11) OJ C 126, 28.4.2011.


European Heritage Label ***II
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European Parliament legislative resolution of 16 November 2011 on the Council position at first reading with a view to the adoption of a decision of the European Parliament and of the Council establishing a European Union action for the European Heritage Label (10303/1/2011 – C7-0236/2011 – 2010/0044(COD))
P7_TA(2011)0502A7-0331/2011

(Ordinary legislative procedure: second reading)

The European Parliament,

–  having regard to the Council position at first reading (10303/1/2011 – C7-0236/2011),

–  having regard to the reasoned opinion submitted, within the framework of the 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 its position at first reading(1) on the Commission proposal to Parliament and the Council (COM(2010)0076),

–  having regard to Article 294(7) of the Treaty on the Functioning of the European Union,

–  having regard to Rule 72 of its Rules of Procedure,

–  having regard to the recommendation for second reading of the Committee on Culture and Education (A7-0331/2011),

1.  Approves the Council position at first reading;

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

3.  Instructs its President to sign the act with the President of the Council, in accordance with Article 297(1) of the Treaty on the Functioning of the European Union;

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

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

(1) Texts adopted of 16.12.2010, P7_TA(2010)0486.


Single European railway area ***I
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Resolution
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European Parliament legislative resolution of 16 November 2011 on the proposal for a directive of the European Parliament and of the Council establishing a single European railway area (recast) (COM(2010)0475 – C7-0268/2010 – 2010/0253(COD))
P7_TA(2011)0503A7-0367/2011

(Ordinary legislative procedure – recast)

The European Parliament,

–  having regard to the Commission proposal to Parliament and the Council (COM(2010)0475),

–  having regard to Article 294(2) and Article 91 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0268/2010),

–   having regard to Article 14 of the Treaty on the Functioning of the European Union and Protocol No 26 thereto on Services of General Interest,

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

–  having regard to its resolution of 17 June 2010 on the implementation of the first railway package Directives(1),

–  having regard to the reasoned opinion submitted, within the framework of the Protocol (No 2) on the application of the principles of subsidiarity and proportionality, by the Chambre des Députés of Luxembourg, 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 16 March 2011(2),

–  having regard to the opinion of the Committee of the Regions of 28 January 2011(3),

–  having regard to the Interinstitutional Agreement of 28 November 2001 on a more structured use of the recasting technique for legal acts(4),

–  having regard to the letter of 26 May 2011 from the Committee on Legal Affairs to the Committee on Transport and Tourism in accordance with Rule 87(3) of its Rules of Procedure,

–  having regard to Rules 87 and 55 of its Rules of Procedure,

–  having regard to the report of the Committee on Transport and Tourism (A7-0367/2011),

A.  whereas, according to the Consultative Working Party of the legal services of the European Parliament, the Council and the Commission, the proposal in question does not include any substantive amendments other than those identified as such in the proposal and whereas, as regards the codification of the unchanged provisions of the earlier acts together with those amendments, the proposal contains a straightforward codification of the existing texts, without any change in their substance,

1.  Adopts its position at first reading hereinafter set out, taking into account the recommendations of the Consultative Working Party of the legal services of the European Parliament, the Council and the Commission;

2.  Calls on the Commission to refer the matter to Parliament again if it intends to amend its proposal substantially or replace it with another text;

3.  Instructs its President to forward its position to the Council, the Commission and the national parliaments.

Position of the European Parliament adopted at first reading on 16 November 2011 with a view to the adoption of Directive 2011/.../EU of the European Parliament and of the Council establishing a single European railway area (recast)

P7_TC1-COD(2010)0253


(Text with EEA relevance)

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

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

Having regard to the proposal from the European Commission,

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

Having regard to the opinion of the European Economic and Social Committee(5),

Having regard to the opinion of the Committee of the Regions(6),

Acting in accordance with the ordinary legislative procedure,

Whereas:

(1)  Council Directive 91/440/EEC of 29 July 1991 on the development of the Community's railways(7), Council Directive 95/18/EC of 19 June 1995 on the licensing of railway undertakings(8) and Directive 2001/14/EC of the European Parliament and of the Council of 26 February 2001 on the allocation of railway infrastructure capacity and the levying of charges for the use of railway infrastructure(9) have been substantially amended in 2004 and 2007. Since further amendments are necessary and given the link between these legal provisions, those Directives should be recast and merged into a single act in the interest of clarity.

(2)  Greater integration of the Union transport sector is an essential element of the completion of the internal market, and the railways are a vital part of the Union transport sector moving towards achieving sustainable mobility.

(2a)  The railway sector's share in transport has not been increasing over the last decade, contrary to the objectives of the 2001 railway package (‘the first railway package’, namely Directive 2001/12/EC of the European Parliament and of the Council of 26 February 2001 amending Council Directive 91/440/EEC on the development of the Community's railways(10), Directive 2001/13/EC of the European Parliament and of the Council of 26 February 2001 amending Council Directive 95/18/EC on the licensing of railway undertakings(11) and Directive 2001/14/EC), demonstrating the need to further improve current legislation in order to support the sector. It follows that the current reorganisation is essential. [Am. 1]

(2b)  The numerous infringement procedures against Member States demonstrate that the current legislation gives rise to differences of interpretation and that the first railway package needs to be clarified and improved in order to ensure a genuine opening up of the European rail market. [Am. 2]

(2c)  Investment in the development and upkeep of railway infrastructure remains insufficient to guarantee the sector's development and capacity to compete. [Am. 3]

(2d)  The Directives which comprise the first railway package have not prevented a considerable variation in the structure and level of railway infrastructure charges and the form and duration of capacity allocation processes. [Am. 4]

(2e)  Non-transparent market conditions are an obvious obstacle to competitive railway services. [Am. 5]

(3)  The efficiency of the railway system should be improved, in order to integrate it into a competitive market, whilst taking account of the special features of the railways.

(3a)  The coexistence in the Member States of different social security schemes in the railway sector poses a risk of unfair competition between new railway operators and incumbent undertakings, and requires harmonisation while respecting the specific characteristics of the sector and of the Member States. [Am. 6]

(3b)  Guarantees must be provided that the regulatory bodies will carry out their supervisory duties, in order to ensure non-discrimination between railway undertakings, the implementation of suitable charging policies and compliance with the principle of the separation of accounts. [Am. 7]

(3c)  In order to complete the European railway area, complete interoperability of the rail system at European level is necessary. The European Railway Agency should be assigned the appropriate powers and resources to attain this objective more quickly, inter alia as regards the development of common standards for certification of rolling stock and safety and signalling systems. [Am. 8]

(4)  Regional, urban and suburban services as well as transport activities in the form of shuttle services through the Channel Tunnel should be excluded from the scope of this Directive. Heritage and museum railways running on their own track should also be exempt from the scope of the Directive. [Am. 9]

(5)  In order to render railway transport efficient and competitive with other modes of transport, Member States should ensure that railway undertakings have the status of independent operators behaving in a commercial manner and adapting to market needs.

(6)  In order to ensure the future development and efficient operation of the railway system, a distinction should be made between the provision of transport services and the operation of infrastructure. Given this situation, it is necessary for these two activities to be managed separately and to have separate accounts, guaranteeing transparency which ensures that no public funds are diverted to other commercial activities. [Am. 10]

(6a)  The strict separation of accounts between infrastructure manager and railway undertaking must be ensured. Public funds allocated to one of these fields of activity should not be transferred to another field of activity. This prohibition should be clearly displayed in the accounting rules of each field of activity. The Member State and the national regulatory body should ensure the effective application of this prohibition. [Am. 11]

(6b)  Whatever the type of undertaking, all rail operators must respect legislation on social protection and health so as to avoid the practice of social dumping and unfair competition. [Am. 12]

(6c)  In order to enable rail transport to compete with road transport, the differing sets of national rules, such as those on rail transport safety, on the use of accompanying documents, on the marshalling of trains and the relevant documentation related thereto, on the signals and marks used to guide trains, on the measures and checks implemented in connection with shipments of hazardous goods and on uniform procedures for registering and monitoring shipments of waste, should be standardised. [Am. 13]

(7)  The principle of freedom to provide services should be applied to the railway sector, taking into account that sector's specific characteristics.

(8)  In order to boost competition in railway service management in terms of improved comfort and the services provided to users, Member States should retain general responsibility for the development of the appropriate railway infrastructure.

(9)  In the absence of common rules on allocation of infrastructure costs, Member States should, after consulting the infrastructure manager, lay down rules providing for railway undertakings to pay for the use of railway infrastructure. Such rules should not discriminate between railway undertakings.

(10)  Member States should ensure that infrastructure managers and existing publicly owned or controlled railway transport undertakings are given a sound financial structure having due regard to the Union rules on State aids.

(10a)  The Union should explore alternative sources of funding European rail projects through innovative financial instruments, such as Union project bonds, to encourage private investment and to improve access to venture capital. By the same token, the railway market must be made attractive to alternative, private investors via clear, transparent legal frameworks. [Am. 14]

(10b)  Member States and infrastructure managers should be able to fund infrastructure investment through means other than direct State funding such as private sector financing. [Am. 15]

(11)  An efficient passenger and freight sector, especially across borders and in particular in instances where different track gauges still constitute a physical barrier to competition, requires urgent action to open up the marketmarkets in the individual Member States and generate competition. [Am. 16]

(12)  In order to ensure that access rights to railway infrastructure are applied throughout the Union on a uniform and non-discriminatory basis, it is appropriate to introduce a licence for railway undertakings.

(13)  In the case of journeys with intermediate stops, new market entrants should be authorised to pick up and set down passengers along the route in order to ensure that such operations are economically viable and to avoid placing potential competitors at a disadvantage compared to existing operators.

(14)  The introduction of new, open-access, international passenger services with intermediate stops should not be used to open up the market for domestic passenger services, but should merely be focusedfocus on stops that are ancillary to the international route. The principal purpose of the newsuch services should be to carry passengers travelling on an international journey. When assessing whether that is the service's principal purpose, criteria such as the proportion of turnover, and of volume, derived from transport of domestic or international passengers, and the length of the service should be taken into account. The assessment of the service's principal purpose should be carried out by the respective national regulatory body at the request of an interested party. [Am. 17]

(15)  Regulation (EC) No 1370/2007 of the European Parliament and of the Council of 23 October 2007 on public passenger transport services by rail and by road(12) authorises Member States and local authorities to award public service contracts which may contain exclusive rights to operate certain services. It is therefore necessary to ensure that the provisions of that Regulation are consistent with the principle of opening up international passenger services to competition.

(15a)  Regulation (EC) No 1370/2007 allows Member States to ensure that workers' employment rights are maintained in the context of the separation of the provision of transport services from the management of the infrastructure, which could involve a transfer of an undertaking. [Am. 18]

(16)  Opening up international passenger services to competition may have implications for the organisation and financing of rail passenger services provided under a public service contract. Member States should have the option of limiting the right of access to the market where this right would compromise the economic equilibrium of these public service contracts and where approval is given by the relevant regulatory body referred to in Article 55 and where applicable the network of regulatory bodies as set out in Article 57, of this Directive on the basis of an objective economic analysis, following a request from the competent authorities that awarded the public service contract. [Am. 19]

(17)  The assessment of whether the economic equilibrium of the public service contract could be compromised should take into account predetermined criteria such as the impact on the profitability of any services which are included in a public service contract, including consequential impacts on the net cost to the competent public authority that awarded the contract, passenger demand, ticket pricing, ticketing arrangements, location and number of stops on both sides of the border and timing and frequency of the proposed new service. In accordance with such an assessment and the decision of the relevant regulatory body, Member States may authorise, modify or deny the right of access for the international passenger service sought, including the levying of a charge on the operator of a new international passenger service, in line with the economic analysis and in accordance with Union law and the principles of equality and non-discrimination.

(18)  In order to contribute to the operation of passenger services on lines fulfilling a public service obligation, Member States should be able to authorise the authorities responsible for those services to impose a levy on passenger services which fall within the jurisdiction of those authorities. That levy should contribute to the financing of public service obligations laid down in public service contracts.

(18a)  Market developments have shown that a crucial concern is to strengthen the role of the regulatory bodies. If they are to play a key role in ensuring a fair environment with equitable access conditions, they need to receive the financial means as well as appropriate staffing and logistic equipment to fulfil this role. [Am. 20]

(18b)  The national regulatory body must be an independent regulatory authority with the power to take up matters on its own initiative and to undertake investigations, and capable of issuing opinions and enforceable decisions with a view to ensuring an open market without barriers in which competition is exercised freely and without distortion. [Am. 21]

(19)  The national regulatory body should function in a way which avoids any conflict of interests and any possible involvement in the award of the public service contract under consideration, without prejudice to the option of this body being funded from the national budget or from levies on the rail sector and to the publication of the relevant information. The competence of the regulatory body should be extended to allow the assessment of the purpose of an international service and, where appropriate, the potential economic impact on existing public service contracts. [Am. 22]

(19a)  The national regulatory body should be fully independent in its organisation, funding decisions, legal structure and decision-making from any infrastructure manager, charging body, allocation body or applicant. The national regulatory body has to have the necessary administrative capacity in terms of staff and resources to ensure that the railway market is open and transparent. The required level of staff should be directly linked to the market needs and vary accordingly. It should be required to take a decision on any complaints, act on its own initiative, investigate in cases of dispute and monitor the development of the market. It should be supported by a regulatory department of the Commission. Furthermore the national regulatory body should maintain a database of their draft decisions accessible to the Commission. [Am. 23]

(20)  In order to invest in services using specialised infrastructure, such as high-speed railway lines, applicants need legal certainty given the substantial long-term investment involved.

(21)  The national regulatory bodies should, under the auspices of the Commission, create a network to strengthen their cooperation through the development of common principles and the exchange of best practices and information and. They should also, where relevant in individual cases, coordinate the principles and practice of assessing whether the economic equilibrium of a public service contract is compromised. They should progressively develop at European level common guidelines based on their experience. Based on the experience of that network of regulatory bodies the Commission should come forward with a legislative proposal for the setting up of a European regulatory body. [Ams 24 and 25]

(22)  In order to ensure fair competition between railway undertakings, a distinction should be made between the provision of transport services and the operation of service facilities. Given this situation, it is necessary for these two types of activity toshould be managed independently in distinct legal entities. Such independence need not imply the establishment of separatein a transparent and non-discriminatory manner by the regulatory body or firm for each service facility in accordance with the procedures laid down in this Directive. [Am. 26]

(22a)  Improved access to travel information and ticketing services in passenger stations should complement other regulatory initiatives aiming to facilitate the creation and development of telematic applications for passengers. [Am. 138]

(23)  In order to ensure dependable and adequate services, it is necessary to ensure that, at all times, railway undertakings meet certain requirements in relation to good repute, financial fitness, social standards and professional competence. [Am. 27]

(24)  For the protection of customers and third parties concerned it is importantessential to ensure that railway undertakings are sufficiently insured against liability. Coverage of its liability in the event of accidents through guarantees provided by banks or other undertakings should also be allowed, provided that such coverage is offered under market conditions, does not result in State aid and does not contain elements of discrimination against other railway undertakings. [Am. 28]

(25)  AAll railway undertakingundertakings should also be required to comply with both national and Union rules on the provision of railway services, applied in a non-discriminatory manner, which are intended to ensure that itthey can carry on its activitytheir activities in complete safety and with duefull regard to health,existing obligations in relation to social conditions, health and the rights of workers and consumers on specificall stretches of track. [Ams 29 and 30]

(26)  The procedures for granting, maintaining and amending operating licences for railway undertakings should be transparent and in accordance with the principle of non-discrimination.

(26a)  It is still the case that, too often, the granting of licences for railway undertakings' rolling stock is unjustifiably impeded, which distorts market access. A strong remit for the European Railway Agency in this respect is therefore appropriate. The Commission is therefore called upon, as part of the review of Regulation (EC) No 881/2004 of the European Parliament and of the Council of 29 April 2004 establishing a European Railway Agency(13), to investigate whether the European Railway Agency's remit can be expanded in this regard. [Am. 31]

(27)  To ensure transparency and non-discriminatory access to rail infrastructure and rail-related services for all railway undertakings, all the information required to use access rights is to be published in a network statement, including formats which are accessible for people with disabilities or reduced mobility. [Am. 32]

(28)  Appropriate capacity-allocation schemes for rail infrastructure coupled with competitive operators will result in a better balance of transport between modes.

(29)  Encouraging optimal use of the railway infrastructure will lead to a reduction in the cost of transport to society.

(30)  Appropriate charging schemes for rail infrastructure coupled with appropriate charging schemes for other transport infrastructure and competitive operators should result in an optimal balance of different transport modes on a sustainable basis.

(31)  The charging and capacity allocation schemes should permit equal and non-discriminatory access for all undertakings and attempt as far as possible to meet the needs of all users and traffic types in a fair and non-discriminatory manner. The charging and capacity allocation schemes should allow fair competition in the provision of railway services.

(33)  Within the framework set out by Member States, charging and capacity-allocation schemes should encourage railway infrastructure managers to optimise the use of their infrastructure.

(34)  Railway undertakings should receive clear and consistent indications from capacity allocation schemes which lead them to make rational decisions.

(35)  Any charging scheme will send economic signals to users. It is important that those signals to railway undertakings should be consistent and clear, and lead them to make rational and sustainable decisions. [Am. 33]

(36)  In order to take into account the needs of users, or potential users, of railway infrastructure capacity to plan their business, and the needs of customers and funders, it is important that the infrastructure manager ensures that infrastructure capacity is allocated in a way which reflects the need to maintain and improve service reliability levels.

(37)  It is desirable for railway undertakings and the infrastructure manager to be provided with incentives to minimise disruption and improve performance of the network.

(38)  Member States should have the option of allowing purchasers of railway services to enter the capacity-allocation process directly.

(39)  It is important to have regard to the business requirements of both applicants and the infrastructure manager.

(40)  It is important to maximise the flexibility available to the infrastructure managers with regard to the allocation of infrastructure capacity, but this should be consistent with satisfying the applicant's reasonable requirements.

(40a)  Applicants offering single-wagon-load services need to be encouraged in order to enlarge the potential market for new rail clients. It is therefore important that these applicants are being taken into account by the infrastructure manager when allocating capacity in order to allow them to fully benefit from this legal framework and enlarge the rail market share for new sectors. [Am. 34]

(41)  The capacity allocation process must prevent the imposition of undue constraints on the wishes of other undertakings holding, or intending to hold, rights to use the infrastructure to develop their business.

(42)  Capacity allocation and charging schemes may need to take account of the fact that different components of the rail infrastructure network may have been designed with different principal users in mind.

(43)  As different users and types of users will frequently have a different impact on infrastructure capacity, the needs of different services need to be properly balanced.

(44)  Services operated under contract to a public authority may require special rules to safeguard their attractiveness to users.

(45)  The charging and capacity allocation schemes must take account of the effects of increasing saturation of infrastructure capacity and ultimately the scarcity of capacity.

(46)  The different time-frames for planning traffic types should ensure that requests for infrastructure capacity which are made after the completion of the process for establishing the annual working timetable can be satisfied.

(47)  To ensure the optimum outcome for railway undertakings, it is desirable to require an examination of the use of infrastructure capacity when the coordination of requests for capacity is required to meet the needs of users.

(48)  In view of their monopolistic position, infrastructure managers, should be required to examine the available infrastructure capacity, and methods of enhancing it when the capacity allocation process is unable to meet the requirements of users.

(49)  A lack of information about other railway undertakings' requests and about the constraints within the system may make it difficult for railway undertakings to seek to optimise their infrastructure capacity requests.

(50)  It is important to ensure better coordination of allocation schemes in order to improve the attractiveness of rail for traffic which uses the network of more than one infrastructure manager, in particular for international traffic. In that context, it would appear desirable ultimately to create a European regulatory body. [Am. 35]

(51)  It is important to minimise the distortions of competition which may arise, either between railway infrastructures or between transport modes, from significant differences in charging principles.

(52)  It is desirable to define those components of the infrastructure service which are essential to enable an operator to provide a service and which should be provided in return for minimum access charges.

(53)  InvestmentIncreased investment in railway infrastructure - in particular existing infrastructure - is necessary and infrastructure charging schemes should provide incentives for infrastructure managers to make appropriate investments economically attractive and environmentally sustainable. [Am. 36]

(54)  To enable the establishment of appropriate and fair levels of infrastructure charges, infrastructure managers need to record and establish the value of their assets and develop a clear understanding of cost factors in the operation of the infrastructure.

(55)  It is desirable to ensure that account is taken of external costs when making transport decisions and that rail infrastructure charging can contribute to the internalisation of external costs in a coherent and balanced way across all modes of transport.

(56)  It is important to ensure that charges for domestic and international traffic are such as to permit rail to meet the needs of the market; consequently infrastructure charging should be set at the cost that is directly incurred as a result of operating the train service.

(57)  The overall level of cost recovery through infrastructure charges affects the necessary level of government contribution; Member States may require different levels of overall cost recovery. However, any infrastructure charging scheme should allow traffic which can at least pay for the additional cost which it imposes to use the rail network.

(58)  Railway infrastructure is a natural monopoly. It is therefore necessary to provide infrastructure managers with incentives to reduce costs and manage their infrastructure efficiently.

(58a)  With the aim of increasing the proportion of goods and passenger traffic carried by rail in relation to other modes of transport, it is desirable that, when internalising external costs, Member States should ensure that the differentiated levies do not have any adverse impact on the financial equilibrium of the infrastructure manager. If the infrastructure manager were nonetheless to suffer a loss due to this differentiation, it is advisable that Member States should adjust this difference, with due regard to the rules on State aid. [Am. 37]

(59)  The development of railway transport should be achieved by using inter alia the Union instruments available, without prejudice to priorities already established.[Am. 38]

(60)  Discounts which are granted to railway undertakings must relate to actual administrative cost savings made, in particular transaction costs savings. Discounts may also be used to promote the efficient use of infrastructure.

(61)  It is desirable for railway undertakings and the infrastructure manager to be provided with incentives to minimise disruption of the network.[Am. 39]

(62)  The allocation of capacity is associated with a cost to the infrastructure manager, payment for which should be required.[Am. 40]

(63)  The efficient management and fair and non-discriminatory use of rail infrastructure require the establishment of anational regulatory bodybodies that overseesoversee the application of the rules set out in this Directive and actsact as an appeal body, notwithstanding the possibility of judicial review. [Am. 41]

(64)  Specific measures are required to take account of the specific geopolitical and geographical situation of certain Member States and the particular organisation of the railway sector in various Member States while ensuring the integrity of the internal market.

(65)  The Commission should be empowered to adapt the Annexes to this Directive. Since those measures are of general scope and are designed to amend non-essential elements of this Directive, they must be adopted as delegated acts in accordance with Article 290 of the Treaty.In order to ensure proper monitoring of the rail market and good regulation with regard to the levying of charges for the use of railway infrastructure and allocation of railway infrastructure capacity, the power to adopt acts in accordance with Article 290 of the Treaty on the Functioning of the European Union (TFEU) should be delegated to the Commission in respect of the criteria and procedure to be followed as the scope of market monitoring, certain elements of the network statement, certain principles of charging, the temporary reduction for European Train Control System (ETCS), certain elements of the performance scheme, the criteria to be followed for the requirements with regard to applicants for infrastructure, the schedule for the allocation process, the regulatory accounts and common principles and practices for making decisions developed by regulatory bodies. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level. The Commission, when preparing and drawing up delegated acts, should ensure a simultaneous, timely and appropriate transmission of relevant documents to the European Parliament and to the Council. [Am. 42]

(66)  The measures necessary for the implementation of this Directive should be adopted in accordance with Council Decision 1999/468/EC of 28 June 1999 laying down the procedures for the exercise of implementing powers conferred on the Commission(14).In order to ensure uniform conditions for the implementation 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 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(15). [Am. 43]

(67)  In accordance with the principles of subsidiarity and proportionality as set out in Article 5 of the Treaty on European Union, the objectives of this Directive, namely to foster the development of the Union railways, to set out broad principles for granting licences to railway undertakings and to coordinate arrangements in the Member States governing the allocation of railway infrastructure capacity and the charges made for the use thereof, cannot be sufficiently achieved by the Member States on account of the manifestly international dimensions of issuing such licences and operating significant elements of the railway networks, and in view of the need to ensure fair and non-discriminatory terms for access to the infrastructure and the objectives can therefore, by reason of their trans-national implications, be better achieved by the Union. This Directive does not go beyond what is necessary to achieve those objectives.

(68)  The obligation to transpose this Directive into national law should be confined to those provisions which represent a substantive change as compared with the earlier Directives. The obligation to transpose the provisions which are substantively unchanged arises under the earlier Directives.

(69)  A Member State which has no railway system, and no immediate prospect of having one, would be subject to a disproportionate and pointless obligation if it had to transpose and implement this Directive. Therefore, such Member States should be exempted from that obligation.

(70)  In accordance with point 34 of the Interinstitutional Agreement on better law-making(16), Member States are encouraged to draw up, for themselves and in the interests of the Union, their own tables illustrating, as far as possible, the correlation between this Directive and the transposition measures, and to make them public.

(71)  This Directive should be without prejudice to the time limits set out in Annex XI, Part B within which the Member States are to comply with the preceding Directives.

(71a)  Further to the resolutions of the European Parliament of 12 July 2007(17) and 17 June 2010(18) on the implementation of the first railway package  and further to the implementation of Directive 2001/12/EC, the Commission should present a legislative proposal on the separation of the infrastructure manager and the operator by the end of 2012. As the railway sector is not fully opened until now, the Commission should present a legislative proposal on the opening up of the market by that date,[Am. 44]

HAVE ADOPTED THIS DIRECTIVE:

CHAPTER I

GENERAL PROVISIONS

Article 1

Subject-matter and Scope 

1.  This Directive lays down:

   (a) the rules applicable to the management of railway infrastructure and to rail transport activities of the railway undertakings established or to be established in a Member State as set out in Chapter II;
   (b) the criteria applicable to the issuing, renewal or amendment of licences by a Member State intended for railway undertakings which are or will be established in the Union as set out in Chapter III;
   (c) the principles and procedures applicable to the setting and collecting of railway infrastructure charges and the allocation of railway infrastructure capacity as set out in Chapter IV.

2.  This Directive applies to the use of railway infrastructure for domestic and international rail services.

Article 2

Exclusions from the scope

1.  Chapter II does not apply to railway undertakings which only operate urban, suburban or regional services.

2.  Member States may exclude the following from the application of Chapter III:

   (a) railway undertakings which only operate rail passenger services on local and regional stand-alone railway infrastructure;
   (b) railway undertakings which only operate urban or suburban rail passenger services;
   (c) railway undertakings which only operate regional rail freight services;
   (d) railway undertakings which only operate freight services on privately owned railway infrastructure that exists solely for use by the infrastructure owner for its own freight operations.

2a.  Member States may exclude the following from the application of Articles 6, 7, 8 and 13 and Chapter IV:

   railway undertakings which only operate rail-freight services on railway infrastructure managed by these undertakings before ...(19), and which has a gauge different from the main rail network within the Member State, and is connected to a railway infrastructure on the territory of a third country - as long as the managed infrastructure is not identified in Decision No 661/2010/EU of the European Parliament and of the Council of 7 July 2010 on Union guidelines for the development of the trans-European transport network(20). [Ams 134 and 135]

3.  Member States may exclude the following from the application of Chapter IV:

   (a) local and regional stand-alone networks for passenger services on railway infrastructure;
   (b) networks intended only for the operation of urban or suburban rail passenger services;
   (c) regional networks which are used for regional freight services solely by a railway undertaking that is not covered under paragraph 1 until capacity on that network is requested by another applicant;
   (d) privately owned railway infrastructure that exists solely for use by the infrastructure owner for its own freight operations;
   (e) transport operations in the form of railway services which are carried out in transit through the Union.

Member States may decide time periods and deadlines for the schedule for capacity allocation different from those referred to in Article 43(2), Annex VIII point 4(b) and Annex IX points 3, 4 and 5, for international train paths to be established in cooperation with infrastructure managers from third countries on a network whose track gauge is different from the main rail network within the Union. [Am. 45]

3a.  Member States may exclude from the application of Article 31(5) vehicles operated or intended to be operated from and to third countries, running on a network whose track gauge is different from the main rail network within the Union. [Am. 46]

4.  This Directive does not apply to undertakings the train operations of which are limited to providing solely shuttle services for road vehicles through the Channel Tunnel and transport operations in the form of shuttle services for road vehicles through the Channel Tunnel, except Articles 6(1), 10, 11, 12 and 28.

5.  Member States may exclude from the application of Articles 10, 11, 12 and 28 any railway service carried out in transit through the Union and which begins and ends outside the Union territory.

Article 3

Definitions

For the purpose of this Directive, the following definitions apply:

   (1) ‘railway undertaking’ means any public or private undertaking licensed according to this Directive, the principal business of which is to provide services for the transport of goods and/or passengers by rail with a requirement that the undertaking ensure traction; this also includes undertakings which provide traction only;
   (2) ‘infrastructure manager’ means any body or firm responsible in particular for establishing, managing and maintaining railway infrastructure, including traffic management and control-command and signalling, in compliance with applicable safety rules; the essential functions of the infrastructure manager are: the decision making on a network or part of a network may be allocated to different bodies or firmstrain path allocation, including both the definition and the assessment of availability and the allocation of individual train paths and the decision making on infrastructure charging, including determination and collection of the charges, and investments in infrastructure; [Am. 47]
   (2a) ‘regulatory body’ means a body which supervises the correct application of the relevant regulations in a Member State, is not in any way involved in policy making, and is completely separate from firms, particularly the firms referred to in points 1 and 2; [Am. 48]
   (3) ‘railway infrastructure’ means all the items listed in Annex I.A to Commission Regulation (EEC) No 2598/70 of 18 December 1970 specifying the items to be included under the various headings in the forms of accounts shown in Annex I to Regulation (EEC) No 1108/70 of 4 June 1970(21)which for reasons of clarity are included in Annex I to this Directive; [Am. 49]
   (4) ‘international freight service’ means a transport service where the train crosses at least one border of a Member State; the train may be joined and/or split and the different sections may have different origins and destinations, provided that all wagons cross at least one border;
   (5) ‘international passenger service’ means a passenger service where the train crosses at least one border of a Member State and where the principal purpose of the service is to carry passengers between stations located in different Member States; the train may be joined and/or split, and the different sections may have different origins and destinations, provided that all carriages cross at least one border;
   (6) ‘urban and suburban services’ means transport services operated to meet the transport needs of an urban centre or conurbation, together with transport needs between such a centre or conurbation and surrounding areas;
   (7) ‘regional services’ means transport services operated to meet the transport needs of aone region or of border regions; [Am. 50]
   (8) ‘transit’ means crossing the territory of the Union without loading or unloading goods, and/or without picking up passengers or setting them down in the territory of the Union;
   (9) ‘licence’ means an authorisation issued by a Member State to an undertaking, by which its capacity to provide rail transport services is recognised; that capacity may be limited to the provision of specific types of services;
   (10) ‘licensing authority’ means the body responsible for granting licences within a Member State;
   (11) ‘allocation’ means the allocation of railway infrastructure capacity by an infrastructure manager;
   (12) ‘applicant’ means a railway undertaking and other persons or legal entities, such as competent authorities under Regulation (EC) No 1370/2007 and shippers, freight forwarders and combined transport operators, with a public-service or commercial interest in procuring infrastructure capacity;
   (13) ‘congested infrastructure’ means an element of infrastructure for which demand for infrastructure capacity cannot be fully satisfied during certain periods even after coordination of the different requests for capacity;
   (14) ‘capacity enhancement plan’ means a measure or series of measures with a calendar for their implementation which aim to alleviate the capacity constraints which led to the declaration of an element of infrastructure as ‘congested infrastructure’;
   (15) ‘coordination’ means the process through which the infrastructure manager and applicants will attempt to resolve situations in which there are competing applications for infrastructure capacity;
   (16) ‘framework agreement’ means a legally binding general agreement under public or private law, setting out the rights and obligations of an applicant and the infrastructure manager in relation to the infrastructure capacity to be allocated and the charges to be levied over a period longer than one working timetable period;
   (17) ‘infrastructure capacity’ means the potential to schedule train paths requested for an element of infrastructure for a certain period;
   (18) ‘network’ means the entire railway infrastructure managed by an infrastructure manager;
   (19) ‘network statement’ means the statement which sets out in detail the general rules, deadlines, procedures and criteria for charging and capacity allocation schemes, including such other information as is required to enable applications for infrastructure capacity;
   (20) ‘train path’ means the infrastructure capacity needed to run a train between two places over a given period;
   (21) ‘working timetable’ means the data defining all planned train and rolling-stock movements which will take place on the relevant infrastructure during the period for which it is in force.

CHAPTER II

DEVELOPMENT OF THE UNION RAILWAYS

SECTION 1

Management independence

Article 4

Independence of railway undertakings and infrastructure managers

1.  Member States shall ensure that as regards management, administration and internal control over administrative, economic and accounting matters railway undertakings directly or indirectly owned or controlled by the Member States have independent status in accordance with which they will hold, in particular, assets, budgets and accounts which are separate from those of the State.

2.  While respecting the charging and allocation framework and the specific rules established by the Member States, the infrastructure manager shall be responsible for its own management, administration and internal control.

2a.  The infrastructure manager shall manage its own IT services, to ensure that commercially sensitive information is adequately protected. [Am. 51]

2b.  Member States shall also ensure that both railway undertakings and infrastructure managers which are not completely independent of one another are responsible for their own staff policies. [Am. 52]

Article 5

Management of the railway undertakings according to commercial principles

1.  Member States shall enable railway undertakings to adjust their activities to the market and to manage those activities under the responsibility of their management bodies, in the interests of providing efficient and appropriate services at the lowest possible cost for the quality of service required.

Railway undertakings shall be managed according to the principles which apply to commercial companies, irrespective of their ownership. This shall also apply to the Public Service Obligations (PSOs) imposed on them by Member States and to public service contracts which they conclude with the competent authorities of the State.

2.  Railway undertakings shall determine their business plans, including their investment and financing programmes. Such plans shall be designed to achieve the undertakings' financial equilibrium and other technical, commercial and financial management objectives; they must also indicate the means of attaining these objectives. 

3.  With reference to the general policy guidelines issued by each Member State and taking into account national plans and contracts (which may be multi-annual) including investment and financing plans, railway undertakings shall, in particular, be free to:

   (a) establish their internal organisation, without prejudice to the provisions of Articles 7, 29 and 39;
   (b) control the supply and marketing of services and fix the pricing thereof, without prejudice to Regulation (EC) No 1370/2007;
   (c) take decisions on staff, assets and own procurement;
   (d) expand their market share, develop new technologies and new services and adopt any innovative management techniques;
   (e) establish new activities in fields associated with the railway business.

4.  If the Member State directly or indirectly owns or controls the railway undertaking, its controlling rights in relation to management shall not exceed the management-related rights that national company law grants to shareholders of private joint-stock companies. Policy guidelines, as mentioned in paragraph 3, which the State may set for companies in the context of the exercise of shareholder control, may only be of a general nature and shall not interfere with specific business decisions of the management.

SECTION 2

Separation of infrastructure management and transport operations and of different types of transport operations

Article 6

Transparent separation of accounts

1.  Member States shall ensure that separate profit and loss accounts and balance sheets are kept and published, on the one hand, for business relating to the provision of transport services by railway undertakings and, on the other, for business relating to the management of railway infrastructure. Public funds paid to one of these two areas of activity shall not be transferred to the other.

2.  Member States may also provide that this separation shall require the organisation of distinct divisions within a single undertaking or that the infrastructure and transport services shall be managed by separate entities in order to ensure the development of competition, continued investment and the cost-effectiveness of service provision of the railway sector.

3.  Member States shall ensure that separate profit and loss accounts and balance sheets are kept and published, on the one hand, for business relating to the provision of rail freight transport services and, on the other, for activities relating to the provision of passenger transport services. Public funds paid for activities relating to the provision of transport services as public-service remits must be shown separately for each public service contract in the relevant accounts and shall not be transferred to activities relating to the provision of other transport services or any other business.

4.  In order to ensure full transparency of infrastructure costs, the accounts for the different areas of activity referred to in paragraphs 1 and 3 shall be kept in a way that allows monitoring of the prohibition on transferring public funds paid to one area of activity to anothercompliance with those paragraphs and monitoring of the use of income from infrastructure charges, surpluses from other commercial activities of and public and private funding paid to the infrastructure manager. The revenues of the infrastructure manager shall in no way be used by a railway undertaking or a body or firm controlling a railway undertaking as this may strengthen its market position or enable it to gain economic advantages over other railway undertakings. This paragraph shall not prevent, under the supervision of the regulatory body as referred to in Article 55, reimbursement, including interest payment under market conditions, of the capital employed made available by the body or firm controlling the railway undertaking to the infrastructure manager. [Am. 53]

Article 7

Independence of essential functions of an infrastructure manager

1.  Member States shall ensure that the functions determining equitable and non-discriminatory access to infrastructure, listed in Annex II,as defined by Article 3(3) are entrusted to bodies or firms that do not themselves provide any rail transport services. Regardless of organisational structure, this objective must be shown to have been achieved. However, in managing the traffic on the network, effective cooperation between railway undertakings and infrastructure managers is essential.

Annex II may be amended in the light of experience, in accordance with the procedure referred to in Article 60.

Member States may, however, assign to railway undertakings or any other body the responsibility for contributing to the development of the railway infrastructure, for example through investment, maintenance and funding.

2.  Where the infrastructure manager, in its legal form, organisation or decision-making functions, is not independent of any railway undertaking, the functions described in Sections 3 and 4 of Chapter IV shall be performed respectively by a charging body and by an allocation body that are independent in their legal form, organisation and decision-making from any railway undertaking.

3.  When the provisions of Sections 2 and 3 of Chapter IV refer to essential functions of an infrastructure manager, they shall be understood as applying to the charging body or the allocation body for their respective competencies.

3a.  The Commission shall no later than 31 December 2012 present a proposal for a Directive containing provisions relating to the separation of infrastructure management and transport operations as well as a proposal for opening up the domestic rail passenger market which does not detract from the quality of rail transport services and safeguards PSOs. [Ams 54 and 137]

SECTION 3

Improvement of the financial situation

Article 8

Sound financing of the infrastructure manager

1.  Member States shall develop their national railway infrastructure by taking into account, where necessary, the general needs of the Union. For this purpose, they shall publish not later than ... (22)and after consultation of interested parties and stakeholders, including local and regional authorities concerned, trade unions, sectoral unions and users' representatives, a rail infrastructure development strategy with a view to meeting future mobility needs based on sound and sustainable financing of the railway system. The strategy shall cover a period of at least fiveseven years and be renewable.

2.  Whenever revenues are not sufficient to cover the financing needs of the infrastructure manager, without prejudice to the charging framework of Articles 31 and 32 of this Directive, and having due regard to Articles 93, 107 and 108 TFEU, Member States mayshall also provide the infrastructure manager with financing commensurate with its tasks, the size of the infrastructure and financial requirements, in particular in order to cover new investments.

3.  Within the framework of general policy determined by the State and taking into account the rail infrastructure development strategy referred to in paragraph 1, the infrastructure manager shall adopt a business plan including investment and financial programmes. The plan shall be designed to ensure optimal and efficient use, provision and development of the infrastructure while ensuring financial balance and providing means for these objectives to be achieved. The infrastructure manager shall ensure that applicants are consulted in a non-discriminatory manner before the businessinvestment plan is approved as far as the conditions of access and use, and the nature, the provision and the development of the infrastructure are concerned. The regulatory body referred to in Article 55 shall issue a non-binding opinion on whether the business plan is appropriate to achieve these objectivesdiscriminates between applicants.

4.  Member States shall ensure that, under normal business conditions and over a period of no more than three years, the accounts of anthe infrastructure manager shall over a period of no more than two years at least balance income from infrastructure charges, surpluses from other commercial activities, non refundable grants from private sources and State funding, including advance payments from the State where appropriate, on the one hand, and infrastructure expenditure on the other, including advance payments from the Statesustainable financing of long-term asset renewals, where appropriate. [Am. 55]

Without prejudice to the possible long-term aim of user cover of infrastructure costs for all modes of transport on the basis of fair, non-discriminatory competition between the various modes, where rail transport is able to compete with other modes of transport, within the charging framework of Articles 31 and 32, a Member State may require the infrastructure manager to balance its accounts without State funding.

Article 9

Transparent debt relief

1.  Without prejudice to the Union rules on State aids and in accordance with Articles 93, 107 and 108 TFEU, Member States shall set up appropriate mechanisms to help reduce the indebtedness of publicly owned or controlled railway undertakings to a level which does not impede sound financial management and to improve their financial situation.

2.  For the purposes referred to in paragraph 1, Member States shall require a separate debt amortisation unit to be set up within the accounting departments of such undertakings.

The balance sheet of the unit may be charged, until they are extinguished, with all the loans raised by the undertaking both to finance investment and to cover excess operating expenditure resulting from the business of rail transport or from railway infrastructure management. Debts arising from subsidiaries' operations shall not be taken into account.

3.  Paragraphs 1 and 2 shall not apply to debts or interest due on such debts incurred by undertakings after ... (23)15 March 2001 or the date of accession to the Union for Member States which joined the Union after 15 March. [Am. 56]

SECTION 4

Access to railway infrastructure and services

Article 10

Conditions of access to railway infrastructure

1.  Railway undertakings within the scope of this Directive shall be granted, on equitable, non-discriminatory and transparent conditions, access to the infrastructure in all Member States for the purpose of operating all types of rail freight services. This shall include track access to ports. 

2.  Railway undertakings within the scope of this Directive shall be granted the right of access to the infrastructure in all Member States for the purpose of operating an international passenger service. Railway undertakings shall, in the course of an international passenger service, have the right to pick up passengers at any station located on the international route and set them down at another, including stations located in the same Member State.

The right of access to the infrastructure of the Member States for which the share of international carriage of passengers by train constitutes more than half of the passenger turnover of railway undertakings in that Member State shall be granted by 31 December 2011.

Following the request from the relevant competent authorities or interested railway undertakings, the relevant regulatory body or bodies referred to in Article 55 shall determine whether the principal purpose of the service is to carry passengers between stations located in different Member States.

In no event must the conditions of access to railway infrastructure result in it being impossible for passengers to obtain information on, or to purchase a ticket for, travel from one location to another, regardless of the number of railway transport operators providing, in whole or in part, passenger transport services between those two locations. [Am. 57]

The Commission mayshall adopt, on the basis of the experience gained by the regulatory bodies, by ...(24)implementing measures setting out the details of the procedure and criteria to be followed for the application of this paragraph. Those measures, designed to ensure the implementation of this Directive under uniform conditions, shall be adopted as implementing acts in accordance with the examination procedure referred to in Article 64(3). [Am. 58]

Article 11

Limitation of the right of access and of the right to pick up and set down passengers

1.  Member States may limit the right of access provided for in Article 10 on services between a place of departure and a destination which are covered by one or more public service contracts conforming to the Union law in force. Such limitation shall not have the effect of restricting the right to pick up passengers at any station located on the route of an international service and to set them down at another, including stations located in the same Member State, except where the exercise of this right would compromise the economic equilibrium of a public service contract.

2.  Whether the economic equilibrium of a public service contract would be compromised shall be determined by the relevant regulatory body or bodies referred to in Article 55 on the basis of an objective economic analysis and based on pre-determined criteria, after a request from any of the following:

   (a) the competent authority or competent authorities that awarded the public service contract;
   (b) any other interested competent authority with the right to limit access under this Article;
   (c) the infrastructure manager;
   (d) the railway undertaking performing the public service contract.

The competent authorities and the railway undertakings providing the public services shall provide the relevant regulatory body or bodies with the information reasonably required to reach a decision. The regulatory body shall consider the information provided, consulting all the relevant parties as appropriate, and shall inform the relevant parties of its reasoned decision within a pre-determined, reasonable time, and, in any case, within two months ofone month from the receipt of all relevant informationthe request referrred to in paragraph 2. [Am. 59]

3.  The regulatory body shall give the grounds for its decision and specify the time period within which, and the conditions under which any of the following may request a reconsideration of the decision,

   (a) the relevant competent authority or competent authorities;
   (b) the infrastructure manager;
   (c) the railway undertaking performing the public service contract;
   (d) the railway undertaking seeking access.

4.  The Commission mayshall adopt, on the basis of the experience gained by the regulatory bodies, by ... (25)implementing measures setting out the details of the procedure and criteria to be followed for the application of paragraphs 1, 2 and 3 of this Article. Those measures, designed to ensure the implementation of this Directive under uniform conditions shall be adopted as implementing acts in accordance with the examination procedure referred to in Article 64(3). [Am. 60]

5.  Member States may also limit the right to pick up and set down passengers at stations within the same Member State on the route of an international passenger service where an exclusive right to convey passengers between those stations has been granted under a concession contract awarded before 4 December 2007 on the basis of a fair competitive tendering procedure and in accordance with the relevant principles of Union law. This limitation may continue for the original duration of the contract, or 15 years, whichever is shorter.

6.  Member States shall ensure that the decisions referred to in paragraphs 1, 2, 3 and 5 are subject to judicial review.

Article 12

Levy on railway undertakings providing passenger services

1.  Without prejudice to Article 11(2), Member States may, under the conditions laid down in this Article, authorise the authority responsible for rail passenger transport to impose a levy on railway undertakings providing passenger services for the operation of routes which fall within the jurisdiction of that authority and which are operated between two stations in that Member State.

In that case, railway undertakings providing domestic or international rail passenger transport services shall be subject to the same levy on the operation of routes which fall within the jurisdiction of that authority.

2.  The levy is intended to compensate the authority for PSOs laid down in public service contracts awarded in accordance with Union law. The revenue raised from such a levy and paid as compensation shall not exceed what is necessary to cover all or part of the cost incurred in the relevant PSOs taking into account the relevant receipts and a reasonable profit for discharging those PSOs.

3.  The levy shall be imposed in accordance with Union law, and shall respect in particular the principles of fairness, transparency, non-discrimination and proportionality, in particular between the average price of the service to the passenger and the level of the levy. The total levies imposed pursuant to this paragraph shall not endanger the economic viability of the rail passenger transport service on which they are imposed.

4.  The relevant authorities shall keep the information necessary to ensure that the origin of the levies and their use can be traced. Member States shall provide the Commission with this information.

The Commission shall prepare a comparative analysis of the methods for the setting of the amounts of the levies in the Member States in order to establish a uniform method of calculation to determine the amount of the levies. [Am. 61]

Article 13

Conditions of access to services

1.  Infrastructure managers shall supply to all railway undertakings shall, on a non-discriminatory basis, be entitled to the minimum access package laid down in point 1 of Annex III.

2.  The servicesOperators of service facilities shall supply to all railway undertakings access, including track access, to the facilities referred to in point 2 of Annex III, shall be supplied by all operators of service and to the services supplied in these facilities in a non-discriminatory manner under the supervision of the regulatory body as provided under Article 56.

Where the operator of thea service facility referred to in point 2 of Annex III belongs to a body or firm which is also active and holds a dominant position in at least one of the railway transport services markets for which the facility is used, the operator shall be organised in such a way that it is independent, in legal, organisational and decision-making terms, of this body or firm. The operator of a service facility and this body or firm shall have separate accounts, including separate balance sheets and profit and loss accounts.

Requests by railway undertakings for access to the service facility shall be answered within a fixed time limit set by the national regulatory body and may only be rejected if there are viable alternatives allowing them to operate the freight or passenger service concerned on the same route under economically acceptable conditions. The burden of proving for the existence of aWhen refusing access to its service facility, the operator of the service facility shall propose an economically and technically viable alternative lies with the operator of the service facilityand justify its refusal in writing. The refusal shall not oblige the operator of the service facility to make investments in resources or facilities in order to accommodate all requests from railway undertakings.

When the operator of the service facility encounters conflicts between different requests, heit shall attempt the best possible matching of all requirements. If no viable alternative is available, and it is not possible to accommodate all requests for capacity for the relevant facility on the basis of demonstrated needs, the regulatory body referred to in Article 55 shall on its own initiative or on the basis of a complaint by an applicant take appropriate action, bearing in mind the needs of all stakeholders concerned, to ensure that an appropriate part of the capacity is devoted to railway undertakings other than the ones which are part of the body or firm to which the facility operator also belongs. However newly built maintenance and other technical facilities developed for specific new high-speed rolling stock, referred to in Commission Decision 2008/232/EC of 21 February 2008 concerning a technical specification for interoperability relating to the rolling stock sub-system of the trans-European high-speed rail system(26), may be reserved to the use of one railway undertaking for a period of fiveten years from the start of their operation.

Where the service facility has not been in use for at least two consecutive yearsone year and interest by railway undertakings for access to this facility has been expressed to the operator of such a facility on the basis of demonstrated needs, its owner shall publicise the operation of the facility as being for lease or rent for use for activities related to the railway sector unless the operator of such facility demonstrates that an on-going process of reconversion prevents its use by a railway undertaking.

3.  Where the infrastructure manageroperator of the service offers any of the range of services described in point 3 of Annex III as additional services, he shall supply them upon request to railway undertakings in a non-discriminatory manner.

4.  Railway undertakings may request a further range of ancillary services, listed in point 4 of Annex III, from the infrastructure manager or from other suppliersoperators of service facility. The infrastructure manager is not obliged to supply these services.

5.  Annex III may be amended in the light of experience in accordance with the procedure referred to in Article 60.[Ams 62 and 162]

SECTION 5

Cross-border agreements

Article 14

General principles for cross-border agreements

1.  Any provisions contained in cross-border agreements between Member States which discriminate betweenshall ensure that the cross-border agreements they conclude do not discriminate against certain railway undertakings, or which restrictconstitute restrictions on the freedom of railway undertakings to operate cross-border services are hereby superseded. [Am. 63]

These agreements shall be notified to the Commission. The Commission shall examine the compliance of such agreements with this Directive and decide in accordance with the advisory procedure referred to in Article 64(2) whether the related agreements may continue to apply. The Commission shall communicate its decision to the European Parliament, the Council and the Member States.

2.  Without prejudice to the division of competences between the Union and the Member States, in accordance with Union law, the negotiation and implementation of cross-border agreements between Member States and third countries shall be subject to a cooperation procedure between Member States and the Commission.

The Commission may adopt implementing measures setting out the details of thespecifying the procedural modalities of the cooperation procedure to be followed for the application of this paragraphreferred to in the first subparagraph. Those implementing measures, designed to ensure the implementation of this Directive under uniform conditions shall be adopted as implementing acts in accordance with Article 63(3)the advisory procedure referred to in Article 64(2). [Am. 64]

SECTION 6

Monitoring tasks of the Commission

Article 15

Scope of market monitoring

1.  TheCommission shall make the necessary arrangements to monitor technical, social and and economic conditions and market developments, including the evolution of employment, as well as compliance with relevant Union law on European rail transport.

2.  In this context, the Commission shall closely involve representatives of the Member States, including representatives of the regulatory bodies referred to in Article 55, and of the sectors concerned in its work, including local and regional authorities concerned, the railways sector's social partners and users, so that they are able better to monitor the development of the railway sector and the evolution of the market, to assess the effect of the measures adopted and to analyse the impact of the measures planned by the Commission. The Commission shall also involve the European Railway Agency where appropriate.

3.  The Commission shall monitor the use of the networks and the evolution of framework conditions in the rail sector, in particular infrastructure charging, capacity allocation, investments in railway infrastructure, developments as regards prices and the quality of rail transport services, rail transport services covered by public service contracts, licensing, the degree of market opening, employment and social conditions and the degree of harmonisation, particularly in the field of social rights, between and within Member States. It shall ensure active cooperation between the appropriate regulatory bodies in the Member States.

4.  The Commission shall report on a regular basisevery two years to the European Parliament and the Council on:

   (a) the evolution of the internal market in rail services and rail-related services including the degree of market opening;
   (b) the framework conditions, including for public passenger transport services by rail;
   (ba) the development of employment, working and social conditions in the sector;
   (c) the state of the European railway network;
   (d) the utilisation of access rights;
   (e) barriers to more effective rail services;
   (f) infrastructure limitations;
   (g) the need for legislation.

5.  For the purposes of the Commission's market monitoring, Member States shall supply on an annual basis the following information and as indicated in Annex IV, as well as all other necessary data requested by the Commission:

   (a) the evolution of rail transport performance and compensation for PSOs;
   (b) the degree of market opening and fair competition in each Member State, and the modal share of railway undertakings in total transport performance;
   (c) the resources and activities of regulatory bodies dedicated to their function as appeal bodies;
   (d) the relevant developments as regards restructuring of the incumbent railway undertaking and adoption/implementation of national transport strategies over the previous year;
   (e) the important training initiatives/measures in the field of railway transport taken in a Member State during the previous year;
   (f) the employment and the social conditions of railway undertakings, infrastructure managers and of other companies active in the railway sector at the end of the previous year;
   (g) the investments in the high-speed rail network during the previous year;
   (h) the length of the railway network at the end of the previous year;
   (i) the track access charges during the previous year;
   (j) the existence of a performance scheme set up in accordance with Article 35 of this Directive;
   (k) the number of active licences issued by the competent national authority;
   (l) the status of European Rail Traffic Management System (ERTMS) deployment;
   (m) the number of incidents, accidents and serious accidents as defined by Directive 2004/49/EC of the European Parliament and of the Council of 29 April 2004 on safety on the Community's railways(27) which occurred on the network during the previous year;
   (n) other relevant developments;
   (o) the development of the maintenance markets and the degree of opening of the market for maintenance services.

Annex IV may be amended in the light of experience in order to update the information needed for the rail market monitoring in accordance with the procedure referred to in Article 60Article 60a. [Am. 65]

CHAPTER III

LICENSING OF RAILWAY UNDERTAKINGS

SECTION 1

Body responsible for issuing licence

Article 16

Body responsible for railway licensing

Each Member State shall designate the body responsible for issuing licences and for carrying out the obligations imposed under this Chapter.

The designated body shall not provide rail transport services itself and shall be independent of firms or entities that do so.

SECTION 2

Conditions for obtaining a licence

Article 17

General requirements

1.  A railway undertaking shall be entitled to apply for a licence in the Member State in which it is established, provided that Member States or nationals of Member States own in total more than 50% of this railway undertaking and effectively control it, whether directly or indirectly through one or more intermediate undertakings, except where an agreement with a third country to which the Union is a party provides otherwise.

2.  Member States shall not issue licences or extend their validity where the requirements of this Chapter are not complied with.

3.  A railway undertaking which fulfils the requirements imposed under this Chapter shall be authorised to receive a licence.

4.  No railway undertaking shall be permitted to provide the rail transport services covered by this Chapter unless it has been granted the appropriate licence for the services to be provided.

However, such a licence shall not, in itself, entitle the holder to access the railway infrastructure.

5.  The Commission mayshall adopt implementing measures setting out the details of the procedurespecifying the procedural modalities to be followed for the application of this Article including the useissuing of licences and setting up of a common template for the licence in accordance with the requirements set out in Section 2. Those implementing measures, designed to ensure the implementation of this Directive under uniform conditions shall be adopted as implementing acts in accordance with Article 63(3)the advisory procedure referred to in Article 64(2). [Am. 66]

Article 18

Conditions for obtaining a licence

A railway undertaking must be able to demonstrate to the licensing authorities of the Member State concerned before the start of its activities that it will at any time be able to meet the requirements relating to good repute, financial fitness, professional competence and cover for its civil liability listed in Articles 19 to 22.

For these purposes, each applicant shall provide all relevant information.

Article 19

Requirements relating to good repute

Member States shall define the conditions under which the requirement of good repute is met to ensure that an applicant railway undertaking or the persons in charge of its management:

   (a) have not been convicted of serious criminal offences, including offences of a commercial nature;
   (b) have not been declared bankrupt;
   (c) have not been convicted of serious offences against specific legislation applicable to transport;
   (d) have not been convicted of serious or repeatedany failure to fulfil social or employment law obligations, including obligations under safety, occupational safety and health legislation, and customs law obligations in the case of a company seeking to operate cross-border freight transport subject to customs procedures. [Am. 67]

Article 20

Requirements relating to financial fitness

1.  The requirements relating to financial fitness shall be met when an applicant railway undertaking can demonstrate that it will be able to meet its actual and potential obligations, established under realistic assumptions, for a period of 12 months. The licensing authority shall verify financial fitness by means of the railway undertaking's annual accounts or, in the case of applicant undertakings unable to present annual accounts, a balance sheet. [Am. 68]

2.  For these purposes, each applicant shall give at least theprovide detailed particulars listed in Annex V.on the following aspects:

   (a) available funds, including the bank balance, pledged overdraft provisions and loans;
   (b) funds and assets available as security;
   (c) working capital;
   (d) relevant costs, including purchase costs of payments to account for vehicles, land, buildings, installations and rolling stock;
   (e) charges on an undertaking's assets;
   (f) taxes and social security contributions. [Am. 69]

3.  The licensing authority shall not consider an applicant financially fit if considerable arrears of taxes or social security are owed as a result of the undertaking's activity. [Am. 70]

4.  The licensing authority may in particular require the submission of an audit report and suitable documents from a bank, public savings bank, accountant or auditor. Those documents must include information concerning the aspects referred to in points (a) to (f) of paragraph 2 of this Article. [Am. 71]

Annex V may be amended in the light of experience in accordance with the procedure referred to in Article 60.[Am. 72]

Article 21

Requirements relating to professional competence

The requirements relating to professional competence shall be met when an applicant railway undertaking can demonstrate that it has or will have a management organisation which possesses the knowledge or experience necessary to exercise safe and reliable operational control and supervision of the type of operations specified in the licence. The undertaking shall also demonstrate at the time of the application that it holds a safety certificate as defined in Article 10 of Directive 2004/49/EC. [Am. 73]

Article 22

Requirements relating to civil liability

Without prejudice to Chapter III of Regulation (EC) No 1371/2007 of the European Parliament and of the Council of 23 October 2007 on rail passengers' rights and obligations(28), a railway undertaking shall be adequately insured, or have adequate guarantees under market conditions for cover, in accordance with national and international law, of its liabilities in the event of accidents, in particular in respect of freight, mail and third parties. The level of coverage deemed adequate may be differentiated to take into account the specificities of services, in particular for railway operations for cultural or heritage purposes running on the rail network for the general public. [Am. 140]

SECTION 3

Validity of the licence

Article 23

Spatial and temporal validity

1.  A licence shall be valid throughout the territory of the Union.

2.  A licence shall be valid as long as the railway undertaking fulfils the obligations laid down in this Chapter. A licensing authority may, however, make provision for a regular review. If so, the review shall be made at least every five years.

3.  Specific provisions governing the suspension or revocation of a licence may be incorporated in the licence itself.

Article 24

Temporary licence, suspension and approval

1.  If there is serious doubt that a railway undertaking which it has licensed complies with the requirements of Sections 2 and 3 of this Chapter, and in particular those of Article 18, the licensing authority may, at any time, check whether that railway undertaking does in fact comply with those requirements.

Where a licensing authority is satisfied that a railway undertaking can no longer meet the requirements, it shall suspend or revoke the licence.

2.  Where the licensing authority of a Member State is satisfied that there is serious doubt regarding compliance with the requirements laid down in this Chapter on the part of a railway undertaking to which a licence has been issued by the licensing authority of another Member State, it shall inform the latter authority without delay.

3.  Notwithstanding paragraph 1, where a licence is suspended or revoked on grounds of non-compliance with the requirement for financial fitness, the licensing authority may grant a temporary licence pending the re-organisation of the railway undertaking, provided that safety is not jeopardised. A temporary licence shall not, however, be valid for more than six months after its date of issue.

4.  When a railway undertaking has ceased operations for six months or has not started operations within six months of the grant of a licence, the licensing authority may decide that the licence shall be resubmitted for approval or be suspended.

As regards the start of activities, the railway undertaking may ask for a longer period to be fixed, taking account of the specific nature of the services to be provided.

5.  In the event of a change affecting the legal situation of an undertaking and, in particular, in the event of a merger or takeover, the licensing authority may decide that the licence shall be resubmitted for approval. The railway undertaking in question may continue operations, unless the licensing authority decides that safety is jeopardised. In that event, the grounds for such a decision shall be given.

6.  Where a railway undertaking intends significantly to change or extend its activities, its licence shall be resubmitted to the licensing authority for review.

7.  A licensing authority shall not permit a railway undertaking against which bankruptcy or similar proceedings have commenced to retain its licence if that authority is convinced that there is no realistic prospect of satisfactory financial restructuring within a reasonable period of time.

8.  When a licensing authority issues, suspends, revokes or amends a licence, the Member State concerned shall immediately inform the Commission thereof. The Commission shall inform the other Member States forthwith.

Article 25

Procedure for granting licences

1.  The procedures for granting licences shall be made public by the licensing authority concerned, which shall inform the European Railway Agency thereof.

2.  The licensing authority shall take a decision on an application as soon as possible, but not more than three months after all relevant information, notably the particulars referred to in Annex V, has been submitted. The licensing authority shall take into account all the available information. The decision shall be communicated to the applicant railway undertaking without delay. A refusal shall state the grounds on which it is based.

3.  Member States shall ensure that the licensing authority's decisions are subject to judicial review.

CHAPTER IV

LEVYING OF CHARGES FOR THE USE OF RAILWAY INFRASTRUCTURE AND ALLOCATION OF RAILWAY INFRASTRUCTURE CAPACITY

SECTION 1

General principles

Article 26

Effective use of infrastructure capacity

Member States shall ensure that charging and capacity allocation schemes for railway infrastructure follow the principles set down in this Directive and thus allow the infrastructure manager to market and make optimum effective use of the available infrastructure capacity.

Article 27

Network statement

1.  The infrastructure manager shall, after consultation with the interested parties, including the regulatory body referred to in Article 55, develop and publish a network statement obtainable against payment of a fee which shall not exceed the cost of publication of that statement. The network statement shall be published in at least two official languages of the Union, one of which shall be English. The content of the network statement shall be made available free of charge in electronic format through the web portal of the European Railway Agency. [Am. 75]

2.  The network statement shall set out the nature of the infrastructure which is available to railway undertakings. It shall contain the following information setting out the conditions for access to the relevant railway infrastructure and to service facilities. The content of the network statement is laid down in Annex VI.:

   (a) a section setting out the nature of the infrastructure which is available to railway undertakings and the conditions of access to it;
   (b) a section on charging principles and tariffs;
   (c) a section on the principles and criteria for capacity allocation. Operators of service facilities which are not controlled by the infrastructure manager shall supply information on charges for gaining access to the facility and for the provision of services, and information on technical access conditions for inclusion in the network statement;
   (d) a section on information relating to the application for a licence referred to in Article 25 and rail safety certificates issued in accordance with Directive 2004/49/EC;
   (e) a section on information about procedures for dispute resolution and appeal relating to matters of access to rail infrastructure and services and to the performance scheme referred to in Article 35;
   (f) a section on information on access to and charging for service facilities referred to in Annex III;
   (g) a model agreement for the conclusion of framework agreements between an infrastructure manager and an applicant in accordance with Article 42.

The information in the network statement shall be annually updated and consistent with or refer to the rail infrastructure registers to be published in accordance with Article 35 of Directive 2008/57/EC of the European Parliament and of the Council of 17 June 2008 on the interoperability of the rail system within the Community(29). Infrastructure that is not appropriately maintained and its quality declining shall be reported in a timely manner to users;

The information in points (a) to (g) may be amended and specified by the Commission in accordance with Annex VI in the light of experience following the procedure referred to in Article 60a. [Am. 76]

Annex VI may be amended in the light of experience in accordance with the procedure referred to in Article 60a.

3.  The network statement shall be kept up to date and amended as necessary.

4.  The network statement shall be published no less than four months in advance of the deadline for requests for infrastructure capacity.

Article 28

Agreements between railway undertakings and infrastructure managers

Any railway undertaking engaged in rail transport services shall conclude the necessary agreements under public or private law with the infrastructure managers of the railway infrastructure used. The conditions governing such agreements shall be non-discriminatory and transparent, in accordance with the provisions of this Directive.

SECTION 2

Infrastructure and services charges

Article 29

Establishing, determining and collecting charges

1.  Member States shall establish a charging framework while respecting the management independence laid down in Article 4.

Subject to the condition of management independence, Member States shall also establish specific charging rules or delegate such powers to the infrastructure manager.

Member States shall ensure that the charging framework and charging rules are published in the network statement.

Without prejudice to the management independence laid down in Article 4 and provided that this right has been directly conferred by constitutional law at least two years before the date of entry into force of this Directive, the national parliament may have the right to scrutinise and, when appropriate, review the level of charges determined by the infrastructure manager. Such review, if any, shall ensure that charges comply with this Directive, the established charging framework and charging rules. [Am. 141/rev]

The infrastructure manager shall determine and collect the charge for the use of infrastructure.

2.  The Member States shall ensure that infrastructure managers cooperate to enable the application of efficient charging schemes for the operation of train services which cross more than one infrastructure network. Infrastructure managers shall, in particular, aim to guarantee the optimal competitiveness of international rail services and ensure the efficient use of the railway networks.

Member States shall ensure that representatives of infrastructure managers whose charging decisions have an impact on other infrastructures associate to jointly coordinate the charging or to charge for the use of relevant infrastructure at international level. [Am. 77]

3.  Except where specific arrangements are made under Article 32(2), infrastructure managers shall ensure that the charging scheme in use is based on the same principles over the whole of their network.

4.  Infrastructure managers shall ensure that the application of the charging scheme results in equivalent and non-discriminatory charges for different railway undertakings that perform services of an equivalent nature in a similar part of the market and that the charges actually applied comply with the rules laid down in the network statement.

5.  An infrastructure manager shall respect the commercial confidentiality of information provided to it by applicants.

Article 30

Infrastructure cost and accounts

1.  Infrastructure managers shall, with due regard to safety and to maintaining and improving the quality of the infrastructure service, be given incentives to reduce the costs of providing infrastructure and the level of access charges.

2.  Member States shall ensure that paragraph 1 is implemented by means of a contractual agreement between the competent authority and the infrastructure manager covering a period of not less than fiveseven years which provides for State funding.

3.  The terms of the contract and the structure of the payments agreed to provide funding to the infrastructure manager shall be agreed in advance to cover the whole of the contractual period.

Basic principles and parameters of such agreements are set out in Annex VII which may be amended in the light of experience in accordance with the procedure referred to in Article 60.

Member States shall consult interested parties at least one month before the agreement is signed and publish it within one month of its conclusion.

The infrastructure manager shall ensure that its business plan is consistent with the provisions of the contractual agreement.

The regulatory body referred to in Article 55 shall assess the appropriateness of the envisaged medium to long-term income of the infrastructure manager for meeting the agreed performance targets and shall make relevant recommendations, at least one month before the agreement is signed.

The competent authority shall give justifications to the regulatory body if it intends to deviate from these recommendations.[Am. 78]

4.  Infrastructure managers shall develop and maintain an inventory of assets that they manage, which shall contain their current valuation as well as details of expenditure on renewal and upgrading of the infrastructure.

5.  The infrastructure manager and the operator of service facilities shall establish a methodology for apportioning costs to the different services offered in accordance with Annex III and to types of rail vehicles, based on the best available understanding of cost causation and the principles of charging referred to in Article 31. Member States may require prior approval. This method shall be updated from time to time to match best practice internationally.

Article 31

Principles of charging

1.  Charges for the use of railway infrastructure and of service facilities shall be paid to the infrastructure manager and to the service facility operator respectively and used to fund their business.

2.  Member States shall require the infrastructure manager and the service facility operator to provide the regulatory body with all necessary information on the charges imposed. The infrastructure manager and the service facility operator must, in this regard, be able to demonstrate to each railway undertaking that infrastructure and service charges actually invoiced to the railway undertaking pursuant to Articles 30 to 37, comply with the methodology, rules, and, where applicable, scales laid down in the network statement.

3.  Without prejudice to paragraphs 4 or 5 of this article or to Article 32, the charges for the minimum access package shall be set at the cost that is directly incurred as a result of operating the train service, according to point 1 of Annex VIII.

Point 1 of Annex VIII may be amended in the light of experience in accordance with the procedure referred to in Article 60Article 60a.

4.  The infrastructure charges may include a charge which reflects the scarcity of capacity of the identifiable section of the infrastructure during periods of congestion.

5.  When charging for the cost of noise effects is allowed by Union legislation for road freight transport, the Infrastructure charges shall be modified to take account of the cost of noise effects caused by the operation of the train in accordance with point 2 of Annex VIII. Such modification of infrastructure charges shall allow for compensation for investments in retrofitting rail vehicles with the most economically viable low-noise braking technology available. Member States shall ensure that the introduction of such differentiated charges shall not have any adverse effect on the financial equilibrium of the infrastructure manager. The rules for European co-funding shall be modified so as to allow for the co-funding for retrofitting rolling stock to reduce noise emissions as is already the case for ERTMS.

Point 2 of Annex VIII may be amended in the light of experience, in accordance with the procedure referred to in Article 60Article 60a, in particular to specify the elements of differentiated infrastructure charges provided that this does not lead to a distortion of competition within the rail transport sector or with road transport to the detriment of rail transport.

The infrastructure charges may be modified to take account of the cost of other environmental effects caused by the operation of the train not referred to in point 2 of Annex VIII. Any such modification, which may bring about the internalisation of external costs of air pollutants emitted as a result of operating the train service, shall be differentiated according to the magnitude of the effect caused.

Charging of other environmental costs which results in an increase in the overall revenue accruing to the infrastructure manager shall however be allowed only if such charging is allowedapplied by Union law on road freight transport. If the charging of these environmental costs for road freight transport is not allowed by Union law, such modification shall not result in any overall change in revenue to the infrastructure manager.

If charging for environmental costs generates additional revenue, it shall be for Member States to decide how the revenue is to be used for the benefit of transport systems. The relevant authorities shall keep the necessary information to ensure that the origin of the charging of environmental costs and its use can be traced. Member States shall provide the Commission with this information on a regular basis. [Am. 79]

6.  To avoid undesirable disproportionate fluctuations, the charges referred to in paragraphs 3, 4 and 5 may be averaged over a reasonable spread of train services and times. Nevertheless, the relative magnitudes of the infrastructure charge shall be related to the costs attributable to the services.

7.  The supply of services referred to in point 2 of Annex III shall not be covered by this Article. In any event, the charge imposed for such services shall not exceed the cost of providing it, plus a reasonable profit.

8.  Where services listed in points 3 and 4 of Annex III as additional and ancillary services are offered by only one supplier the charge imposed for such a service shall not exceed the cost of providing it, plus a reasonable profit.

9.  Charges may be levied for capacity used for the purpose of infrastructure maintenance. Such charges shall not exceed the net revenue loss to the infrastructure manager caused by the maintenance.

10.  The operator of the facility for supply of the services referred to in points 2, 3 and 4 of Annex III, shall provide the infrastructure manager with the information on charges to be included in the network statement in accordance with Article 27.

Article 32

Exceptions to charging principles

1.  In order to obtain full recovery of the costs incurred by the infrastructure manager a Member State may authorise the infrastructure manager, if the market can bear this, levy mark-ups on the basis of efficient, transparent and non-discriminatory principles, while guaranteeing optimal competitiveness in particular of international rail freightof the railway sector. The charging system shall respect the productivity increases achieved by railway undertakings.

The level of charges must not, however, exclude the use of infrastructure by market segments which can pay at least the cost that is directly incurred as a result of operating the railway service, plus a rate of return which the market can bear.

Before approving the levy of such mark-ups, a Member State shall ensure that the infrastructure manager evaluates their relevance for specific market segments. The list of market segments defined by infrastructure managers shall contain at least the three following ones: freight services, passenger services within the framework of a public service contract and other passenger services. Infrastructure managers may further distinguish market segments.

Market segments in which railway undertakings are not currently operating but may provide services during the period of validity of the charging system shall also be defined. The infrastructure manager shall not include a mark-up in the charging system for these market segments.

The list of market segments shall be published in the network statement and shall be reviewed at least every five years.

TheseAdditional market segments shall be established in accordance with Annex VIII, point 3 subject to the prior approval of the regulatory body. For market segments for which there is no traffic, mark-upsshallnot be included in the charging system.

Annex VIII, point 3 may be amended in the light of experience in accordance with the procedure referred to in Article 60. 

1a.  For the carriage of goods from and to third countries operated on a network whose track gauge is different from the main rail network within the Union, infrastructure managers may set higher charges in order to obtain full cost recovery of the costs incurred.

2.  For specific future investment projects, or specific investment projects that have been completed after 1988, the infrastructure manager may set or continue to set higher charges on the basis of the long-term costs of such projects if they increase efficiency or cost-effectiveness or both and could not otherwise be or have been undertaken. Such a charging arrangement may also incorporate agreements on the sharing of the risk associated with new investments.

3.  Trains equipped with the ETCS running on lines equipped with national command control and signalling systems shall enjoy a temporary reduction of the infrastructure charge in accordance with Annex VIII, point 5. The infrastructure manager shall be able to ensure that such a reduction does not result in a loss of revenue. This reduction shall be offset by higher charges on the same railway line for trains not equipped with ETCS.

Annex VIII, point 5 may be amended in the light of experience in accordance with the procedure referred to in Article 60Article 60a in order to further promote ERTMS.

4.  To prevent discrimination, it shall be ensured that any given infrastructure manager's average and marginal charges for equivalent uses of its infrastructure are comparable and that comparable services in the same market segment are subject to the same charges. The infrastructure manager shall show in the network statement that the charging system meets these requirements in so far as this can be done without disclosing confidential business information.

5.  If an infrastructure manager intends to modify the essential elements of the charging system referred to in paragraph 1, it shall make them public at least three months in advance of the deadline for the publication of the network statement according to Article 27(4).

Member States may decide to publish the charging framework and charging rules applicable specifically to international freight services from and to third countries operated on a network whose track gauge is different from the main rail network within the Union with different instruments and deadlines than those provided under Article 29(1) when this is required to ensure fair competition. [Am. 80]

Article 33

Discounts

1.  Without prejudice to Articles 101, 102, 106 and 107 of the TFEU and notwithstanding the direct cost principle laid down in Article 31(3) of this Directive, any discount on the charges levied on a railway undertaking by the infrastructure manager, for any service, shall comply with the criteria set out in this Article.

2.  With the exception of paragraph 3, discounts shall be limited to the actual saving of the administrative cost to the infrastructure manager. In determining the level of discount, no account may be taken of cost savings already internalised in the charge levied.

3.  Infrastructure managers may introduce schemes available to all users of the infrastructure, for specified traffic flows, granting time-limited discounts to encourage the development of new rail services, or discounts encouraging the use of considerably underutilised lines.

4.  Discounts may relate only to charges levied for a specified infrastructure section.

5.  Similar discount schemes shall apply for similar services. Discount schemes shall be applied in a non-discriminatory manner to any railway undertaking. 

Article 34

Compensation schemes for unpaid environmental, accident and infrastructure costs

1.  Member States may put in place a time-limited compensation scheme for the use of railway infrastructure for the demonstrably unpaid environmental, accident and infrastructure costs of competing transport modes in so far as these costs exceed the equivalent costs of rail.

2.  Where a railway undertaking receiving compensation enjoys an exclusive right, the compensation must be accompanied by comparable benefits to users.

3.  The methodology used and calculations performed must be publicly available. It shall in particular be possible to demonstrate the specific uncharged costs of the competing transport infrastructure that are avoided and to ensure that the scheme is granted on non-discriminatory terms to undertakings.

4.  Member States shall ensure that the scheme is compatible with Articles 93, 107 and 108 TFEU.

Article 35

Performance scheme

1.  Infrastructure charging schemes shall encourage railway undertakings and the infrastructure manager to minimise disruption and improve the performance of the railway network through a performance scheme. This may include penalties for actions which disrupt the operation of the network, compensation for undertakings which suffer from disruption and bonuses that reward better-than-planned performance.

2.  The basic principles of the performance scheme as listed in Annex VIII, point 4include the following elements which shall apply throughout the network.:

   (a) In order to achieve an agreed level of service quality and not to endanger the economic viability of a service, the infrastructure manager shall agree with applicants, after approval by the regulatory body, the main parameters of the performance scheme, in particular the cost of delays and the thresholds for .payments due under the performance scheme relative both to individual train runs and to all train runs of a railway undertaking in a given period of time;
   (b) The infrastructure manager shall communicate to the railway undertakings the timetable, on the basis of which delays will be calculated, at least five days before the train run;
   (c) Without prejudice to the existing appeal procedures and to the provisions of Article 50, in case of disputes relating to the performance scheme, a dispute resolution system shall be made available in order to settle such matters promptly. If this system is applied, a decision shall be reached within a time limit of 10 working days;
   (d) Once a year, the infrastructure manager shall publish the annual average level of service quality achieved by the railway undertakings on the basis of the main parameters agreed in the performance scheme. [Am. 81]

Point 4 of Annex VIII containing further elements regarding the performance scheme may be amended in the light of experience in accordance with the procedure referred to in Article 60Article 60a. [Am. 82]

Article 36

Reservation charges

Infrastructure managers may levy an appropriate charge for capacity that is allocated but not used. This charge shall provide incentives for efficient use of capacity. If there istwo or more than one applicant for aapplicants request overlapping train pathpaths to be allocated under the annual timetable exercise, a reservation charge shall be levied on the applicant to which the entire train path or a part of it was allocated but not used. [Am. 83]

The infrastructure manager shall always be able to inform any interested party of the infrastructure capacity which has already been allocated to user railway undertakings.

Article 37

Cooperation in relation to charging systems on more than one network

Member States shall ensure that infrastructure managers cooperate to enable mark-ups as referred to in Article 32 and performance schemes as referred to in Article 35 to be efficiently applied, for traffic crossing more than one network. With a view to optimising the competitiveness of international rail services, infrastructure managers shall establish appropriate procedures, subject to the rules set out in this Directive.

SECTION 3

Allocation of infrastructure capacity

Article 38

Capacity rights

1.  Infrastructure capacity shall be allocated by an infrastructure manager. Once allocated to an applicant, it shall not be transferred by the recipient to another undertaking or service.

Any trading in infrastructure capacity shall be prohibited and shall lead to exclusion from the further allocation of capacity.

The use of capacity by a railway undertaking when carrying out the business of an applicant which is not a railway undertaking shall not be considered a transfer.

2.  The right to use specific infrastructure capacity in the form of a train path may be granted to applicants for a maximum duration of one working timetable period.

An infrastructure manager and an applicant may enter into a framework agreement as laid down in Article 42 for the use of capacity on the relevant railway infrastructure for a longer term than one working timetable period.

3.  The respective rights and obligations of infrastructure managers and applicants in respect of any allocation of capacity shall be laid down in contracts or in Member States' legislation.

4.  When an applicant intends to request infrastructure capacity with a view to operating an international passenger service as defined in Article 2, it shall inform the infrastructure managers and the regulatory bodies concerned. In order to enable them to assess whether the purpose of the international service is to carry passengers between stations located in different Member States, and what the potential economic impact on existing public service contracts is, regulatory bodies shall ensure that any competent authority that has awarded a rail passenger service on that route defined in a public service contract, any other interested competent authority with a right to limit access under Article 9(3) and any railway undertaking performing the public service contract on the route of that international passenger service is informed.

Article 39

Capacity allocation

1.  Member States may lay down a framework for the allocation of infrastructure capacity subject to the condition of management independence laid down in Article 4. Specific capacity allocation rules shall be laid down. The infrastructure manager shall perform the capacity allocation processes. In particular, the infrastructure manager shall ensure that infrastructure capacity is allocated on a fair and non-discriminatory basis and in accordance with Union law.

2.  Infrastructure managers shall respect the commercial confidentiality of information provided to them.

Article 40

Cooperation in the allocation of infrastructure capacity on more than one network

1.  Member States shall ensure that infrastructure managers cooperate to enable the efficient creation and allocation of infrastructure capacity which crosses more than one network, including under framework agreements referred to in Article 42. Infrastructure managers shall establish appropriate procedures, subject to the rules set out in this Directive, and organise international train paths accordingly.

Member States shall ensure that representatives of infrastructure managers whose allocation decisions have an impact on other infrastructure managers associate in order to coordinate the allocation of or to allocate all relevant infrastructure capacity at an international level, without prejudice to the specific rules contained in Union law on rail freight oriented networks. Participants in this cooperation shall ensure that its membership, methods of operation and all relevant criteria which are used for assessing and allocating infrastructure capacity be made publicly available. Appropriate representatives of infrastructure managers from third countries may be associated with these procedures. [Am. 85]

2.  The Commission and representatives of the regulatory bodies, which co-operate in accordance with Article 57, shall be informed of and invited to attend as observers all meetings at which common principles and practices for the allocation of infrastructure are developed. In the case of IT-based allocation systems, the regulatory bodies shall receive sufficient information from these systems to allow them to perform their regulatory supervision in accordance with the provisions of Article 56. [Am. 86]

3.  At any meeting or other activity undertaken to permit the allocation of infrastructure capacity for trans-network train services, decisions shall only be taken by representatives of infrastructure managers.

4.  The participants in the cooperation referred to paragraph 1 shall ensure that its membership, methods of operation and all relevant criteria which are used for assessing and allocating infrastructure capacity be made publicly available.

5.  Working in cooperation as referred to in paragraph 1, infrastructure managers shall assess the need for, and may where necessary propose and organise international train paths to facilitate the operation of freight trains which are subject to an ad hoc request as referred to in Article 48.

Such prearranged international train paths shall be made available to applicants via any of the participating infrastructure managers.

Article 41

Applicants

1.  Requests for infrastructure capacity may be made by applicants within the meaning of this Directive. In order to use such infrastructure capacity applicants shall appoint a railway undertaking to conclude an agreement with the infrastructure manager in accordance with Article 28. [Am. 84]

2.  The infrastructure manager may set requirements with regard to applicants to ensure that its legitimate expectations about future revenues and utilisation of the infrastructure are safeguarded. Such requirements may only include the provision of a financial guarantee that must not exceed an appropriate level which shall be proportional to the contemplated level of activity of the applicant, and assurance of the capability to prepare compliant bids for infrastructure capacity.

3.  The Commission may adopt implementing measures setting out The details of the criteria to be followed for the application of paragraph 2. Those measures, designed to ensure the implementation of this Directive under uniform conditions shall be adopted as implementing actsmay be amended in the light of experience in accordance with Article 63(3)the procedure referred to in Article 60a. [Am. 87]

Article 42

Framework agreements

1.  Without prejudice to Articles 101, 102 and 106 TFEU, a framework agreement may be concluded between an infrastructure manager and an applicant. Such a framework agreement shall specify the characteristics of the infrastructure capacity required by and offered to the applicant over a period of time exceeding one working timetable period. The framework agreement shall not specify a train path in detail, but shall be such as to meet the legitimate commercial needs of the applicant. A Member State may require prior approval of such a framework agreement by the regulatory body referred to in Article 55 of this Directive.

2.  Framework agreements shall not be such as to preclude the use of the relevant infrastructure by other applicants or services.

3.  A framework agreement shall allow for the amendment or limitation of its terms to enable better use to be made of the railway infrastructure.

4.  A framework agreement may contain penalties should it be necessary to modify or terminate the agreement.

5.  Framework agreements shall in principle cover a period of five years, renewable for periods equal to their original duration. The infrastructure manager may agree to a shorter or longer period in specific cases. Any period longer than five years shall be justified by the existence of commercial contracts, specialised investments or risks.

6.  For services using specialised infrastructure referred to in Article 49 which requires substantial and long-term investment, duly justified by the applicant, framework agreements may be for a period of 15 years. Any period longer than 15 years shall be permissible only in exceptional cases, in particular where there is large-scale, long-term investment, and particularly where such investment is covered by contractual commitments including a multi-annual amortisation plan.

In such exceptional cases, the framework agreement may set out the detailed characteristics of the capacity which is to be provided to the applicant for the duration of the framework agreement. These characteristics may include the frequency, volume and quality of train paths. The infrastructure manager may reduce reserved capacity which, over a period of at least one month, has been used less than the threshold quota provided for in Article 52.

As from 1 January 2010, an initial framework agreement may be drawn up for a period of five years, renewable once, on the basis of the capacity characteristics used by applicants operating services before 1 January 2010, in order to take account of specialised investments or the existence of commercial contracts. The regulatory body referred to in Article 55 shall be responsible for authorising the entry into force of such an agreement.

7.  While respecting commercial confidentiality, the general nature of each framework agreement shall be made available to any interested party.

Article 43

Schedule for the allocation process

1.  The infrastructure manager shall adhere to the schedule for capacity allocation set out in Annex IX.

Annex IX may be amended in the light of experience in accordance with the procedure referred to in Article 60a.

2.  Infrastructure managers shall agree with the other relevant infrastructure managers concerned which international train paths are to be included in the working timetable, before commencing consultation on the draft working timetable. Adjustments shall only be made if absolutely necessary and must be duly justified. [Am. 88]

Article 44

Application

1.  Applicants may apply under public or private law to the infrastructure manager to request an agreement granting rights to use railway infrastructure against a charge as provided for in Section 2 of Chapter IV.

2.  Requests relating to the regular working timetable shall comply with the deadlines set out in Annex IX.

3.  An applicant who is a party to a framework agreement shall apply in accordance with that agreement.

4.  Applicants shall request infrastructure capacity crossing more than one network by applying to one infrastructure manager. That infrastructure manager shall then be permitted to act on behalf of the applicant to seek capacity with the other relevant infrastructure managers.

5.  Infrastructure managers shall ensure that, for infrastructure capacity crossing more than one network, applicants may apply directly to any joint body which the infrastructure managers may establish, such as a one-stop-shop for rail corridors.

Article 45

Scheduling

1.  The infrastructure manager shall as far as possible meet all requests for infrastructure capacity including requests for train paths crossing more than one network, and shall as far as possible take account of all constraints on applicants, including the economic effect on their business.

2.  The infrastructure manager may give priority to specific services within the scheduling and coordination process but only as set out in Articles 47 and 49.

3.  The infrastructure manager shall consult interested parties about the draft working timetable and allow them at least one month to present their views. Interested parties shall include all those who have requested infrastructure capacity and other parties who wish to have the opportunity to comment on how the working timetable may affect their ability to procure rail services during the working timetable period.

4.  The infrastructure manager shall, upon request, within a reasonable time and in due time for the coordination process referred to in Article 46, make the following information available free of charge to applicants in written form for review:

   (a) train paths requested by all other applicants on the same routes;
   (b) train paths allocated to all other applicants and outstanding train path requests for all other applicants on the same routes;
   (c) train paths allocated to all other applicants on the same routes as in the previous working timetable;
   (d) remaining capacity available on the relevant routes;
   (e) full details of the criteria being used in the capacity allocation process.

5.  The infrastructure manager shall take appropriate measures to deal with any concerns that are expressed.

Article 46

Coordination process

1.  During the scheduling process referred to in Article 45, when the infrastructure manager encounters conflicts between different requests it shall attempt, through coordination of the requests, to ensure the best possible matching of all requirements.

2.  When a situation requiring coordination arises, the infrastructure manager shall have the right, within reasonable limits, to propose infrastructure capacity that differs from that which was requested.

3.  The infrastructure manager shall attempt, through consultation with the appropriate applicants, to resolve any conflicts.

4.  The principles governing the coordination process shall be set out in the network statement. These shall in particular reflect the difficulty of arranging international train paths and the effect that modification may have on other infrastructure managers.

5.  Where requests for infrastructure capacity cannot be satisfied without coordination, the infrastructure manager shall attempt to accommodate all requests through coordination.

6.  Without prejudice to the existing appeal procedures and to Article 56, in the event of disputes relating to the allocation of infrastructure capacity, a dispute resolution system shall be made available in order to resolve such disputes promptly. This system shall be set out in the network statement. If this system is applied, a decision shall be reached within a time limit of 10 working days.

Article 47

Congested infrastructure

1.  Where after coordination of the requested train paths and consultation with applicants it is not possible to satisfy requests for infrastructure capacity adequately then the infrastructure manager must immediately declare that section of infrastructure on which this has occurred to be congested. This shall also be done for infrastructure which can be expected to suffer from insufficient capacity in the near future.

2.  When infrastructure has been declared to be congested, the infrastructure manager shall carry out a capacity analysis as provided for in Article 50, unless a capacity enhancement plan as provided for in Article 51 is already being implemented.

3.  When charges in accordance with Article 31 (4) have not been levied or have not achieved a satisfactory result and the infrastructure has been declared to be congested, the infrastructure manager may in addition employ priority criteria to allocate infrastructure capacity.

4.  The priority criteria shall take account of the importance of a service to society, relative to any other service which will consequently be excluded.

In order to guarantee the development of adequate transport services within this framework, in particular to comply with public-service requirements or promote the development of rail freight, particularly international freight, Member States may take any measures necessary, under non-discriminatory conditions, to ensure that such services are given priority when infrastructure capacity is allocated. [Am. 89]

Member States may, where appropriate, grant the infrastructure manager compensation corresponding to any loss of revenue related to the need to allocate a given capacity to certain services pursuant to the second subparagraph.

These measures and this compensation shall include taking account of the effect of this exclusion in other Member States.

5.  The importance of freight services and in particular international freight services shall be given adequate consideration in determining priorityPriority criteria shall include freight services and in particular international freight services. [Am. 90]

6.  The procedures to be followed and the criteria to be used where infrastructure is congested shall be set out in the network statement.

Article 48

Ad hoc requests

1.  The infrastructure manager shall respond to ad hoc requests for individual train paths as quickly as possible, and in any event, within five working days. Information supplied on available spare capacity shall be made available to all applicants who may wish to use this capacity.

2.  Infrastructure managers shall where necessary undertake an evaluation of the need for reserve capacity to be kept available within the final scheduled working timetable to enable them to respond rapidly to foreseeable ad hoc requests for capacity. This shall also apply in cases of congested infrastructure.

Article 49

Specialised infrastructure

1.  Without prejudice to paragraph 2, infrastructure capacity shall be considered to be available for the use of all types of service which conform to the characteristics necessary for operation on the train path.

2.  Where there are suitable alternative routes, the infrastructure manager may, after consultation with interested parties, designate particular infrastructure for use by specified types of traffic. Without prejudice to Articles 101, 102 and 106 TFEU, where such designation has occurred, the infrastructure manager may give priority to this type of traffic when allocating infrastructure capacity.

Such designation shall not prevent the use of such infrastructure by other types of traffic when capacity is available.

3.  Where infrastructure has been designated pursuant to paragraph 2, this shall be described in the network statement.

Article 50

Capacity analysis

1.  The objective of capacity analysis is to determine the constraints on infrastructure capacity which prevent requests for capacity from being adequately met, and to propose methods of enabling additional requests to be satisfied. This analysis shall identify the reasons for the congestion and what measures might be taken in the short and medium term to ease the congestion.

2.  The analysis shall consider the infrastructure, the operating procedures, the nature of the different services operating and the effect of all these factors on infrastructure capacity. Measures to be considered shall include in particular re-routing services, re-timing services, speed alterations and infrastructure improvements.

3.  A capacity analysis shall be completed within six months of the identification of infrastructure as congested.

Article 51

Capacity enhancement plan

1.  Within six months of the completion of a capacity analysis, the infrastructure manager shall produce a capacity enhancement plan.

2.  A capacity enhancement plan shall be developed after consultation with users of the relevant congested infrastructure.

It shall identify:

   (a) the reasons for the congestion;
   (b) the likely future development of traffic;
   (c) the constraints on infrastructure development;
   (d) the options and costs for capacity enhancement, including likely changes to access charges.

On the basis of a cost benefit analysis of the possible measures identified, it shall also determine the action to be taken to enhance infrastructure capacity, including a timetable for implementing the measures.

The plan may be subject to prior approval by the Member State. The regulatory body referred to in Article 55 may issue an opinion on whether the actions identified in the plan are appropriateshall supervise the consultation process to ensure that it is carried out in a non-discriminatory manner. [Am. 91]

Where a trans-European network or a train path having a significant impact on one or several trans-European networks is congested, the network of regulatory bodies set out in Article 57 may issue an opinion on whether the actions in the plan are appropriate. [Am. 92]

3.  The infrastructure manager shall cease to levy any charges for the relevant infrastructure under Article 31(4) in cases where:

   (a) it does not produce a capacity enhancement plan; or
   (b) it does not make progress with the actions identified in the capacity enhancement plan.

   (a) the capacity enhancement plan cannot be realised for reasons beyond its control; or
   (b) the options available are not economically or financially viable.

Article 52

Use of train paths

1.  In the network statement, the infrastructure manager shall specify conditions whereby it will take account of previous levels of utilisation of train paths in determining priorities for the allocation process.

2.  For congested infrastructure in particular, the infrastructure manager shall require the surrender of a train path which, over a period of at least one month, has been used less than a threshold quota to be laid down in the network statement, unless this was due to non-economic reasons beyond the operator's control. 

Article 53

Infrastructure capacity for maintenance work

1.  Requests for infrastructure capacity to enable maintenance work to be performed shall be submitted during the scheduling process.

2.  Adequate account shall be taken by the infrastructure manager of the effect of infrastructure capacity reserved for scheduled track maintenance work on applicants.

3.  The infrastructure manager shall inform in due time interested parties about unscheduled maintenance work at least one week prior to it commencing. [Am. 93]

Article 54

Special measures to be taken in the event of disturbance

1.  In the event of disturbance to train movements caused by technical failure or an accident the infrastructure manager must take all necessary steps to restore the situation to normal. To that end it shall draw up a contingency plan listing the various bodies to be informed in the event of serious incidents or serious disturbance to train movements.

1a.  Infrastructure managers shall have action plans to deal with accidents or technical failures. [Am. 94]

2.  In an emergency and where absolutely necessary on account of a breakdown making the infrastructure temporarily unusable, the train paths allocated may be withdrawn without warning for as long as is necessary to repair the system.

The infrastructure manager may, if it deems this necessary, require railway undertakings to make available to it the resources which it feels are the most appropriate to restore the situation to normal as soon as possible.

3.  Member States may require railway undertakings to be involved in assuring the enforcement and monitoring of their own compliance with the safety standards and rules.Save in the case of force majeure, including urgent safety-critical work, a train path allocated to a freight operation pursuant to this article may not be cancelled less than two months before its scheduled time in the working timetable if the applicant concerned does not give its approval for such cancellation. In such a case the infrastructure manager concerned shall make an effort to propose to the applicant a train path of an equivalent quality and reliability which the applicant has the right to accept or refuse. If the applicant refuses, he shall be entitled at least to reimbursement of the corresponding charge. [Am. 95]

SECTION 4

Regulatory body

Article 55

National regulatory bodybodies

1.  Each Member State shall establish a single national regulatory body for the railway sector. This body shall be a stand-alone authority which is, in organisational, functional, hierarchical and decision-making terms, legally distinct and independent from any other public authority. It shall also be independent in its organisation, funding decisions, legal structure and decision-making from any infrastructure manager, charging body, allocation body or applicant. It shall furthermore be functionally independent from any competent authority involved in the award of a public service contract. The regulatory body shall have the necessary organisational capacity in terms of human and material resources, which shall be adequate for the level of activity of the rail sector of the Member State, such as the volume of traffic, and for the size of the network, in order to carry out the tasks assigned to it by Article 56.

2.  Member States may set up regulatory bodies which are competent for several regulated sectors, if these integrated regulatory authorities fulfil the independence requirements set out in paragraph 1.

3.  The president and governing board of the regulatory body for the railway sector shall be appointed by the national or other competent parliament for a fixed and renewable term under clear rules which guarantee independence. They shall be selected from among persons who have knowledge of and experience in the regulation of the railway sector, or knowledge of and experience in the regulation of other sectors, and preferably among persons who have had no professional position or responsibility, interest or business relationship, directly or indirectly, with the regulated undertakings or entities for a period of threeat least two years or any longer period defined in accordance with the national law before their appointment, and during their term of office. They shall explicitly state this by an appropriate declaration of interests. Afterwards, they shall have no professional position or responsibility, interest or business relationship with any of the regulated undertakings or entities for a period of not less than threetwo years or any longer period defined in accordance with the national law. They shall have full authority over the recruitment and management of the staff of the regulatory body. They must act entirely independently and may under no circumstances be influenced by instructions from a government or a private or public undertaking. [Am. 96]

Article 56

Functions of the national regulatory bodybodies

1.  Without prejudice to Article 46(6), an applicant shall have the right to appeal to the regulatory body if it believes that it has been unfairly treated, discriminated against or is in any other way aggrieved, and in particular against decisions adopted by the infrastructure manager or where appropriate the railway undertaking or the operator of a service facility concerning:

   (a) the network statement;
   (b) the criteria set out in it;
   (c) the allocation process and its result;
   (d) the charging scheme;
   (e) the level or structure of infrastructure charges which it is, or may be, required to pay;
   (f) arrangements for access in accordance with Articles 10, 11 and 12;
   (g) access to and charging for services in accordance with Article 13;
   (ga) licensing decisions, in cases where the regulatory body is not also the body issuing licences in accordance with Article 16.

1a.  The regulatory body may take action on its own initiative and shall be required to take a decision on any complaints to remedy the situation within a maximum period of one month from the receipt of the complaint . In the event of an appeal against a refusal to grant infrastructure capacity, or against the terms of an offer of capacity, the regulatory body shall either confirm that no modification of the infrastructure manager's decision is required, or it shall require modification of that decision in accordance with directions specified by the regulatory body.

The Commission shall on its own initiative examine the application and enforcement of the provisions of this Directive related to the mandate of the regulatory bodies and their decision-making deadlines in accordance with the advisory procedure referred to in Article 64(2).

2.  The regulatory body shall also have the power to monitor competition, to stop discriminatory and market distortion developments in the rail services markets and to review points (a) to (g)points (a) to (ga) of paragraph 1 on its own initiative and with a view to preventing discrimination between applicants, including through appropriate corrective measures. It shall, in particular, check whether the network statement contains discriminatory clauses or creates discretionary powers for the infrastructure manager that may be used to discriminate between applicants. The regulatory body shall have the necessary organisational capacity to carry out these tasks.To this end, the regulatory body shall also cooperate closely with the national safety authority responsible for assessing the conformity or suitability for use of interoperability constituents or for appraising the ‘EC’ procedure for verification of subsystems in accordance with Directive 2008/57/EC. At the request of applicants in procedures before the national safety authority which may have consequences for market access the national safety authority shall inform the regulatory body of the relevant aspects of the procedure. The regulatory body shall make recommendations. The national safety authority shall give justifications to the regulatory body if it intends to deviate from these recommendations.

3.  The regulatory body shall ensure that charges set by the infrastructure manager comply with Section 2 of Chapter IV and are non-discriminatory. Negotiations between applicants and an infrastructure manager concerning the level of infrastructure charges shall only be permitted if these are carried out under the supervision of the regulatory body. The regulatory body shall intervene if negotiations are likely to contravene the requirements of this Chapter.

3a.  The regulatory body shall verify that railway undertakings' and infrastructure managers' accounting is in compliance with the accounting separation provisions laid down in Article 6.

3b.  The regulatory body shall determine, if provided by national law, in accordance with Article 10(2) whether the principal purpose of a service is to carry passengers between stations located in different Member States and in accordance with Article 11(2) whether the economic equilibrium of a public service contract is compromised by services provided for in Article 10 between a place of departure and a destination which are covered by one or more public service contracts.

3c.  The regulatory body shall communicate to the Commission any complaint related to a decision by a regulatory body pursuant to paragraphs 1 to 3b. Within two weeks after the receipt of the complaint the Commission shall, if necessary, request changes to the decision in question in order to ensure its compatibility with Union law. The regulatory body shall modify its decision, taking account of the changes requested by the Commission.

3d.  The regulatory body shall consult, at least once a year, the representatives of the users of the rail freight and passenger transport services, to take into account their views on the rail market, including the service performance, the infrastructure charges, the amount and the transparency of the rail service prices. [Am. 97]

4.  The regulatory body shall have the power to request relevant information from the infrastructure manager, applicants and any third party involved within the Member State concerned. Information requested must be supplied without undue delay. The regulatory body shall be enabled to enforce such requests with the appropriate sanctions, including fines. Information to be supplied to the regulatory body includes all data which the regulatory body requires in the framework of its appeal function and in its function of monitoring the competition in the rail services markets in accordance with paragraph 2. This includes data which are necessary for statistical and market observation purposes. 

5.  The regulatory body shall be required to decide on any complaints and take action to remedy the situation within a maximum period of two months from receipt of all information. Where appropriate, it shall decide on its own initiative on appropriate measures to correct undesirable developments in these markets, in particular with reference to points (a) to (ga) of paragraph 1. 

A decision of the regulatory body shall be binding on all parties covered by that decision, and shall not be subject to the control of another administrative instance. The regulatory body must be able to enforce its decisions with the appropriate sanctions, including fines. 

In the event of an appeal against a refusal to grant infrastructure capacity, or against the terms of an offer of capacity, the regulatory body shall either confirm that no modification of the infrastructure manager's decision is required, or it shall require modification of that decision in accordance with directions specified by the regulatory body.

6.  Member States shall ensure that decisions taken by the regulatory body are subject to judicial review. The appeal may have suspensive effect on the decision of the regulatory body only when the court hearing the appeal establishes that the immediate effect of the regulatory body's decision may cause irretrievable damages for the appellant. 

7.  Member States shallensure that information about conflict resolution and appeal procedures related to decisions of infrastructure managers and providers of services listed in Annex III are published by the regulatory body.

8.  The regulatory body shall have the power to carry out audits or initiate external audits with infrastructure managers and, when relevant, railway undertakings, to verify compliance with accounting separation provisions laid down in Article 6.

Member States shall ensure that infrastructure managers and all undertakings or other entities performing or integrating different types of rail transport or infrastructure management as referred to in paragraphs 1 and 2 of Article 6 shall provide detailed regulatory accounts to the regulatory body so that it can carry out its different tasks. These regulatory accounts must contain at least the elements set out in Annex X. The regulatory body may also draw conclusions from these accounts concerning State aid issues which it shall report to the authorities responsible for resolving these issues.

Annex X may be amended in the light of experience in accordance with the procedure referred to in Article 60a.

Article 56a

Powers of the national regulatory bodies

1.  In order to carry out the tasks listed in Article 56 the regulatory body shall have the power to:

   (a) enforce its decisions with appropriate sanctions, including fines. A decision of the regulatory body shall be binding on all parties covered by that decision, and shall not be subject to the control of another national administrative instance.
   (b) request relevant information from the infrastructure manager, applicants and any third party involved within the Member State concerned and to enforce such requests with appropriate sanctions, including fines. Information to be supplied to the regulatory body includes all data which the regulatory body requires in the framework of its appeal function and in its function of monitoring competition in the rail services markets. This includes data which are necessary for statistical and market observation purposes. Information requested must be supplied without undue delay.
   (c) carry out audits or initiate external audits with infrastructure managers and, when relevant, railway undertakings, to verify compliance with accounting separation provisions laid down in Article 6.

2.  Member States shall ensure that decisions taken by the regulatory body are subject to judicial review. The appeal shall not have a suspensive effect on the decision of the regulatory body.

3.  In the event of conflicts concerning decisions by the regulatory bodies for cross-border transport services, the concerned parties may appeal to the Commission to obtain a binding decision on the compatibility of the decisions with Union law within one month after the receipt of the appeal.

4.  Member States shall ensure that decisions taken by the regulatory body are published.

5.  Member States shall ensure that infrastructure managers and all undertakings or other entities performing different types of rail transport or infrastructure management, including operators of the service facilities, as referred to in Article 6 shall provide detailed regulatory accounts to the regulatory body so that it can carry out its different tasks. These regulatory accounts must contain at least the elements set out in Annex X. The regulatory body may also draw conclusions from these accounts concerning State aid issues which it shall report to the authorities responsible for resolving these issues.

Annex X may be amended in the light of experience in accordance with the procedure referred to in Article 60a. [Am. 98]

Article 57

Cooperation between national regulatory bodies and powers of the Commission

1.  The national regulatory bodies shall exchange information about their work and decision-making principles and practice and otherwise cooperate for the purpose of coordinating their decision-making across the Union. For this purpose they shall work together in a working groupformally established network that convenes at regular intervals. The Commission shall support the regulatory bodies in this task.at the invitation of and chaired by the Commission. To this aim the Commission shall ensure active cooperation between the regulatory bodies and shall take action in the event that regulatory bodies fail to fulfil their mandate.

The Commission representatives shall comprise representatives from both the services in charge of transport and competition.

The Commission shall set up a database to which national regulatory bodies shall provide data on all complaint procedures, such as the dates of complaints, start of own-initiative procedures, all draft and final decisions, parties involved, main issues of the procedures and problems of interpretation of railway law and own-initiative investigations on issues of access or charging relating to international rail services.

2.  The regulatory bodies shall cooperate closely, including through working arrangements, for the purposes of mutual assistance in their market monitoring tasks and handling complaints or investigations.

3.  In the case of a complaint or an own-initiative investigation on issues of access or charging relating to an international train path, as well as in the framework of monitoring competition on the market related to international rail transport services, the regulatory body concerned shall notify the Commission and consult the regulatory bodies of all other Member States through which the international train path concerned runs and request all necessary information from them before taking its decision. The network of regulatory bodies shall also deliver an opinion.

4.  The regulatory bodies consulted in accordance with paragraph 3 shall provide all the information that they themselves have the right to request under their national legislation. This information may only be used for the purpose of handling the complaint or investigation referred to in paragraph 3.

5.  The regulatory body receiving the complaint or conducting an investigation on its own initiative shall transfer relevant information to the regulatory body responsible in order for that body to take measures regarding the parties concerned.

6.  Member States shall ensure that any associated representatives of infrastructure managers as referred to in Article 40(1) provide, without delay, all the information necessary for the purpose of handling the complaint or investigation referred to in paragraph 3 of this article and requested by the regulatory body of the Member State in which the associated representative is located. This regulatory body shall be entitled to transfer such information regarding the international train path concerned to the regulatory bodies referred to in paragraph 3.

6a.  The Commission may on its own initiative participate in the activities listed under paragraphs 2 to 6 on which it shall keep the network of regulatory bodies mentioned in paragraph 1 informed.

7.  The network of regulatory bodies established pursuant to paragraph 1 shall develop common principles and practices for making decisions for which they are empowered under this Directive. The Commission may adopt implementing measures setting outand supplement such common principles and practices. Those measures designed to ensure the implementation of this Directive under uniform conditions shall be adopted as implementing acts in accordance with Article 63(3)the procedure referred to in Article 60a.

The network of regulatory bodies shall also review decisions and practices of associations of infrastructure managers as referred to in Article 40(1) that implement provisions of this Directive or otherwise facilitate international rail transport. [Am. 99]

Article 57a

European regulatory body

In light of the experience acquired through the network of regulatory bodies, the Commission shall, no later than ... (30), draw up a legislative proposal establishing a European regulatory body. This body shall have a supervisory and arbitration function to deal with cross-border and international problems and to hear appeals of decisions taken by national regulatory bodies. [Am. 100]

CHAPTER V

FINAL PROVISIONS

Article 58

The provisions of this Directive shall be without prejudice to Directive 2004/17/EC of the European Parliament and of the Council of 31 March 2004 coordinating the procurement procedures of entities operating in the water, energy, transport and postal services sectors(31).

Article 59

Derogations

1.  Until 15 March 2013, Ireland, as an island Member State with a rail link to only one other Member State, and the United Kingdom, in respect of Northern Ireland, on the same basis

   (a) do not need to entrust to an independent body the functions determining equitable and non-discriminatory access to infrastructure, as provided for in the first subparagraph of Article 7(1) in so far as that article obliges Member States to establish independent bodies performing the tasks referred to in Article 7(2); 
   (b)  do not need to apply the requirements set out in Article 27, Article 29(2), Articles 38, 39 and 42, Article 46(4), Article 46(6), Article 47, Article 49(3), Articles 50 to 53, Article 55 and Article 56 on condition that decisions on the allocation of infrastructure capacity or the charging of fees are open to appeal, if so requested in writing by a railway undertaking, before an independent body which shall take its decision within two months of the submission of all relevant information and whose decision shall be subject to judicial review.

2.  Where more than one railway undertaking licensed in accordance with Article 17, or, in the case of Ireland and Northern Ireland, a railway company so licensed elsewhere submits an official application to operate competing railway services in, to or from Ireland or Northern Ireland, the continued applicability of this derogation shall be decided upon in accordance with the advisory procedure referred to in Article 64(2).

The derogations referred to in paragraph 1 shall not apply where a railway undertaking operating railway services in Ireland or Northern Ireland submits an official application to operate railway services on, to or from the territory of another Member State, with the exceptions of Ireland for railway undertakings operating in Northern Ireland and the United Kingdom for railway undertakings operating in Ireland.

Within one year from the receipt of either the decision referred to in the first subparagraph of this paragraph or notification of the official application referred to in the second subparagraph of this paragraph, the Member State or States concerned (Ireland or the United Kingdom with respect to Northern Ireland) shall put in place legislation to implement the Articles referred to in paragraph 1.

3.  A derogation referred to in paragraph 1 may be renewed for periods not longer than five years. Not later than 12 months before the expiry date of the derogation a Member State availing itself of that derogation may address a request to the Commission for a renewed derogation. Any such request must be substantiated. The Commission shall examine such a request and adopt a decision in accordance with the advisory procedure referred to in Article 64(2). That procedure shall apply to any decision related to the request.

When adopting its decision the Commission shall take into account any development in the geopolitical situation and the development of the rail market in, from and to the Member State that requested the renewed derogation.

Article 59a

Article delegating power

The Commission shall be empowered to adopt delegated acts in accordance with Article 60a concerning the scope of market monitoring in accordance with Article 15(5), certain elements of the network statement in accordance with Article 27(2), certain principles of charging in accordance with Article 31(3) and (5), the temporary reduction of the infrastructure charges for ETCS in accordance with Article 32(3), certain elements of the performance scheme in accordance with Article 35(2), the criteria to be followed regarding the requirements with regard to applicants for infrastructure in accordance with Article 41(3), the schedule for the allocation process in accordance with Article 43(1), the regulatory accounts in accordance with Article 56a(5) and common principles and practices for making decision developed by regulatory bodies in accordance with Article 57(7). [Am. 101]

Article 60

Exercise of delegation

1.  Powers to adopt the delegated acts referred to in Articles 7(1) second subparagraph, 13(5) second subparagraph, 15(5) second subparagraph, 20 third paragraph, 27(2), 30(3) second subparagraph, 31(5) second subparagraph, 32(1) third subparagraph, 32(3), 35(2), 43(1) and 56(8) third subparagraph shall be conferred on the Commission for an indeterminate period of time.

2.  As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the European Parliament and to the Council.

3.  Powers to adopt delegated acts are conferred on the Commission subject to the conditions laid down in Articles 61 and 62.[Am. 102]

Article 60a

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 15(5), 27(2), 31(3) and 31(5), 32(3), 35(2), 41(3), 43(1), 56a(6), 57(7) shall be conferred on the Commission for a period of five years from ...(32). 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 15(5), 27(2), 31(3) and 31(5), 32(3), 35(2), 41(3), 43(1), 56a(6), 57(7) may be revoked at any time by the European Parliament or by the Council. A decision of revocation shall put an end to the delegation of the power specified in that decision. It shall take effect the day following the publication of the decision in the Official Journal of the European Union or at a later date specified therein. It shall not affect the validity of any delegated acts already in force.

4.  As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the European Parliament and to the Council.

5.  A delegated act adopted pursuant to Articles 15(5), 27(2), 31(3) and 31(5), 32(3), 35(2), 41(3), 43(1), 56a(6), 57(7) 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 2 months at the initiative of the European Parliament or the Council. [Am. 103]

Article 61

Revocation of delegation

1.  The delegation of powers referred to in Article 60(1) may be revoked by the European Parliament or by the Council.

2.  The institution which has commenced an internal procedure for deciding whether to revoke the delegation of powers shall inform the other legislator and the Commission at the latest one month before the final decision is taken, stating the delegated powers which could be subject to revocation and the reasons for such revocation.

3.  The revocation decision shall put an end to the delegation of the powers specified in that decision. It shall take effect immediately or on a later date specified therein. It shall not affect the validity of delegated acts already in force. It shall be published in the Official Journal of the European Union.[Am. 104]

Article 62

Objections to delegated acts

1.  The European Parliament and the Council may object to a delegated act within a period of two months from the date of notification. On the initiative of the European Parliament or the Council this period shall be extended by one month.

2.  If, on expiry of that period, neither the European Parliament nor the Council has objected to the delegated act, or if, before that date, the European Parliament and the Council have both informed the Commission that they have decided not to raise objections, the delegated act shall enter into force on the date stated in its provisions.

3.  If the European Parliament or the Council objects to an adopted delegated act, it shall not enter into force. The institution concerned shall state the reasons for objecting to the delegated act.[Am. 105]

Article 63

Implementing measures

1.  Member States may bring any question concerning the implementation of this Directive to the attention of the Commission. Appropriate decisions shall be adopted in accordance with the advisory procedure referred to in Article 64(2).

2.  At the request of a Member Statenational regulatory body and other competent national authorities or on its own initiative the Commission shall, in a specific case, examine the application and enforcement of the provisions of this Directive, and within. The national regulatory bodies shall maintain a database accessible to the European Commission of their draft decisions. Within two months of receipt of such a request the European Commission shall decide in accordance with the advisory procedure referred to in Article 64(2) whether the related measure may continue to be applied. The Commission shall communicate its decision to the European Parliament, the Council and to the Member States. [Am. 106]

Without prejudice to Article 258 of the Treaty, any Member State may refer the Commission's decision to the Council within a time limit of one month from the date of the decision. The Council, acting by a qualified majority, may in exceptional circumstances take a different decision within a period of one month from the date of the referral.At the request of a Member State or on its own initiative the Commission shall, in a specific case, examine the application and enforcement of the provisions of this Directive, and adopt a decision thereon in accordance with the examination procedure referred to in Article 64(3). [Am. 107]

3.  Measures designedThe Commission shall adopt implementing acts in accordance with Articles 10(2), 11(4), 14(2) and 17(5) to ensure the implementation of the Directive under uniform conditions. Those implementing acts shall be adopted by the Commission as implementing acts in accordance with the examination procedure referred to in Article 64(3). [Am. 108]

Article 64

Committee procedures

1.  The Commission shall be assisted by a Committee. That Committee shall be a committee within the meaning of Regulation (EU) No 182/2011. [Am. 109]

2.  Where reference is made to this paragraph, Article 3 and 74 of Decision 1999/468/ECRegulation (EU) No 182/2011 shall apply, having regard to the provisions of Article 8 thereof. [Am. 110]

3.  Where reference is made to this paragraph, Article 5, and Article 7 of Decision 1999/468/ECRegulation (EU) No 182/2011 shall apply, having regard to the provisions of Article 8 thereof. [Am. 111]

Article 65

Report

By 31 December 2012 at the latest, the Commission shall submit to the European Parliament, the Council, the European Economic and Social Committee and the Committee of the Regions a report on the implementation of Chapter II.

This report shall also assess the development of the market, including the state of preparation of a further opening-up of the rail market. In its report the Commission shall also analyse the different models for organising this market and the impact of this Directive on public service contracts and their financing. In so doing, the Commission shall take into account the implementation of Regulation (EC) No 1370/2007 and the intrinsic differences between Member States (density of networks, number of passengers, average travel distance). In its report the Commission shall, if appropriate, propose complementary measures to facilitate any such opening, and shall assess the impact of any such measures.

Article 66

Transposition

1.  Member States shall bring into force the laws, regulations and administrative provisions necessary to comply with Articles [...] and Annexes [...] by […](33). They shall forthwith communicate to the Commission the text of those provisions and a table showing the correlation between those provisions and this Directive. [Am. 112]

When Member States adopt those provisions, they shall contain a reference to this Directive or be accompanied by such a reference on the occasion of their official publication. They shall also include a statement that references in existing laws, regulations and administrative provisions to the Directives repealed by this Directive shall be construed as references to this Directive. Member States shall determine how such reference is to be made and how that statement is to be formulated.

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

The obligations for transposition and implementation of this Directive shall not apply to Cyprus and Malta for as long as no railway system is established within their territory.

Article 67

Repeal

Directives 91/440/EEC, 95/18/EC and 2001/14/EC, as amended by the Directives listed in Annex XI, Part A, are repealed with effect from […], without prejudice to the obligations of the Member States relating to the time limits for transposition into national law of the Directives set out in Part B of Annex XI.

References to the repealed Directives shall be construed as references to this Directive and shall be read in accordance with the correlation table in Annex XII.

Article 68

Entry into force

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

Articles [...] and Annexes [...] shall apply from […].

Article 69

Addressees

This Directive is addressed to the Member States.

Done at […]

For the European Parliament

The President

For the Council

The President

ANNEX I

List of railways infrastructure items 

Railway infrastructure consists of the following items, provided they form part of the permanent way, including sidings, but excluding lines situated within railway repair workshops, depots or locomotive sheds, and private branch lines or sidings:

–  Ground area;

–  Track and track bed, in particular embankments, cuttings, drainage channels and trenches, masonry trenches, culverts, lining walls, planting for protecting side slopes etc.; passenger and goods platforms; four-foot way and walkways; enclosure walls, hedges, fencing; fire protection strips; apparatus for heating points; crossings, etc.; snow protection screens;

–  Engineering structures: bridges, culverts and other overpasses, tunnels, covered cuttings and other underpasses; retaining walls, and structures for protection against avalanches, falling stones, etc.;

–  Level crossings, including appliances to ensure the safety of road traffic;

–  Superstructure, in particular: rails, grooved rails and check rails; sleepers and longitudinal ties, small fittings for the permanent way, ballast including stone chippings and sand; points, crossings, etc.; turntables and traversers (except those reserved exclusively for locomotives);

–  Access way for passengers and goods, including access for pedestrians and by road; [Am. 113]

–  Safety, signalling and telecommunications installations on the open track, in stations and in marshalling yards, including plant for generating, transforming and distributing electric current for signalling and telecommunications; buildings for such installations or plant; track brakes;

–  Lighting installations for traffic and safety purposes;

–  Plant for transforming and carrying electric power for train haulage: sub-stations, supply cables between sub-stations and contact wires, catenaries and supports; third rail with supports;

–  Buildings used by the infrastructure department.

ANNEX II

 Essential functions of an infrastructure manager

 (referred to in Article 7) 

List of essential functions referred to in Article 7:

– decision making on train path allocation, including both the definition and the assessment of availability and the allocation of individual train paths,

– decision making on infrastructure charging, including determination and collection of the charges,[Am. 114]

ANNEX III

Services to be supplied to the railway undertakings

(referred to in Article 13)

1.  The minimum access package shall comprise:

   (a) handling of requests for railway infrastructure capacity;
   (b) the right to utilise capacity which is granted;
   (c) use of running track points and junctions;
   (d) train control including signalling, regulation, dispatching and the communication and provision of information on train movement;
   (e) use of electrical supply equipment for traction current, where available;
   (f) refuelling facilities, where available;
   (g) all other information required to implement or operate the service for which capacity has been granted.

2.  Access shall also be given to the following services facilities and the supply of, when they exist, and to the services supplied in the followingthese facilities:

   (a) passenger stations, their buildings and other facilities, including travel information services and a suitable common location for ticketing and travel informationservices;
   (b) freight terminals;
   (c) marshalling yards;
   (d) train formation facilities;
   (e) storage sidings;
   (f) maintenance and other technical facilities;
   (g) port facilities which are linked to rail activities;
   (h) relief facilities, including towing;
   (ha) refuelling facilities and supply of fuel in these facilities, charges for which shall be shown on the invoices separately from charges for using refuelling facilities.

3.  Additional services may comprise:

   (a) traction current, the supplier of which a railway undertaking shall be free to choose; where the supplier of traction current is identical to the operator of the facility charges for whichtraction current shall be shown on the invoices separately from charges for using the electrical supply equipment;
   (aa) conditions and prices for the use of power supply and transmission lines which shall be equitable for all operators;
   (b) pre-heating of passenger trains;
   (c) supply of fuel, charges for which shall be shown on the invoices separately from charges for using refuelling facilities; [Ams 115 and 165]
   (d) tailor-made contracts for:
  

– control of transport of dangerous goods,

  

– assistance in running abnormal trains.

4.  Ancillary services may comprise:

   (a) access to telecommunication networks;
   (b) provision of supplementary information;
   (c) technical inspection of rolling stock.

ANNEX IV

Information for Rail Market Monitoring

(referred to in Article 15)

1.  Evolution of rail transport performance and compensation of Public Service Obligations (PSO):

2007

%-variation compared to previous year

2008

%-variation compared to previous year

Freight (in tkm(34)) total

International

Transit

National

Passengers (in pkm(35)) total

international

Transit

national

of which under PSO:

Paid compensation for PSO (in euro):

2.  Shares of railway undertakings in total transport performance at the end of 2008 (listing railway undertakings with market shares in tkm/pkm ≥ 1%):

Railway undertakings (FREIGHT)

Share (% of tkm)

Total market share of non-incumbents

Railway undertakings (PASSENGERS)

Share (% of pkm)

Total market share of non-incumbents

3.  Regulatory Bodies:

Last year

Year before

No of staff dealing with regulatory issues related to rail market access:

No of complaints dealt with:

No of ex officio investigations dealt with:

No of decisions taken

- on complaints:

- on ex officio investigations:

4.  National legislation and regulatory acts relevant to railway transport issued last year.

5.  Relevant developments as regards restructuring of the incumbent railway undertaking and adoption/implementation of national transport strategies over the past year.

6.  Important training initiatives/measures in the field of railway transport taken in your country last year.

7.  Employment of railway undertakings and infrastructure managers at the end of last year.

Total staff of railway undertakings

- of which train drivers

- of which other mobile staff working cross-border

Total staff of infrastructure managers

Other staff including in rail related service companies (e.g. maintenance workshops, terminal operators, training, train driver leasing, energy supply)

8.  Status of the multi-annual infrastructure management contracts (MAC) in force last year:

Infrastructure manager

Length of the network covered by the contract

Time span of the contract starting from [date]

Definition of performance indicators agreed (Y/N)?

If yes, please specify.

Total compensation paid

(in euro/year)

9.  Infrastructure expenditure (conventional network and high-speed network):

Maintenance

Renewals

Enhancements

Conventional lines last year.:

(in euro)

(in km worked on)

Forecast for this year

(in euro)

(in km worked on)

High-speed lines last year (in euro)

(in km worked on)

Forecast for this year

(in euro)

(in km worked on)

10.  Estimated infrastructure maintenance backlog at the end of last year.

Conventional lines last year

(in euro)

(in km to be worked on)

High-speed lines last year

(in euro)

(in km to be worked on)

11.  Investments in the high-speed rail network:

Lines

Km of lines put into service last year

Km being put into service at a conventional planning horizon (in 10/20 years)

12.  Length of railway network at the end of last year:

Conventional lines (in km)

High-speed lines (in km)

13.  Track access charges last year.

Train category

Average charge in EUR/train km, excluding cost of the use of electricity

1 000 gross tonne freight train

500 gross tonne intercity passenger train

140 gross tonne suburban passenger train

14.  Existence of a performance regime set up according to Article 35 of this Directive (if yes, its main features).

15.  Number of active licences issued by competent national authority

Active licences on 31 December, last year

Licences withdrawn

New licences issued

Active licences on 31 December, one year before

Total

thereof:

- for freight transport

- for passenger transport

16.  Status of ERTMS deployment.

16a.  Incidents, accidents and serious accidents in accordance with Directive 2004/49/EC which occurred during the previous year. [Am. 116]

17.  Other relevant developments

ANNEX V

Financial fitness

(referred to in Article 20)

1.  Financial fitness will be verified by means of a railway undertaking's annual accounts or, in the case of applicant undertakings unable to present annual accounts, a balance sheet. Detailed particulars must be provided, in particular on the following aspects:

   (a) available funds, including the bank balance, pledged overdraft provisions and loans;
   (b) funds and assets available as security;
   (c) working capital;
   (d) relevant costs, including purchase costs of payments to account for vehicles, land, buildings, installations and rolling stock;
   (e) charges on an undertaking's assets.

2.  In particular, an applicant is not financially fit if considerable arrears of taxes or social security are owed as a result of the undertaking's activity.

3.  The authority may in particular require the submission of an audit report and suitable documents from a bank, public savings bank, accountant or auditor. These documents must include information concerning the matters referred to in point 1. [Am. 117]

ANNEX VI

Contents of the network statement

(referred to in Article 27)

The sections of the network statement referred to in Article 27 shall contain the following information: [Am. 118]

1.  A section setting out the nature of the infrastructure which is available to railway undertakings and the conditions of access to it. The information in this section shall be consistent with or refer to the rail infrastructure registers to be published in accordance with Article 35 of Directive 2008/57/EC.[Am. 119]

2.  AThe section on charging principles and tariffs. This shall contain appropriate details of the charging scheme as well as sufficient information on charges as well as other relevant information on access applying to the services listed in Annex III which are provided by only one supplier. It shall detail the methodology, rules and, where applicable, scales used for the application of Articles 31 to 3631(4) and (5) to 36, as regards both costs and charges. It shall contain information on changes in charges already decided upon or foreseen in the next five years. [Am. 120]

3.  AThe section on the principles and criteria for capacity allocation. This shall set out the general capacity characteristics of the infrastructure which is available to railway undertakings and any restrictions relating to its use, including likely capacity requirements for maintenance. It shall also specify the procedures and deadlines which relate to the capacity allocation process. It shall contain specific criteria which are employed during that process, in particular: [Am. 121]

   (a) the procedures according to which applicants may request capacity from the infrastructure manager;
   (b) the requirements governing applicants;
   (c) the schedule for the application and allocation processes and the procedures which shall be followed to request information on the scheduling in accordance with Article 45(4);
   (d) the principles governing the coordination process and the dispute resolution system made available as part of this process;
   (e) the procedures which shall be followed and criteria used where infrastructure is congested;
   (f) details of restrictions on the use of infrastructure;
   (g) conditions by which account is taken of previous levels of utilisation of capacity in determining priorities for the allocation process.
  

It shall detail the measures taken to ensure adequate treatment of freight services, international services and requests subject to the ad hoc procedure. It shall contain a template form for capacity requests. The infrastructure manager shall also publish detailed information about the allocation procedures for international train paths. 

4.  A section on information relating to the application for a licence referred to in Article 25 and rail safety certificates issued in accordance with Directive 2004/49/EC(36).

5.  A section on information about procedures for dispute resolution and appeal relating to matters of access to rail infrastructure and services and to the performance scheme referred to in Article 35.[Am. 122]

6.  A section on information on access to and charging for service facilities referred to in Annex III. Operators of service facilities which are not controlled by the infrastructure manager shall supply information on charges for gaining access to the facility and for the provision of services, and information on technical access conditions for inclusion in the network statement.[Am. 123]

7.  A model agreement for the conclusion of framework agreements between an infrastructure manager and an applicant in accordance with Article 42.[Am. 124]

ANNEX VII

Basic principles and parameters of contractual agreements between competent authorities and infrastructure managers

(referred to in Article 30)

The contractual agreement shall specify the provisions of Article 30 including:

   1. the scope of the agreement as regards infrastructure and service facilities, structured according to Annex III. It shall cover all aspects of infrastructure development, including maintenance and renewal of the infrastructure already in operation. Construction of new infrastructure may be included as a separate item;
   2. the structure of agreed payments, including indicative forecasts of the expected level thereof, apportioned to the infrastructure services listed in Annex III, to maintenance, to construction of new infrastructureincluding renewal and upgrading, and to dealing with existing maintenance backlogs; payments to new infrastructure may be included as a separate item;
  3. user-oriented performance targets, in the form of indicators and quality criteria covering:
   (a) train performance and customer satisfaction, in particular the effect of infrastructure quality on train reliability,
   (b) network capacity and the availability of infrastructure,
   (c) asset management,
   (d) activity volumes,
   (e) safety levels,
   (f) environmental protection;
   4. the amount of possible maintenance backlog, the expenditure earmarked for dealing with it and the assets which will be phased out of use and therefore trigger different financial flows;
   5. the incentives in accordance with Article 30(1);
   6. minimum reporting obligations for the infrastructure manager in terms of content and frequency of reporting, including information to be published annually;
   7. a mechanism that ensures that a significant share of cost reductions is passed on to users in the form of a reduced level of charges, in accordance with the requirements of Article 30(1), without compromising the balancing of the infrastructure manager's accounts as required under Article 8(4);
   8. the agreed duration of the agreement, which shall be synchronised and consistent with the duration of the infrastructure manager's business plan, concession or licence, and the charging framework and rules set by the State;
   9. rules for dealing with major disruptions of operations and emergency situations, including a minimum service level in case of strikes, if any, and early termination of the contractual agreement, and timely information of users; [Am. 125]
   10. remedial measures to be taken if either of the parties is in breach of its contractual obligations; this includes conditions and procedures for renegotiation and early termination, including the role of the regulatory body.

ANNEX VIII

Requirements for costs and charges related to railway infrastructure

(referred to in Articles 31(3) and (5); 32(1) and (3) and Article 35)

1.  Direct costs of the train service referred to in Article 31(3), which are related to infrastructure wear and tear, shall exclude the following items:

   (a) Network-wide overhead costs, including salaries and pensions;
   (b) Interest payable on capital;
   (c) More than one tenth of costs related to scheduling, train path allocation, traffic management, dispatching and signalling of a train run;
   (d) Depreciation of information, communication or telecommunication equipment;
   (e) Costs related to real estate management, in particular acquisition, selling, dismantling, decontamination, recultivation or renting of land or other fixed assets;
   (f) Social services, Schools, kindergartens, restaurants; [Am. 126]
   (g) Costs related to acts of God, accidents, service disruptions.

When direct costs exceed, on a network-wide average, 35 % of average costs of maintaining, managing and renewing the network calculated on the basis of a train kilometer run, the infrastructure manager shall justify this in detail to the regulatory body. The average costs calculated for this purpose shall exclude cost elements referred to in points (e), (f) or (g).

2.  Noise-differentiated infrastructure charges referred to in Article 31(5) shall meet the following requirements:

(a)  The charge shall be differentiated to reflect the composition of a train of vehicles respecting limit values for noise set by Commission Decision 2006/66/EC of 23 December 2005 concerning the technical specification for interoperability relating to the subsystem rolling stock ‐ noise of the trans-European conventional rail system(37).

(b)  Priority shall be given to freight wagons.

(c)  Differentiation according to the noise emission levels of freight wagons shall allow the payback of investments within a reasonable period for retrofitting wagons with the most economically viable low-noise braking technology available.

(d)  Further elements to differentiate charges may be considered such as:

   (i) time of day, in particular night time for noise emissions;
   (ii) train composition with an impact on the level of noise emissions;
   (iii) sensitivity of the area affected by local emissions;
   (iv) further classes for noise emissions significantly lower than the one referred to under point (a).

3.  The infrastructure manager shall define homogeneous market segments and corresponding mark-ups in the sense of Article 32(1), on the basis of a market study and after consultation of the applicants. With the exception of carriages referred to in Article 32(1a), the infrastructure manager shall demonstrate to the regulatory body the ability of a train service to pay mark-ups according to Article 32(1), whereby each of the services listed under a single one of the following points shall belong to different market segments:In the event that the infrastructure manager levies mark-ups, it shall develop a list of market segments to which the regulatory body shall give its prior approval.

   (a) Passenger vs freight services;
   (b) Trains carrying dangerous goods vs other freight trains;
   (c) Domestic vs international services;
   (d) Combined transport vs direct trains;
   (e) Urban or regional vs interurban passenger services;
   (f) Block trains vs single wagon load trains;
   (g) Regular vs occasional train services. [Am. 127]

4.  The performance scheme as referred to in Article 35 shall be based on the following basic principles:

(a)  In order to achieve an agreed level of service quality and not to endanger the economic viability of a service, the infrastructure manager shall agree with applicants, after approval by the regulatory body, the main parameters of the performance scheme, in particular the value of delays, the thresholds for payments due under the performance scheme relative both to individual train runs and to all train runs of a railway undertaking in a given period of time;[Am. 128]

(b)  The infrastructure manager shall communicate to the railway undertakings the timetable, on the basis of which delays will be calculated, at least five days before the train run;[Am. 129]

  (c) All delays shall be attributable to one of the following delay classes and sub-classes:
   1. Operation/planning management attributable to the infrastructure manager
   1.1. Time-table compilation
   1.2. Formation of train
   1.3. Mistakes in operations procedure
   1.4. Wrong application of priority rules
   1.5. Staff
   1.6. Other causes
   2. Infrastructure installations attributable to the infrastructure manager
   2.1. Signalling installations
   2.2. Signalling installations at level crossings
   2.3. Telecommunications installations
  2.4. Power supply equipment
   2.5. Track
   2.6. Structures
   2.7. Staff
   2.8. Other causes
   3. Civil engineering causes attributable to the infrastructure manager
   3.1. Planned construction work
   3.2. Irregularities in execution of construction work
   3.3. Speed restriction due to defective track
   3.4. Other causes
   4. Causes attributable to other infrastructure managers
   4.1. Caused by previous infrastructure manager
   4.2. Caused by next infrastructure manager
   5. Commercial causes attributable to the railway undertaking
   5.1. Exceeding the stop time
   5.2. Request of the railway undertaking
   5.3. Loading operations
   5.4. Loading irregularities
   5.5. Commercial preparation of train
   5.6. Staff
   5.7. Other causes
   6. Rolling stock attributable to the railway undertaking
   6.1. Roster planning/ re-rostering
   6.2. Formation of train by railway undertaking
   6.3. Problems affecting coaches (passenger transport)
   6.4. Problems affecting wagons (freight transport)
   6.5. Problems affecting cars, locomotives and rail cars
   6.6. Staff
   6.7. Other causes
   7. Causes attributable to other railway undertakings
   7.1. Caused by next railway undertaking
   7.2. Caused by previous railway undertaking
   8. External causes attributable to neither infrastructure manager nor railway undertaking
   8.1. Strike
   8.2. Administrative formalities
   8.3. Outside influence
   8.4. Effects of weather and natural causes
   8.5. Delay due to external reasons on the next network
   8.6. Other causes
   9. Secondary causes attributable to neither infrastructure manager nor railway undertaking
   9.1. Dangerous incidents, accidents and hazards
   9.2. Track occupation caused by the lateness of the same train
   9.3. Track occupation caused by the lateness of another train
   9.4. Turn-around
   9.5. Connection
   9.6. Further investigation needed

(d)  Wherever possible, delays shall be attributed to a single organisation, considering both the responsibility for causing the disruption and the ability to re-establish normal traffic conditions.

(e)  The calculation of payments shall take into account the average delay of train services of similar punctuality requirements.

(f)  The infrastructure manager shall as soon as possible communicate to the railway undertakings a calculation of payments due under the performance scheme. This calculation shall encompass all delayed train runs within a period of at most one month.

(g)  Without prejudice to the existing appeal procedures and to the provisions of Article 50, in case of disputes relating to the performance scheme, a dispute resolution system shall be made available in order to settle such matters promptly. If this system is applied, a decision shall be reached within a time limit of 10 working days.[Am. 130]

(h)  Once a year, the infrastructure manager shall publish the annual average level of service quality achieved by the railway undertakings on the basis of the main parameters agreed in the performance scheme.[Am. 131]

5.  The temporary reduction of the infrastructure charge for ETCS equipped trains, as referred to in Article 32(3) shall be established as follows:

For freight transport:

Year

2015

2016

2017

2018

2019

2020

2021

2022

2023

2024

Discount

5%

20%

5%

20%

5%

20%

5%

15%

5%

10%

5%

8%

4%

6%

3%

4%

2%

3%

1%

3%

For passenger transport:

Year

2015

2016

2017

2018

2019

2020

2021

2022

2023

2024

Discount

10%

10%

10%

10%

10%

5%

8%

5%

6%

5%

5%

4%

5%

2%

[Am. 132]

ANNEX IX

Schedule for the allocation process

 (referred to in Article 43) 

1.  The working timetable shall be established once per calendar year.

2.  The change of working timetable shall take place at midnight on the second Saturday in December. Where a change or adjustment is carried out after the winter, in particular to take account, where appropriate, of changes in regional passenger traffic timetables, it shall take place at midnight on the second Saturday in June and at such other intervals between these dates as are required. Infrastructure managers may agree on different dates and in this case they shall inform the Commission if international traffic may be affected.

3.  The final date for receipt of requests for capacity to be incorporated into the working timetable shall be no more than 12 months in advance of the entry into force of the working timetable.

4.  No later than 11 months before the working timetable comes into force, the infrastructure managers shall ensure that provisional international train paths have been established in cooperation with other relevant infrastructure managers. Infrastructure managers shall ensure that as far as possible these are adhered to during the subsequent processes.

5.  No later than four months after the deadline for submission of bids by applicants, the infrastructure manager shall prepare a draft timetable.

ANNEX X

Regulatory accounts to be supplied to the regulatory body

(referred to in Article 56(8))

The regulatory accounts tobe provided to the regulatory body according to Article 56(8) shall contain at least the following elements:

1.  Account separation

The regulatory accounts, to be supplied by infrastructure managers and all undertakings or other entities performing or integrating different categories of rail transport or receiving public funds, shall:

   (a) include separate profit and loss accounts and balance sheets for freight, passenger and infrastructure management activities;
   (b) give detailed information on individual sources and uses of public funds and other forms of compensation in a transparent and detailed manner, including a detailed review of the businesses' cashflows in order to determine in what way these public funds and other forms of compensation have been used;
   (c) include cost and profit categories making it possible to determine whether cross-subsidies between these different activities occurred, according to the requirements of Article 6 and as deemed necessary and proportionate by the regulatory body; [Am. 133]
   (d) contain a sufficient level of detail as deemed necessary and proportionate by the regulatory body;
   (e) be accompanied by a document which sets out the methodology used to allocate costs between different activities.

Where the regulated firm is part of a group structure, regulatory accounts shall be prepared for the group as a whole, and for each subsidiary. In addition, full details of inter-company payments shall be included in the regulatory accounts in order to ensure that public funds have been appropriately used.

2.  Monitoring of track access charges

Regulatory accounts, to be supplied by infrastructure managers to the regulatory bodies, shall

   (a) set out different cost categories, in particular providing sufficient information on marginal/direct costs of the different services or groups of services so that infrastructure charges can be monitored;
   (b) provide sufficient information to allow monitoring of the individual charges paid for services (or groups of services); if required by the regulatory body, this information shall contain data on volumes of individual services, prices for individual services and total revenues for individual services paid by internal and external customers;
   (c) state costs and revenues for individual services (or groups of services) using the relevant cost methodology, as required by the regulatory body, to identify potentially anti-competitive pricing (cross-subsidies, predatory pricing and excessive pricing).

3.  Indication of financial performance

Regulatory accounts, to be supplied by infrastructure managers to the regulatory bodies, shall include:

   (a) a statement of financial performance;
   (b) a summary expenditure statement;
   (c) a maintenance expenditure statement;
   (d) an operating expenditure statement;
   (e) an income statement;
   (f) supporting notes that amplify and explain the statements where appropriate.

4.  Other issues

In the case of infrastructure managers, the regulatory accounts shall be audited by an independent auditor. The auditor's report shall be annexed to the regulatory accounts.

The regulatory accounts shall contain profit and loss accounts and balance sheets and shall be reconciled to the company's statutory accounts and explanations shall be given for all reconciling items.

ANNEX XI

Part A

Repealed Directives with list of successive amendments

(referred to in Article 67)

Council Directive 91/440/EEC

(OJ L 237, 24.8.1991, p. 25)

Directive 2001/12/EC of the European Parliament and of the Council

(OJ L 75, 15.3.2001, p. 1)

Directive 2004/51/EC of the European Parliament and of the Council

(OJ L 164, 30.4.2004, p. 164)

Council Directive 2006/103/EC

(OJ L 363, 20.12.2006, p. 344)

only Point B of the Annex

Directive 2007/58/EC of the European Parliament and of the Council

(OJ L 315, 3.12.2007, p. 44)

only Article 1

Council Directive 95/18/EC

(OJ L 143, 27.6.1995, p. 70)

Directive 2001/13/EC of the European Parliament and of the Council

(OJ L 75, 15.3.2001, p. 26)

Directive 2004/49/EC of the European Parliament and of the Council

(OJ L 164, 30.4.2004, p. 44)

only Article 29

Directive 2001/14/EC of the European Parliament and of the Council

(OJ L 75, 15.3.2001, p. 29)

Commission Decision 2002/844/EC

(OJ L 289, 26.10.2002, p. 30)

Directive 2004/49/EC of the European Parliament and of the Council

(OJ L 164, 30.4.2004, p. 44)

only Article 30

Directive 2007/58/EC of the European Parliament and of the Council

(OJ L 315, 3.12.2007, p. 44)

only Article 2

Part B

List of time-limits for transposition into national law

(referred to in Article 67)

Directive

Time-limit for transposition

91/440/EEC

1 January 1993

95/18/EC

27 June 1997

2001/12/EC

15 March 2003

2001/13/EC

15 March 2003

2001/14/EC

15 March 2003

2004/49/EC

30 April 2006

2004/51/EC

31 December 2005

2006/103/EC

1 January 2007

2007/58/EC

4 June 2009

ANNEX XII

Correlation Table

Directive 91/440/EEC

Directive 95/18/EC

Directive 2001/14/EC

This Directive

Article 2(1)

Article 1(1)

Article 1(1) subparagraph 1

Article 1(1)

Article 1(2)

Article 1(2)

Article 2(2)

Article 2(1)

Article 1(2)

Article 2(2)

Article 1(3)

Article 2(3)

Article 2(3)

Article 1(3)

Article 1(4)

Article 2(4)

Article 2(4)

Article 2(5)

Article 3

Article 3(1) to (8)

Article 2(b) and (c)

Article 3(9) and (10)

Article 2

Article 3(11) to (21)

Article 4

Article 4

Article 5

Article 5

Article 6(1) and (2)

Article 6(1), (2)

Article 9(4)

Article 6(3)

Article 6 (1) second subparagraph

Article 6(4)

Article 6(3)

Article 7(1)

Articles 4(2) and 14(2)

Article 7(2)

Article 7(1), (3) and (4)

Article 8(1), (2) and (3)

Article 6(1)

Article 8(4)

Article 9(1) and (2)

Article 9(1) and (2)

Article 10(3) and (3a)

Article 10(1) and (2), first, second and third subparagraph

Article 10(3b)

Article 11(1), (2) and (3)

Article 11(4)

Article 10(3c) and (3e)

Article 11(5) and (6)

Article 10(3f)

Article 12

Article 5

Article 13

Article 14

Article 10b

Article 15

Article 3

Article 16

Article 4(1) to (4)

Article 17(1) to (4)

Article 5

Article 18

Article 6

Article 19

Article 7

Article 20

Article 8

Article 21

Article 9

Article 22

Article 4(5)

Article 23(1)

Article 10

Article 23(2) and (3)

Article 11

Article 24

Article 15

Article 25

Article 1(1) subparagraph 2

Article 26

Article 3

Article 27

Article 10(5)

Article 28

Article 4(1) and (3) to (6)

Article 29

Article 6(2) to (5)

Article 30

Article 7

Article 31

Article 8

Article 32

Article 9

Article 33

Article 10

Article 34

Article 11

Article 35

Article 12

Article 36

Article 13

Article 38

Article 14(1) and (3)

Article 39

Article 15

Article 40

Article 16

Article 41

Article 17

Article 42

Article 18

Article 43

Article 19

Article 44

Article 20(1), (2) and (3)

Article 45(1), (2) and (3)

Article 45(4)

Article 20(4)

Article 45(5)

Article 21

Article 46

Article 22

Article 47

Article 23

Article 48

Article 24

Article 49

Article 25

Article 50

Article 26

Article 51

Article 27

Article 52

Article 28

Article 53

Article 29

Article 54

Article 30(1)

Article 55

Article 30(2)

Article 56(1)

Article 31

Article 57

Article 12

Article 58

Article 14a

Article 33(1),(2) and (3)

Article 59

Article 60

Article 61

Article 62

Article 11

Article 34

Article 63

Article 11a

Article 35(1),(2) and (3)

Article 64

Article 10(9)

Article 65

Article 38

Article 66

Article 67

Article 17

Article 39

Article 68

Article 16

Article 18

Article 40

Article 69

Annex I

Annex II

Annex II

Annex II

Annex III

Annex IV

Annex

Annex V

Annex I

Annex VI

Annex VII

Annex VIII

Annex III

Annex IX

Annex X

(1) OJ C 236 E, 12.8.2011, p. 125.
(2) OJ C 132, 3.5.2011, p. 99.
(3) OJ C 104, 2.4.2011, p. 53.
(4) OJ C 77, 28.3.2002, p. 1.
(5) OJ C 132, 3.5.2011, p. 99.
(6) OJ C 104, 2.4.2011, p. 53.
(7) OJ L 237, 24. 8.1991, p. 25.
(8) OJ L 143, 27.6.1995, p. 70.
(9) OJ L 75, 15.3.2001, p. 29.
(10) OJ L 75, 15.3.2001, p. 1.
(11) OJ L 75, 15.3.2001, p. 26.
(12) OJ L 315, 3.12.2007, p. 1.
(13) OJ L 164, 30.4.2004, p. 1.
(14) OJ L 184, 17.7.1999, p. 23.
(15) OJ L 55, 28.2.2011, p. 13.
(16) OJ C 321, 31.12.2003, p. 1.
(17) OJ C 175 E, 10.7.2008, p. 551.
(18) OJ C 236 E, 12.8.2011, p. 125.
(19)* Date of entry into force of this Directive.
(20) OJ L 204, 5.8.2010, p. 1.
(21) OJ L 278, 23.12.1970, p. 1.
(22)* Two years after the entry into force of this Directive.
(23)* Date of entry into force of this Directive.
(24)* 18 months after the entry into force of this Directive.
(25)* 18 months after the entry into force of this Directive.
(26) OJ L 84, 26.3.2008, p. 132.
(27) OJ L 164, 30.4.2004, p. 44.
(28) OJ L 315, 3.12.2007, p. 14.
(29) OJ L 191, 18.7.2008, p. 1.
(30)* Two years after the publication of this Directive.
(31) OJ L 134, 30.4.2004, p. 1.
(32)* Date of entry into force of this Directive.
(33)* 12 months from the entry into force of this Directive.
(34) Tonne-kilometre.
(35) Passenger-kilometre.
(36) OJ L 164, 30.4.2004, p. 44.
(37) OJ L 37, 8.2.2006, p.1.


Climate change conference in Durban
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European Parliament resolution of 16 November 2011 on the climate change conference in Durban (COP 17)
P7_TA(2011)0504B7-0571/2011

The European Parliament,

–  having regard to the United Nations Framework Convention on Climate Change (UNFCCC) and to the Kyoto Protocol to the UNFCCC,

–  having regard to the results of the United Nations Climate Change Conference in Bali in 2007 and to the Bali Action Plan (Decision 1/COP 13),

–  having regard to the 15th Conference of the Parties (COP 15) to the UNFCCC and the fifth Conference of the Parties serving as the Meeting of the Parties to the Kyoto Protocol (COP/MOP5) held in Copenhagen, Denmark, from 7 to 18 December 2009, and to the Copenhagen Accord,

–  having regard to the 16th Conference of the Parties (COP 16) to the UNFCCC and the sixth Conference of the Parties serving as the Meeting of the Parties to the Kyoto Protocol (COP/MOP6), held in Cancún, Mexico, from 29 November to 10 December 2010, and to the Cancún Agreements,

–  having regard to the forthcoming 17th Conference of the Parties (COP 17) to the UNFCCC and the seventh Conference of the Parties serving as the Meeting of the Parties to the Kyoto Protocol (COP/MOP7), to be held in Durban, South Africa, from 28 November to 9 December 2011,

–  having regard to the EU climate and energy package of December 2008,

–  having regard to Directive 2008/101/EC of the European Parliament and of the Council of 19 November 2008 amending Directive 2003/87/EC so as to include aviation activities in the scheme for greenhouse gas emission allowance trading within the Community(1),

–  having regard to its resolutions of 25 November 2009 on the EU strategy for the Copenhagen Conference on Climate Change(2), of 10 February 2010 on the outcome of the Copenhagen Conference on Climate Change (COP 15)(3) and of 25 November 2010 on the Climate Change Conference in Cancun(4),

–  having regard to its resolution of 4 February 2009 on ‘2050: The future begins today – Recommendations for the EU's future integrated policy on climate change’(5),

–  having regard to the Commission White Paper on ‘adapting to climate change: towards a European Framework for action’ (COM(2009)0147) and to its resolution of 6 May 2010(6) thereon, and to the Intergovernmental Panel on Climate Change (IPCC) Special Report on Renewable Energy Sources and Climate Change Mitigation of 9 May 2011(7),

–  having regard to its resolution of 11 May 2011 on the Commission Green Paper on forest protection and information in the EU: preparing forests for climate change(8),

–  having regard to the Council Conclusions of 14 March 2011 on the follow-up to the Cancún Conference and to the ECOFIN Conclusions of 17 May 2011 on Climate Change,

–  having regard to the decisions taken at the Tenth Conference of the Parties (COP 10) of the United Nations Convention on Biological Diversity (CBD), in particular the COP 10 (2010) Decision on Geoengineering,

–  having regard to the joint statement of 20 December 2005 by the Council and the representatives of the Governments of the Member States meeting within the Council, the European Parliament and the Commission on European Union Development Policy: ‘The European Consensus’, and in particular points 22, 38, 75, 76 and 105 thereof(9),

–  having regard to the Report of the House of Commons' Environmental Audit Committee, entitled ‘The impact of UK overseas aid on environmental protection and climate change adaptation and mitigation’, which was published on 29 June 2011,

–  having regard to the United Nations Millennium Declaration of 8 September 2000, which set out the Millennium Development Goals (MDGs) as objectives established jointly by the international community for the elimination of poverty,

–  having regard to the Council Conclusions of 25 June 2009 on integrating environment in development cooperation,

–  having regard to the Nairobi Declaration of 25-29 May 2009 on the African Process for Combating Climate Change,

–  having regard to the question of 27 September 2011 to the Council on the climate change conference in Durban (COP 17) (O-000216/2011 - B7-0639/2011) and to the question of 27 September 2011 to the Commission on the climate change conference in Durban (COP 17) (O-000217/2011 - B7-0640/2011),

–  having regard to Rules 115(5) and 110(2) of its Rules of Procedure,

A.  whereas scientific evidence overwhelmingly demonstrates the existence of climate change and its impacts, thus rendering international action imperative to meet one of the major challenges of the 21st century and beyond;

B.  whereas a legally binding international agreement consistent with the principle of a ‘common but differentiated responsibility’ must remain the overall goal, thus recognising the leading role to be played by developed countries and the appropriate contribution to be made by developing countries;

C.  whereas the existing commitments and pledges made under the Copenhagen Accord and formalised within the Cancún Agreements are insufficient to meet the objective of limiting the overall global annual mean surface temperature increase to 2ºC (‘the 2ºC objective’);

D.  whereas the Commission roadmap for moving to a competitive low-carbon economy in 2050 and setting long-term targets reconfirms the EU's objective of reducing greenhouse gas emissions by 80-95% by 2050 in order to keep climate change below 2°C, whilst concluding that 80% of the reduction by 2050 has to be achieved internally within the EU;

E.  whereas it is important to build on the trust and transparency restored during the COP 16 Conference in Cancún, in order to maintain the political momentum required to pave the way for a comprehensive international agreement with concrete goals and corresponding policy measures;

F.  whereas the Cancún Agreements urge developed countries to increase the ambition of their emission reduction targets, with a view to reducing their aggregate greenhouse gas emissions to a level consistent with the IPCC's AR4 25-40% range for 2020 as compared to 1990 levels;

G.  whereas collective greenhouse gas emission reductions in the developed countries at the high end of the IPCC's AR4 25-40% range for 2020 as compared to 1990 levels are necessary for the 2°C objective to be achieved with only a 50% degree of probability;

H.  whereas radical changes in the geo-political world over the past decades, with some developing countries now being major economic and political players, need to be taken into account, leading to a new balance of power and influence, entailing new roles and new responsibilities;

I.  whereas European countries face critical choices to preserve their future prosperity and security, and whereas moving to a domestic greenhouse gas emissions reduction target which is in line with the EU's climate objectives can be combined with a healthier economy, and an increase in green jobs and innovation;

J.  whereas according to some estimates women represent 70% of the poor worldwide, work two-thirds of the working hours but own less than 1% of property, and are therefore less able to adapt, and more vulnerable, to climate change;

K.  whereas Article 7 of the Cancun Agreements stresses that ‘gender equality and the effective participation of women and indigenous peoples are important for effective action on all aspects of climate change’;

L.  whereas substantial differences in scope, structure and design exist between Land Use, Land-Use Change and Forestry (LULUCF) reporting under the UNFCCC Convention and LULUCF accounting under the Kyoto Protocol, undermining Parties' climate change mitigation efforts;

M.  whereas accounting for ‘forest management’ activity, which is responsible for the majority of LULUCF sector emissions, is voluntary under the Kyoto Protocol;

N.  whereas the 2010 World Development Report estimates that the overall incremental cost of mitigation and adaptation in poor countries will be between USD 170 billion and USD 275 billion per year by 2030;

O.  whereas any climate-change agreement should take into account existing development processes both at international level (namely the MDGs and the Paris Declaration on aid effectiveness) and at national level (National Adaptation Programmes of Action);

P.  whereas EU aid should help developing countries to phase out high-carbon development and build up low-carbon infrastructure, and whereas EU aid should also support local economic development, green jobs and poverty reduction and must not be tied to the involvement of or used to subsidise EU businesses;

Q.  whereas the current scale of the World Bank's lending to support fossil fuel-powered energy generation must be in line with the objective of reducing greenhouse gas emissions;

R.  whereas parliamentarians, especially from developing countries, can and should play a crucial role in this agenda, ensuring government accountability and effectiveness as well as providing a vital knowledge link with constituents, both aspects being important in ensuring a country's resilience to climate change;

S.  whereas the existing financial mechanisms are complex and fragmented; whereas the commitment to provide 0,7 % of GNP for ODA in order to achieve the MDGs has not been honoured by most donor countries; and whereas the financial mechanisms of the UNFCC depend on replenishments through voluntary contributions from donors;

T.  whereas improvements in forest governance are a fundamental prerequisite for lasting reductions in deforestation; whereas climate negotiations need to reflect previous efforts to address problems of deforestation and forest degradation, such as the EU FLEGT Action Plan designed to curtail illegal logging by addressing forest governance;

U.  whereas a common system to monitor the whole range of instruments available for adaptation funding should be set up in order to ensure an accountable and transparent funding system;

Key Objectives

1.  Urges the Parties to ensure the conclusion of a comprehensive, international, fair, ambitious and legally binding agreement post-2012, building on the international rules-based system of the Kyoto Protocol in line with the 2ºC objective and the peaking of global and national greenhouse gas emissions as soon as possible;

2.  Calls on Heads of State and Government worldwide to demonstrate real political leadership and will during the negotiations and to give this issue the highest priority;

3.  Urges the EU publicly and unequivocally to confirm its strong commitment to the Kyoto Protocol and to take all necessary steps to avoid any gap between Kyoto Protocol commitment periods; calls, therefore, on the EU to declare openly prior to Durban that it is ready to continue with the second commitment period of the Kyoto Protocol and, further, to define concrete steps to bridge ‘the gigatonne gap’, i.e. the difference between the current ambition levels and those required to keep global warming below 2ºC; calls on the EU to ensure that the gap is identified and quantified in Durban and to press for measures to close the gap;

4.  Recognises, however, that comparable progress under the Convention track is required to secure any post-2012 international, fair, ambitious and legally binding agreement that would meet the 2ºC objective; highlights, in that connection, the importance of (subglobal) alliances with the most progressive states as a means of lending further impetus to the negotiation process; calls for the COP to agree on a time-bound mandate to secure a legally binding agreement under the Convention to be implemented as soon as possible, and at the latest by 2015; recalls, in that connection, that the industrialised countries need to reduce their emissions by 25-40% below 1990 levels by 2020, while the developing countries as a group should achieve a substantial deviation below the currently predicted emissions growth rate, of the order of 15-30%, by 2020;

5.  Urges all international partners to close the gigatonne gap which exists between the scientific findings and the current Parties' pledges, to come up with commitments and actions for emissions reductions which are more ambitious than those contained in the Copenhagen Accord, based on the principle of a ‘common but differentiated responsibility’, and to address emissions from international aviation and maritime transport and HFCs in order to ensure consistency with the 2ºC objective; notes that the detailed communication to Parties of where current pledges take us, and what more needs to be done, is an important step towards raising awareness among Parties and securing higher pledges;

6.  Emphasises the importance of progress at the Durban Conference in further implementing the Cancún Agreements, in establishing the peak date for global emissions and a global emissions reduction goal for 2050, defining a clear pathway towards 2050, including intermediate global emissions reduction goals, and agreeing on policy instruments to ensure that the objectives set are met, and in addressing the overall question of the future form of the commitments of both developed and developing countries; reiterates that, according to the scientific evidence presented by the IPCC, the 2ºC objective requires that global greenhouse gas emissions peak by 2015 at the latest and be reduced by at least 50% as compared with 1990 by 2050 and continue to decline thereafter;

7.  Calls for the Durban Conference to define a process for addressing the adequacy of emission reduction pledges based on the peak year and the 2050 reduction goal as well as the 2°C objective;

8.  Welcomes the roadmap for moving to a competitive low-carbon economy in 2050, setting long-term targets reconfirming the EU's objective of reducing greenhouse gas emissions by 80-95% by 2050 in order to keep climate change below 2°C; notes the conclusion that 80% of the reduction by 2050 has to be achieved internally within the EU and that a linear reduction makes economic sense;

9.  Reiterates that cumulative emissions are decisive for the climate system; notes that even if it were to meet the 2050 targets on the basis of the pathway set out in the Commission roadmap, the EU would still be responsible in terms of greenhouse gas emissions for approximately double its per-capita share of the global 2°C-compatible carbon budget, and that delaying emissions reductions increases the cumulative share significantly;

10.  Welcomes the Commission's latest communications and its analyses of how a 30% climate protection target can be achieved; supports the view set out therein that, regardless of the outcome of the international negotiations, it is in the EU's own interest to aim for a climate protection target of over 20%, since this would have the simultaneous effect of creating green jobs and boosting growth and security;

11.  On the basis of realistic expectations as to the likely outcomes of the COP 17, calls on the EU and the Member States to conclude as many partial agreements as possible, in areas such as science, technology transfer and LULUCF, in order to maintain overall positive progress in the negotiations, thereby creating certainty as to future climate change policies and negotiations;

12.  Calls on the EU and its Member States to develop a principle of ‘climate justice’; insists that the greatest injustice would occur if the EU did not tackle climate change, because poor people in poor countries would suffer in particular;

13.  Recalls that poor countries are the most vulnerable to the impacts of climate change and have the least capacity to adapt;

14.  Points out that responses to climate change have an impact on gender equality at all levels and that, in order to ensure win-win solutions and to avoid aggravating inequalities, gender considerations should be integrated into climate policies, in line with global agreements on gender mainstreaming and the Convention for the Elimination of Discrimination Against Women;

EU Strategy

15.  Stresses the need for wider and more effective EU climate diplomacy by all EU institutions in advance of Durban (in particular regarding EU-Africa relations), which should seek to present a clearer EU profile on climate policy, bringing a new dynamic to the international climate negotiations and encouraging partners throughout the world also to introduce binding reductions in emissions and appropriate climate change mitigation and adaptation measures, in particular with reference to the EU proposal for full decarbonisation by 2050;

16.  Calls on the European Union to take the lead and push for an ambitious EU climate policy which reduces climate change in order to demonstrate the advantages of such a policy and encourage other countries to follow suit;

17.  Stresses, in this context, the importance of the European Union, as major player, speaking with ‘one voice’ in seeking an ambitious international agreement and a high level of ambition in the COP 17 negotiations and staying united in that regard;

18.  Emphasises the European Union's unique position as a supranational entity which has - in order to make its working methods more effective - moved away from decision-making by unanimity to decision-making by qualified majority, which might also represent a way forward in the future for the UNFCCC;

19.  Emphasises that in order to provide new impetus and leverage for future negotiations, additional emphasis should be placed on the way that combating climate change can also offer economic possibilities and a pathway towards more resource-efficient societies in general;

20.  Is of the opinion that capacity-building - not only with regard to technology transfer, but in general - is of vital importance and that it requires an integrated approach and a streamlined institutional architecture encouraging synergies and coordination;

21.  Stresses the importance of the systematic integration of gender equality as a cross-cutting issue in the climate fund's governance structure and operational guidelines;

22.  Points out that gender-balanced participation in decision-making covering all phases and aspects of funding is essential; calls on the EU to strive for female representation of at least 40% in all relevant bodies;

23.  Highlights the fact that if the EU is reluctant to proceed to a second commitment period under the Kyoto Protocol a very negative message will be sent to developing countries;

Building on the Cancún Agreements at the Durban Conference

24.  Welcomes the success achieved in reaching the Cancún Agreements at COP 16 in 2010, by acknowledging the global and urgent problem of climate change and by setting goals and laying down ways of tackling the problem, while restoring trust in the UNFCCC process as the means of finding a global solution to climate change; asks all the participants to maintain the positive atmosphere of the negotiations in Cancún and looks to the Durban Conference to make further progress towards the continuation and strengthening of the rules-based multilateral climate regime;

25.  Recalls in particular the acknowledgement of the 2ºC objective in the Cancún Agreements (including the recognition of the need to consider, in the context of a first review, strengthening the long-term global goal on the basis of the best available scientific knowledge, in relation to a global average temperature rise of 1,5°), and the establishment of a process for defining the peak date of global emissions, a global emissions reduction goal for 2050 and policy measures to ensure that the objectives set are achieved;

26.  Calls on the Parties to use the Durban Conference to bring into operation the necessary agreed mechanisms, such as the Green Climate Fund and the Adaptation Committee, to focus on the development of the Technology Mechanism (including the Climate Technology Centre and Network) and the registry to record mitigation measures taken by developing countries seeking international support, and to address the remaining key issues and make progress on the issue of the legal form of a future post-2012 framework, including a timeline for securing agreement on that framework;

27.  Highlights the need for further efforts to be made at the Durban Conference to develop the transparency provisions for commitments and actions and the need to agree on a clear work programme in relation thereto, including Measurement, Reporting and Verification Systems (MRVs);

28.  Notes that there are still gaps in sectoral and non-market based approaches, and emphasises the need, in particular, to address the production and consumption of HFCs under the Montreal Protocol; notes that there is a need for a comprehensive international approach to non-CO2 climate-relevant anthropogenic emissions, not least because the cost of reducing these emissions is lower than that for the reductions envisaged in the carbon sector, even taking the current carbon price into account; calls for a reform of the project-based mechanisms, such as the Clean Development Mechanism (CDM) and Joint Implementation (JI), whilst avoiding any lock-in to high-carbon infrastructure through the inappropriate use of flexible mechanisms, which would increase the overall cost of efforts to achieve the decarbonisation objective, through the introduction of stringent project-quality standards guaranteeing respect for human rights and reliable, verifiable and real additional emissions reductions that also support sustainable development in developing countries; endorses, moreover, the Commission's view that sectoral mechanisms for economically more advanced developing countries should be agreed for the period beyond 2012, while high-quality CDM should remain available to LDCs; calls for any new international sectoral offset crediting mechanisms to ensure environmental integrity and incorporate climate benefits beyond the 15-30% deviation from business as usual;

29.  Calls for the environmental effectiveness of Annex I emissions reduction targets to be the guiding principle as regards the EU approach to international accounting rules for forest management, to flexible mechanisms and to the banking towards post-2012 targets of any overachievement during the first commitment period of the Kyoto Protocol ;

30.  Recognises the importance of proactive adaptation to the unavoidable consequences of climate change, in particular in the regions of the world most affected by a changing climate, and especially of protecting the most vulnerable groups within societies; therefore calls for an agreement in Durban with strong political and financial commitments to assist those developing countries in capacity-building;

Financing

31.  Recalls that developed countries have committed themselves to providing new and additional resources from public and private sources amounting to at least USD 30 billion in the period 2010-2012 and USD 100 billion per year by 2020, with special emphasis on the vulnerable and least-developed countries; calls on the Commission and the Member States to honour their commitments and guarantee that resources for adaptation and mitigation come on top of the 0,7% ODA target and specify how much of the commitment will come from public funding; further stresses the need to mobilise both domestic and international resources from all possible sources to contribute to achieving this goal and to identify a path for additional emissions reduction measures during the period from 2013 to 2020; calls, further, on the Conference of the Parties to define a framework for climate financing during the intermediate period from 2013 to 2020; also stresses the need for such funding to be provided on the basis of fair, transparent and non-discriminatory rules coupled with effective capacity-building, the reduction of tariff and non-tariff barriers to environment-related goods, services and investment, concrete support for low-emission infrastructure and well-defined, predictable rules;

32.  Emphasises that a variety of sources is required, and calls on the Parties to explore further sources for long term-financing that will provide the required new, additional, adequate and predictable financial flows;

33.  Calls on the EU and its Member States to ensure comprehensive and transparent reporting on the implementation of ‘fast-start’ financing, as well as timely delivery to support the implementation of mitigation and adaptation action in developing countries, and stresses the need to avoid a financing gap after 2012 (when the fast-start finance period ends) and to work towards the identification of a path for scaling up climate funding from 2013 to 2020;

34.  Emphasises the importance of reliable statistics on emissions with comparable data and regular evaluation reports;

35.  Calls for the Durban Conference to take concrete steps in implementing the Cancun Agreements as regards long-term financing, including sources and scaling up from fast-start finance from 2013; calls, in this context, for the use of innovative sources of financing and for a tax on financial transactions to be established at international level and for the revenues to be used in particular to support climate action in developing countries, in line with objectives set under the UNFCCC;

36.  Calls on the Parties to bring the Green Climate Fund into full operation at the Durban Conference and to develop it in a way that ensures that the new fund is capable of supporting transformational changes towards low-carbon and climate-resilient development in developing countries;

37.  Calls on the Conference of the Parties to specify a definition of the ‘new and additional’ principle;

38.  Stresses the importance of predictability and continuity in climate financing; calls for full transparency and for adequate measures to ensure the scaling up of climate finance between 2013 and 2020; calls, in this regard, for an end to double accounting;

39.  Urges the Commission to define, as soon as possible, procedures and instruments for promoting and facilitating private-sector contributions to funding for developing countries;

40.  Calls on the Commission to ensure that agreements on international property rights concluded within the World Trade Organisation (WTO), which are a key instrument for encouraging private-sector involvement in the spread of new technologies, are not called into question;

41.  Recalls that current climate-dedicated financial flows to developing countries, though growing, cover only a fraction (less than 5%) of the estimated amounts that developing countries would need over several decades;

42.  Insists on the need to build up a coherent financial architecture for climate change in Durban, in particular to guarantee that there is no financing gap after 2012; stresses, in this context, that both new resources (i.e. Financial Transaction Tax, emission of Special Drawing Rights, shipping/aviation levies, etc.) and effective delivery mechanisms are needed;

43.  Advocates the establishment of a compliance mechanism to ensure a more effective delivery of commitments made with regard to greenhouse gas reduction, finance, technology and capacity building;

44.  Calls on donors to pledge the amount of funds for replenishment of the Global Environment Facility and, within this framework, to continue to give high priority to African countries and to allocate financial resources based on the needs and priorities of countries;

45.  Calls on the Commission and the EU Member States to build better links between the MDGs and climate change by incorporating impacts of, and adaptation to, climate change into projects and programmes aimed at achieving the MDGs, and into all broader strategies for poverty reduction and development policies; urges the Commission, in this context, to upgrade its financial reporting tool to facilitate financial analysis of EU climate-related commitments and step up climate mainstreaming in development policies;

46.  Recalls that only public funding is crucial for reaching the most vulnerable communities struggling to adapt to climate change, and help poor countries adopt sustainable development strategies; stresses, furthermore, that the Commission and Member State governments must make sure this funding is additional to existing aid targets, in line with Article 4(3) of the UNFCCC; calls on the Commission to provide, in line with the Bali Action Plan of December 2007, for ‘additional climate financing’ criteria in a measurable, reportable and verifiable manner;

47.  Recalls that the ‘polluter pays’ principle is aimed at having a positive effect on reducing pollution, yet encounters difficulties in being implemented in developing countries; urges therefore that climate change funding for developing countries address this issue in more detail;

48.  Calls on the World Bank to ensure that its portfolio is ‘climate-smart’;

49.  Stresses that gender balance in all climate finance decision-making bodies should be guaranteed, including the Green Climate Fund Board and possible sub-boards for individual funding windows; underlines that members of civil society, including representatives of gender equality organisations and women's groups, should be given opportunities for active participation in the work of the GCF Board and all of its sub-boards;

50.  Points out that gender inequalities in access to resources, including credit, extension services, information and technology, must be taken into account in developing mitigation activities; underlines that adaptation efforts should systematically and effectively address gender-specific impacts of climate change in the areas of energy, water, food security, agriculture and fisheries, biodiversity and ecosystem services, health, industry, human settlements, disaster management, and conflict and security;

Transformation towards a sustainable economy and industry

51.  Underlines that many countries are moving fast towards the new green economy, for various reasons, including climate protection, resource scarcity and efficiency, energy security, innovation and competitiveness; notes, for example, the magnitude of investment programmes dedicated to energy transition in countries such as the US, China and South Korea; calls on the Commission to analyse such programmes including their levels of ambition and to assess the risk of the EU losing its leadership;

52.  Welcomes these international moves and reiterates that internationally coordinated action helps to address the carbon leakage concerns of the relevant sectors concerned, in particular energy-intensive sectors; calls for an agreement to ensure an international level-playing field for carbon intensive industries;

53.  Is concerned that the financial and budgetary crisis affecting most of the industrialised economies has curbed the level of attention of governments towards the international climate negotiations in Durban; considers that the EU's effort to transform its economy must not falter e.g. in order to avoid job leakage and in particular green job leakage, and that the EU must convince its partners worldwide, including China and the USA, that emission reductions are feasible without losing competitiveness and jobs, in particular if performed collectively;

54.  Stresses the need to develop and implement urgently a holistic raw-materials and resource strategy, including on resource efficiency, in all sectors of the economy in both developed and developing countries, in order to achieve long-term sustainable economic growth, and calls on the EU and its Member States to lead by example in this regard; calls on the EU and its Member States to support developing countries at both national and local level by making available expertise on sustainable mining, increased resource efficiency and reuse and recycling;

55.  Considers that sectoral approaches combined with economy-wide caps in industrialised countries can contribute to reconciling climate action with competitiveness and economic growth; stresses the importance of adopting a holistic, horizontal, sectoral approach to industrial emissions as an added value in connection with international negotiations and European CO2 targets; hopes that such an approach might also be part of a post-2012 international framework for climate action;

56.  Highlights the role of the CDM for European industry to achieve emission abatements and to accelerate technology transfer; recalls that the CDM needs to be reformed to require stringent project quality to guarantee the high standard of such projects, with reliable, verifiable and real additional emission reductions that also support sustainable development in such countries; considers that in the future the CDM should be limited to Least Developed Countries;

57.  Reiterates that a global carbon market would be a sound basis to achieve both substantial emission abatements and a level playing field for the industry; calls on the EU and its partners to find, in the immediate future, the most effective way of promoting links between the EU ETS and other trading schemes aiming for a global carbon market, ensuring greater diversity of abatement options, improved market size and liquidity, transparency and, ultimately, more efficient allocation of resources;

Research and technology

58.  Welcomes the agreement reached in Cancun on the Cancun Adaptation Framework to enhance action on adaptation to climate change, and on the establishment of a Technology Mechanism, including a Technology Executive Committee and a Climate Technology Centre and Network, to enhance technology development and transfer, striking the right balance between adaptation and mitigation and intellectual property rights in order to make this facility fully operational;

59.  Stresses that the development and deployment of breakthrough technologies hold the key to fighting climate change and, at the same time, convincing the EU's partners worldwide that emissions reductions are feasible without losing competitiveness and jobs; calls for an international commitment to increase R&D investments in breakthrough technologies in the relevant sectors; considers it essential that Europe should lead by example by substantially increasing expenditure devoted to research on climate-friendly and energy-efficient industrial and energy technologies and that Europe should develop close scientific cooperation in this field with international partners, such as the BRIC countries and the United States;

60.  Considers that innovation is key to maintaining global warming below 2°C and notes that there are different ways of encouraging innovation; calls on the Commission to assess the various mechanisms to reward frontrunner businesses which differ according to their capacity to trigger innovation and to transfer and deploy technologies globally;

61.  Highlights the importance of building closer cooperation between Europe and LDCs; calls, therefore, on the Commission to come forward in good time before Durban with ideas for common research programmes on alternative energy sources and on how the EU can encourage cooperation within various industrial sectors between developed and developing countries, with a specific focus on Africa;

62.  Urges the establishment of an institutional framework to tackle all aspects of technology development and transfer by putting, in particular, a special focus on Appropriate Technology (AT) that is designed with special consideration for the environmental, ethical, cultural, social, political, and economic aspects of the community for which it is intended; calls for the creation of patent pools, whereby a number of patents held by different entities, such as companies, universities or research institutes, are made available to others in a common pool for production or further research development; and calls for recognition of the right of developing countries to use to the full TRIPS flexibilities;

63.  Notes the huge potential for renewable energy in many developing countries; calls on the EU and its Member States to implement renewable energy projects in developing countries and to make available technology, expertise and investment;

64.  Considers that adequate research on migration as a result of climate change is necessary to address this issue properly;

Energy, energy efficiency and resource efficiency

65.  Regrets that energy savings potential is not adequately tackled internationally and in the EU; underlines that energy savings allow job creation, economic savings and energy security, competitiveness and emission cuts; calls on the EU to pay more attention to energy savings in international negotiations, be it when discussing technology transfer, development plans for developing countries or financial assistance;

66.  Considers it of the utmost importance for climate negotiations that industrialised countries fulfil their financing commitments undertaken in Copenhagen and Cancun; calls for a swift and internationally coordinated implementation of the Pittsburgh G-20 objective to phase out inefficient fossil fuel subsidies over the medium term which would demonstrate an important contribution to climate protection and would be particularly relevant within the current context of public deficits in many countries;

67.  Points out that across the globe an estimated 2 billion people continue to lack access to sustainable and affordable energy; stresses the need to address the energy poverty issue in compliance with climate policy objectives; notes that energy technologies are available, addressing both global environmental protection and local development needs;

68.  Considers that Europe should support South African efforts to enable African countries to find partners and financing for investments in renewable energy and green technologies;

Land Use, Land Use Change and Forestry (LULUCF)

69.  Calls for an agreement in Durban on robust rules on LULUCF that strengthen the level of ambition of the Annex I Parties, are designed to deliver emissions reductions from forestry and land use, require that Annex I Parties account for any increases in emissions from LULUCF and are consistent with the Parties' existing commitments to protect and enhance greenhouse gas sinks and reservoirs in order to ensure the environmental integrity of the sector's contribution to emissions reductions; in addition to sound LULUCF accounting, calls for policy measures to be defined in order to recognise the value of the carbon storage in harvested wood products;

70.  Considers that LULUCF reporting must be referenced to a fixed historical base year/period and applied across the Kyoto Protocol and Convention tracks;

71.  Calls in this respect for the mandatory inclusion of emissions (removals and releases) from forest management in Annex I Parties' post-2012 LULUCF reduction commitments;

72.  Calls on the Commission, the Member States and all Parties to work in the Subsidiary Body for Scientific and Technological Advice as well as other international fora to establish a new UN definition of forests on a biome basis, reflecting the wide-ranging differences in biodiversity as well as carbon values of different biomes, while clearly distinguishing between native forests and those dominated by tree monocultures and non-native species;

73.  Notes with concern the assumption of carbon neutrality for biomass used for energy purposes which governs accounting under the UNFCCC; calls for the establishment of new and more robust accounting rules which reveal the true GHG saving potential of bioenergy;

74.  Encourages the establishment of a fund to reward or provide incentives for reducing emissions through sustainable land-management practices, including forest conservation, sustainable forest management, the avoidance of deforestation, afforestation and sustainable agriculture;

75.  Recalls that, in order to reduce emissions from deforestation and degradation of forest, there is a need to shift away from a narrow process of quantification of forest carbon fluxes towards a broader approach, including the identification of the direct and underlying drivers of deforestation, based on a consultation process similar to the Voluntary Partnership Agreement consultation process;

Reduced Emissions from Deforestation and Forest Degradation

76.  Recognises the need for regulatory certainty in a long-term financing mechanism for REDD+; urges the Conference of Parties to define a mechanism to mobilise further funding for REDD+ from public as well as private sources;

77.  Highlights the need for further action at COP 17 to implement REDD+ (reducing emissions from deforestation and forest degradation) and to address any possible shortcomings in this regard especially with regard to long-term financing and robust and transparent forest monitor systems and, particularly on the effective consultation with parties, indigenous and local communities;

78.  Stresses that the design of the REDD+ mechanism should ensure significant benefits for biodiversity and vital ecosystem services beyond climate change mitigation and should contribute to strengthening the rights and improving the livelihood of forest-dependent people, particularly of indigenous and local communities,

79.  Takes the view that the funding mechanism for REDD should be based on performance criteria, including on forest governance, and take into consideration the objectives of the Strategic Plan for Biodiversity 2011 agreed under CBD COP 10 in Nagoya;

80.  Underlines the need to speed up public financing for performance-based REDD+ action rewarding reductions in deforestation in accordance with national baselines with a view to halting gross tropical deforestation by 2020 at the latest;

81.  Regrets that REDD funding is based on such a broad definition of forests that may include single species plantations of non-native species; considers that this definition may provide a perverse incentive to divert funding from the much needed protection of old and ancient forests to new commercial plantations and from innovation;

82.  Calls, furthermore, on the EU to make sure that REDD + includes safeguard mechanisms ensuring that the rights of the people living in the forests are not violated and that the loss of forests is efficiently halted; insists, in particular, that REDD+ should not undermine any advance made so far with FLEGT (Forest Law Enforcement, Governance and Trade), especially regarding forest governance, clarification and recognition of customary tenures;

Maritime transport and international aviation

83.  Welcomes recent progress in the International Maritime Organisation (IMO) on the introduction of mandatory energy efficiency measures for international shipping, but notes that this can only be seen as a first step; calls on the EU to push for ambitious targets for emissions reductions in shipping to encourage further progress in the IMO in taking the necessary steps towards globally binding reductions in emissions from maritime transport within the UNFCCC;

84.  Wishes to highlight that, as a result of increases in ship traffic, emissions from maritime transport will increase despite these measures, since they apply to new ships only; is therefore of the opinion that alternative approaches (i.e. carbon pricing, further technology-centred measures also for existing ships) need to be stressed in this regard;

85.  Calls on the EU to ensure that the full impact of aviation is taken into account in an international agreement in the form of binding reduction targets for aviation, and urges all actors to make sure that these targets are backed up by enforcement structures; believes that resolution of this issue has become increasingly pressing and supports the inclusion of aviation in the European emissions trading system;

86.  Recognises the principle of ‘common but differentiated responsibilities’ and advocates the introduction of international instruments with global emission reduction targets to curb the climate impact of international aviation and maritime transport ;

European Parliament delegation

87.  Believes that the EU delegation plays a vital role in the climate change negotiations, and therefore finds it unacceptable that Members of the European Parliament have been unable to attend the EU coordination meetings at previous Conferences of the Parties; expects at least the chairs of the European Parliament delegation to be allowed to attend EU coordination meetings in Durban;

88.  Notes that, in accordance with the Framework Agreement concluded between the Commission and Parliament in November 2010, the Commission must facilitate the inclusion of Members of Parliament as observers in Union delegations negotiating multilateral agreements; recalls that, pursuant to the Lisbon Treaty (Article 218 TFEU), Parliament must give its consent to agreements between the Union and third countries or international organisations;

89.  Recalls the obligation of Parties to the UNFCCC to encourage the widest participation in the UNFCCC process, including that of non-governmental organisations; calls for the participation at the COP 17 negotiations of the International Forum of Indigenous Peoples, since such peoples are particularly affected by climate change and climate change adaptation;

o
o   o

90.  Instructs its President to forward this resolution to the Council, the Commission, the governments and parliaments of the Member States and the Secretariat of the UNFCCC, with the request that it be circulated to all non-EU contracting parties.

(1) OJ L 8, 13.1.2009, p. 3.
(2) OJ C 285 E, 21.10.2010, p. 1.
(3) OJ C 341 E, 16.12.2010, p. 25.
(4) Texts adopted, P7_TA(2010)0442.
(5) OJ C 67 E, 18.3.2010, p. 44.
(6) OJ C 81 E, 15.3.2011, p. 115.
(7) http://srren.ipcc-wg3.de/report
(8) Texts adopted, P7_TA(2011)0226.
(9) OJ C 46, 24.2.2006, p. 1.


Accountability report on financing for development
PDF 130kWORD 46k
European Parliament resolution of 16 November 2011 on the accountability report on financing for development
P7_TA(2011)0505B7-0574/2011

The European Parliament,

–  having regard to the UN Millennium Declaration of 8 September 2000,

–  having regard to the G20 summits held in Pittsburgh on 24 and 25 September 2009, in London on 2 April 2009, in Toronto on 26 and 27 June 2010 and in Seoul on 11 and 12 November 2010,

–  having regard to the G8 summits held in L'Aquila, Italy, from 8 to 10 July 2009, in Deauville, France, on 26 and 27 May 2011 and in Muskoka, Canada, on 26 June 2010,

–  having regard to the Monterrey Consensus and the Doha Declaration, adopted at the respective International Conferences on Financing for Development held in Monterrey, Mexico, from 18 to 22 March 2002 and in Doha, Qatar, from 29 November to 2 December 2008,

–  having regard to the Paris Declaration on Aid Effectiveness and the Accra Agenda for Action,

–  having regard to the European Consensus on Development(1) and the EU Code of Conduct on Complementarity and Division of Labour in Development Policy(2),

–  having regard to its resolution of 15 June 2010 on ‘progress towards the achievement of the Millennium Development Goals: mid-term review in preparation of the UN high-level meeting in September 2010’(3),

–  having regard to its resolution of 25 March 2010 on the effects of the global financial and economic crisis on developing countries and on development cooperation(4),

–  having regard to its resolution of 18 May 2010 on the EU Policy Coherence for Development and the ‘Official Development Assistance plus’ concept(5),

–  having regard to its resolution of 23 September 2008 on the follow-up to the Monterrey Conference of 2002 on financing for Development(6),

–  having regard to its resolution of 22 May 2008 on the follow-up to the Paris Declaration of 2005 on Aid Effectiveness(7),

–  having regard to its resolution of 5 July 2011 on increasing the impact of EU development policy(8),

–  having regard to Rules 115(5) and 110(2) of its Rules of Procedure,

A.  whereas last year the Member States gave only 0.43% of their GNI in official development assistance (ODA), despite the Millennium commitment to give 0,7% by 2015 and an interim 2010 target of 0,56%;

B.  whereas 15 Member States cut their aid budgets in 2009 or 2010;

C.  whereas the Member States promised in 2005 to channel 50% of all new aid to sub-Saharan Africa, but whereas they have actually given only half this amount, and whereas the Member States have also failed to honour their pledge to give 0,15% of their GNI to least-developed countries (LDCs) by 2010;

D.  whereas, since such commitments refer to percentages of GNI and therefore correspond to a reduction in real terms in times of recession, the economic crisis is a poor excuse for cutting aid budgets proportionally;

E.  whereas failing to keep its aid promises will seriously undermine confidence in the EU and damage its credibility as far as its partners in the developing world are concerned, while, on the other hand, honouring those commitments would send a powerful, unequivocal signal to poor nations and other donors;

F.  whereas poor tax governance in developing economies prevents equitable wealth redistribution, starves governments of funds and hampers poverty eradication;

G.  whereas illicit capital flows from developing countries are estimated to amount to roughly 10 times the level of global development assistance;

H.  whereas innovative financing mechanisms currently account for just 3% of EU development aid;

I.  whereas pro-poor schemes to improve access to financial services, such as microfinance schemes, can afford extraordinary help to smallholder farmers, particularly women, in achieving food self-sufficiency and food security;

J.  whereas migrants' remittances to developing countries exceed global aid budgets, and whereas, although the EU made a commitment in 2008 to lower the cost of remittances, only minimal changes have been made;

K.  whereas EU aid-for-trade amounted to EUR 10,5 billion in 2009, while trade-related assistance amounted to EUR 3 billion, a figure which is well above target;

L.  whereas Article 208 TFEU states that: ‘The Union shall take account of the objectives of development cooperation in the policies that it implements which are likely to affect developing countries’;

M.  whereas developing countries, and the LDCs in particular, have been hit especially hard by the crisis, leading notably to a new rise in debt levels;

N.  whereas the EU provided EUR 2,3 billion in fast-start climate funding for developing countries in 2009;

O.  whereas the EU has pledged to ensure that climate funding is ‘new and additional’;

P.  whereas ineffective aid wastes up to EUR 6 billion of public money every year;

1.  Welcomes the Commission's communication on the EU Accountability Report 2011 on Financing for Development as an extremely useful exercise in transparency and peer review;

Development aid

2.  Acknowledges the growing pressure on national budgets as a result of the financial and economic crisis; believes, however, that achieving the poverty eradication goal will require, above all, policy change in industrialised and developing countries to address the structural causes of poverty;

3.  Reiterates its deep concern about the current acquisition of farmland by government-backed foreign investors, particularly in Africa, which is liable to undermine local food security; urges the Commission to include the issue of land grabbing in its policy dialogue with developing countries so as to make policy coherence the cornerstone of development cooperation at both national and international level and prevent the expropriation of small farmers and unsustainable land and water use;

4.  Commends the EU and its Member States for remaining the world's largest donor of ODA, despite the crisis;

5.  Welcomes the Member States' recent renewed commitment to meeting their ODA commitments, especially the target of giving 0,7% of their GNI; agrees with the Council that ODA alone will not be enough to eradicate global poverty; is of the view that EU development policy should aim to eliminate structural obstacles to the poverty eradication goal by implementing policy coherence for development between EU policies on agriculture, trade, investment, tax havens, access to raw materials and climate change;

6.  Expresses, nonetheless, its deep concern about the fact that in 2010 the EU fell some EUR 15 billion short of its own ODA goal for that year, that it will need practically to double its aid in order to meet its 2015 Millennium target, that it has failed to increase substantially its aid to Africa and the LDCs, in spite of its pledges to do so, and that a number of Member States have shrunk their aid budgets in 2009 and 2010, with further cuts scheduled for 2011 and beyond;

7.  Highlights the huge contribution made by well-managed aid to sustainable development in the fields of health, education, gender and biodiversity, and in many other fields;

8.  Calls therefore on all the Member States to take urgent steps to honour their commitment to give 0,7% of their GNI, as well as their specific pledges to Africa and the LDCs, and recommends fully transparent, binding, multiannual measures, including legislation;

Other aspects of financing for development

9.  Agrees with the Council and the Commission that mobilising domestic resources in partner countries is the key to sustainable development; calls on EU donors to prioritise capacity-building in this area, especially as regards stronger tax systems and better tax governance, and to step up efforts worldwide to promote tax-related transparency and country-by-country reporting and to combat tax evasion and illicit capital flight, through legislation where necessary;

10.  Urges the Commission to include the fight against misuse of tax havens and against tax evasion and illicit capital flight in its development policy as a matter of priority;

11.  Calls on all the Member States further to boost support for the Extractive Industries Transparency Initiative, and calls on the Commission rapidly to propose EU legislation that at least matches US legislation in terms of the objective of ensuring that the extractive industry in developing countries pays proper taxes and that its production meets social and environmental standards, in compliance with due diligence requirements;

12.  Calls on the EU and its Member States to unlock other sources of international development finance besides ODA, inter alia by:

   proposing innovative levies such as a financial transaction tax to fund global public goods, including development aid,
   significantly reducing the cost of remittances,
   stepping up the blending of EU grants and EIB loans, without this leading to cuts in aid spending,
   supporting schemes to improve access to financial services, such as microfinance schemes, in developing countries;

13.  Welcomes the EU's significant and growing support for aid-for-trade and trade-related assistance; expects the LDCs to benefit to a greater degree from such support in future;

14.  Recalls that EU trade policies, as well as other policies such as those on agriculture, fisheries, migration and security, must – under the Lisbon Treaty – be consistent with EU development policy goals, and calls for the implementation of policy coherence for development (Article 208 of the Lisbon Treaty) in order to address the structural problem of poverty eradication;

15.  Urges the Member States to step up their efforts to ensure full implementation of existing debt relief initiatives, in particular those relating to heavily indebted poor countries and multilateral debt relief;

16.  Welcomes the EU's recent substantial support for climate action in the developing world, but reiterates its demand that this be additional to existing development aid;

17.  Expects the Fourth High-Level Forum on Aid Effectiveness – to be held in Busan, Korea, in November – to produce tangible results as regards more effective aid which provides better ‘value for money’; notes the progress, albeit uneven, identified in the 2011 accountability report, but urges the Member States to step up their efforts to improve donor coordination (including as regards the European External Action Service), joint programming and the division of labour in the field;

18.  Urges EU donors to upgrade policy dialogue with emerging economies on development cooperation, and encourages the Member States to support South-South and triangular development cooperation initiatives; believes there is no longer any justification for aid in the form of grants to cash-rich nations;

OECD-DAC peer review

19.  Asks to be involved in the next OECD-DAC peer review of EU development cooperation;

o
o   o

20.  Instructs its President to forward this resolution to the Council, the Commission, the Member States, the EIB, the UN organisations, the ACP-EU Joint Parliamentary Assembly, the G20, the IMF and the World Bank.

(1) OJ C 46, 24.2.2006, p. 6.
(2) Council Conclusions 9558/2007, 15 May 2007.
(3) OJ C 236 E, 12.8.2011, p. 48.
(4) OJ C 4 E, 7.1.2011, p. 34.
(5) OJ C 161 E, 31.5.2011, p. 47.
(6) OJ C 8, 14.1.2010, p. 1.
(7) OJ C 279 E, 19.11.2009, p. 100.
(8) Texts adopted, P7_TA(2011)0320.


European cinema in the digital era
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European Parliament resolution of 16 November 2011 on European cinema in the digital era (2010/2306(INI))
P7_TA(2011)0506A7-0366/2011

The European Parliament,

–  having regard to Article 167 of the Treaty on the Functioning of the European Union,

–  having regard to the Convention on the Protection and Promotion of the Diversity of Cultural Expressions adopted by the United Nations Educational, Scientific and Cultural Organisation (UNESCO) on 20 October 2005,

–  having regard to Directive 2010/13/EU of the European Parliament and of the Council of 10 March 2010 on the coordination of certain provisions laid down by law, regulation or administrative action in Member States concerning the provision of audiovisual media services (Audiovisual Media Services Directive)(1),

–  having regard to Decision No 1718/2006/EC of the European Parliament and of the Council of 15 November 2006 concerning the implementation of a programme of support for the European audiovisual sector (MEDIA 2007)(2),

–  having regard to the Recommendation of the European Parliament and of the Council of 16 November 2005 on film heritage and the competitiveness of related industrial activities(3),

–  having regard to the Commission Recommendation of 24 August 2006 on the Digitisation and Online Accessibility of Cultural Material and Digital Preservation(4),

–  having regard to the Council conclusions of 13 November 2006 on the Digitisation and Online Accessibility of Cultural Material, and Digital Preservation(5),

–  having regard to the Council conclusions of 18 and 19 November 2010 on the opportunities and challenges for European cinema in the digital era(6),

–  having regard to the Commission communication concerning the State aid assessment criteria of the Commission communication on certain legal aspects relating to cinematographic and other audiovisual works (Cinema Communication) of 26 September 2001(7),

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

–   having regard to the Commission staff working document of 2 July 2010 on the challenges for European film heritage from the analogue and the digital era (Second implementation report of the Film Heritage Recommendation) (SEC(2010)0853),

–   having regard to the Commission communication of 26 August 2010 on ‘A Digital Agenda for Europe’ (COM(2010)0245),

–  having regard to the Commission communication of 24 September 2010 on opportunities and challenges for European cinema in the digital era (COM(2010)0487),

–  having regard to the Commission Green Paper of 27 April 2010 on ‘Unlocking the potential of cultural and creative industries’ (COM(2010)0183),

–  having regard to the Commission Green Paper of 13 July 2011 on the online distribution of audiovisual works in the European Union: opportunities and challenges towards a digital single market (COM(2011)0427),

–  having regard to its resolution of 2 July 2002 on certain legal aspects relating to cinematographic and other audiovisual works(8),

–  having regard to its resolution of 13 November 2001 on achieving better circulation of European films in the internal market and the candidate countries(9),

–  having regard to its resolution of 19 February 2009 on Social Economy(10),

–  having regard to Committee of the Regions' opinion of 2 April 2011 on ‘European cinema in the digital era’(11),

–  having regard to its resolution of 12 May 2011 on unlocking the potential of cultural and creative industries(12),

–  having regard to Rule 48 of its Rules of Procedure,

–  having regard to the report of the Committee on Culture and Education and the opinion of the Committee on the Internal Market and Consumer Protection (A7-0366/2011),

A.  whereas culture forms a fundamental basis for European identities and shared values;

B.  whereas culture is at the heart of contemporary debates on identity, social cohesion and the development of a knowledge-based economy, as is stated in the 2001 UNESCO Universal Declaration on Cultural Diversity;

C.  whereas everyone has the right to participate in the cultural life of the community and to enjoy the arts and whereas cinema art, moreover, helps people to acknowledge one another, sharing the same human experience, helping to create a European identity;

D.  whereas investments in culture show long-term, non-material, multigenerational results in shaping the European identity;

E.  whereas the European audiovisual sector, including cinema, constitutes a significant part of the EU economy and should be more competitive at the global level;

F.  whereas European film is an important part of culture, promoting dialogue and understanding, embodying and showing European values within and outside of the EU, whilst playing a significant role in the preservation and support of cultural and linguistic diversity;

G.  whereas European cinema should strengthen territorial and social integrity;

H.  whereas the digital era brings new opportunities for the audiovisual sector, in particular in the film industry as regards more effective distribution, screening and availability of films and as regards the higher audio and visual quality that it offers for European audiences, while it also creates some serious challenges to European cinema in the process of moving to digital technologies, particularly with regard to finance;

I.  whereas digital technologies therefore contribute to the implementation of EU and national goals on the screening and accessibility of European works, and on social cohesion;

J.  whereas digital cinema technology makes possible flexible promotion planning and last-minute changes in material;

K.  whereas the first phase of the digitisation of European cinema has been of uneven benefit;

L.  whereas the latest generation of digital equipment is approximately 25-30% cheaper than previous models and is now at a more accessible level to both European cinemas and funding programmes;

M.  whereas not all cinemas are equally capable of coping with the challenge of digitisation of cinemas;

N.   whereas the complete digitisation of both the European film industry and its cinemas must be accomplished urgently, to avoid a reduction of access to cultural diversity and availability on multiple platforms, and should be supported at European and national level;

O.  whereas independent and art-house screens constitute Europe's unique cinema network, representing diverse programming that appeals to an audience outside the commercial mainstream;

P.  whereas the concerns expressed by art-house cinema organisations, which have suggested special and priority measures to promote the production and distribution of independent European films, should be acknowledged;

Q.  whereas local and regional governing bodies are key entities in defending and promoting European cultural heritage, in particular the digitisation of films and cinemas, and therefore constitute fundamental partners in the digitisation process;

R.  whereas cinemas are an important means of preserving the quality of life and social interaction in old city centres and in the suburbs, and of regenerating urban areas;

S.  whereas European cinematographic works need to meet with success in Europe if they are to be distributed internationally, thus enabling them to meet their financial objectives and constitute a form of cultural cooperation and diplomacy through which not only the works, but also Europe's diverse mix of cultures, are disseminated in third countries;

T.  whereas the digital transition should be as fast as possible in order to avoid the doubling of production and distribution costs;

U.  whereas the European film industry is currently fragmented along national and linguistic borders, and whereas films are in the first place made for and consumed by the local audience of the country of origin;

State of play

1.  Emphasises the important contribution of European cinema to investment in digital technologies, innovation, growth and jobs;

2.  Points out that almost 1 billion cinema tickets were sold in the EU in 2010, demonstrating cinema's continued popularity and huge financial, growth and employment potential;

3.  Stresses that European cinema is of growing importance to the economy, as it provides more than 30 000 jobs;

4.  Stresses that, in addition to the economic impetus provided by the arts sector in the EU, European cinema also has, in particular, an extremely important cultural and social dimension and is an important factor in the cultural development and identity of Europe;

5.  Notes that the European cinema market is highly fragmented and diversified, a great majority of the cinemas having only one or two screens;

6.  Notes that multiplexes constitute the majority of digitised cinemas;

7.  Notes that in Europe, there is a geographical imbalance in the accessibility of cinemas and film to citizens, most notably in Eastern Europe and in rural areas;

8.  Emphasises the importance of the social and cultural role played by cinemas, one which must be preserved, particularly in rural and remote areas;

9.  Notes that the potential of the European film industry is constantly growing, but the proportion of European productions showing in cinemas must be progressively increased;

10.  Points out that small commercial and non-commercial cinemas make a vital contribution to preserving cultural heritage by including European productions in their programmes;

11.  Points out that film screening is in the process of changing, with growing numbers of multiplexes and a marked reduction in the number of screens in small towns and old city centres;

12.  Considers that the diversity of the EU's cinematic landscape must be preserved;

13.  Observes that, partly because of the primacy assigned to blockbuster films, the diversity of films in Europe and cinemas' freedom to decide on their programming are endangered and as a result there is reason to fear an irreversible market concentration in the field of cinema;

14.  Emphasises therefore that the digital roll-out must preserve programming diversity and cultural facilities for rural and urban areas in all EU countries and must not result in the closure of small and art-house cinemas to the benefit of multiplexes;

15.  Points out that digitisation makes it possible to distribute cultural contents throughout the internal market more cheaply, and safeguards the competitiveness and diversity of European cinema;

16.  Notes that there is increasing pressure for all films to be compatible with digital projection, while some European cinemas have already converted to 100% digital;

17.  Notes with concern that the survival of many independent cinemas is being endangered by the high costs of converting to digital technology and competition from cinemas which primarily show films from the USA;

18.  Notes that independent distributors are having problems coping with the dual costs they must meet in the transition period, which is having a ripple effect throughout the cinema industry;

19.  Notes that multi-territory or pan-European licensing is crucial for unlocking the potential of online distribution film markets, for promoting a wider circulation of European films, for better consumer access to European films and for availability of European films on Video On Demand (VOD) platforms;

20.  Notes that a number of EU schemes exist that have the potential to support the transition of the film industry to the digital age, such as the MEDIA programme;

21.  Notes that, as a result of inadequate funding, European cinema is being insufficiently promoted internationally;

22.  Stresses the importance of all the stages in the production chain in creating cinema content and the need to support all those stages;

23.  Points out that multimedia technology is supplanting other forms of communication and that there is therefore a need to teach people how to receive it;

Opportunities and challenges

24.  Calls on the Member States and the Commission to financially support the full digitisation in terms of equipment of EU cinemas and to establish European and national programmes to support the transition to digital technologies as quickly as possible and encourage the circulation of European films within an audiovisual sector that is globally very competitive;

25.  Stresses in this respect that the programmes should be flexibly aligned with practical requirements;

26.  Highlights that digital cinema should aim at improving the quality of picture and sound (when a 2K resolution minimum is implemented), in order to allow a more diversified and flexible programming of live events, and also of recorded broadcasts and of educational, cultural and sporting events, while enabling the use of a wide range of innovative technologies that will continue to attract audiences into the future;

27.  Underlines that it is essential to support and promote EU productions and recognises that the EU contributes significantly to digital creativity and innovation such as 3D;

28.  Acknowledges that although the digitisation of cinemas is a key priority, a consistent technological development should be taken into account, since in the medium and long term it may be necessary to further adapt to newer screening formats;

29.  Recalls that the European shift to digital cinema should aim at creating new opportunities for the distribution of European films, maintaining the diversity of European production and enhancing its accessibility for European citizens;

30.  Underlines that VOD may provide European film companies with the opportunity of reaching larger audiences;

31.  Acknowledges that creation and innovation are matters of general interest, and urges that investing in programmes should be prioritised and supported in order to stimulate the supply of good quality content available on the networks;

32.  Urges small and independent cinemas to take every advantage of their commercial potential, through product diversification, adding value to the service they provide and utilising the niche market they occupy;

33.  Believes that digitisation is a very important opportunity to promote the presence of official regional languages in cinemas as well as foreign language learning;

Threats

34.  Acknowledges that the high costs of digitisation, which will provide long-term commercial benefit, can nevertheless create a significant burden for many small and independent cinemas and film theatres whose programming goes beyond the main stream, with a high proportion of European films;

35.  Acknowledges in this respect that in the face of closure, or in order to prevent it, such cinemas and film theatres require special and priority support;

36.  Calls therefore on the Commission to propose specific measures to provide support for these cinemas;

37.  Observes that cinemas bear the heaviest burden in relation to the costs of digitisation and that, because this entails the creation of basic infrastructure which is important to the public and will facilitate better cultural services than hitherto, irrespective of place of residence, public funding is important, particularly for small and independent cinemas;

38.  Recognises that cinemas are places where people meet and exchange views, and stresses that the disappearance of small and independent cinemas, in particular in small towns and less developed regions, limits access to European cultural resources, culture and cultural dialogue;

39.  Stresses that the problem of small cinemas mainly exists in rural areas, where they can play a particularly strong social role as meeting places;

40.  Draws attention to the difficult situation of small urban cinemas which, as art-house cinemas, help to preserve cultural heritage;

41.  Recognises that the digitisation of small and independent cinemas has to be achieved as urgently as possible in order to keep these venues open for films, cultural diversity and audiences;

42.  Highlights the threat of copyright fraud and illegal downloading to the cinema industry; calls for intellectual property rights to be properly enforced by Member States;

43.  Recognises furthermore the threats to the quality of the works projected and respect for authors' moral rights caused by metallic screens which create significant luminance differences across the image; taking into account that metallic screens are made for 3D; recommends avoiding screening 2D films on metallic screens in order to respect authors' moral rights and to preserve the quality experience of the viewers;

44.  Points out that the European film industry faces problems with the circulation and distribution of films, especially those with lower budgets, and that many productions reach only national markets and rarely get screened internationally, which prevents them from reaching wider audiences across the continent and the world;

45.  Warns of the current lack of suitable training of projectionists to handle new digital cinema equipment and to adapt it to each specific film so to respect the quality of the projected work;

46.  Acknowledges that the digitisation of audiovisual production and distribution poses new challenges to film heritage institutions in their activities of collecting, conserving and preserving the European audiovisual heritage;

Interoperability, standardisation and archiving

47.  Underlines the need to ensure the interoperability of digital projection systems and materials, as well as other devices, as they are particularly needed for smaller and medium-sized screens which take account of the economic context of the European cinema market and thus preserve the diversity of cinema and films;

48.  Stresses the need to ensure that the digitisation of cinemas is as technologically neutral as possible;

49.  Recommends the standardisation of systems based on ISO standards in the areas of production, distribution and film screening;

50.  Considers however that in the particular case of digital screening the digitisation of cinemas must not under any circumstances result in the establishment of a single standard;

51.  Notes that this would also be inappropriate with reference to further new technical developments such as cinema projection systems using laser technology;

52.  Underlines the importance of standardising the 2K resolution system, which allows the screening of films in 3D, HDTV and Blu-Ray as well as for VOD services;

53.  Welcomes therefore the fact that, with the 2K standard, a unique, open and compatible worldwide ISO standard has been developed for digital projection, which takes into account the specific needs of European exhibitors;

54.  Calls on European and national standardisation organisations to promote the use of this standard accordingly;

55.  Welcomes the Commission's announcement, in its 2010-2013 Standardisation Work Programme for Industrial Innovation, of the plan to specify by 2013 voluntary standards for the submission of digital films to archives, for their preservation and for 3D projection;

56.  Allows for the further possibility of funding less expensive projectors, which can be used successfully in venues where more alternative content is shown, and furthermore has the potential to benefit specialist films such as documentaries and foreign language films;

57.  Concedes that, although the archiving of films will become technically easier as a result of their digitisation or purely digital production, it will entail more challenges in future because of the issues of standards and copyright;

58.  Recommends that Member States adopt legislative measures to ensure that audiovisual works, which in future could form the beginnings of a European multimedia library and become an important instrument for protecting and promoting the national heritage, will be digitised, collected by means of compulsory deposit mechanisms, catalogued, preserved and disseminated for cultural, educational and science purposes, whilst respecting copyright;

59.  Recommends that the digital transition be made as quickly as possible to avoid the cost of producing both celluloid and digital versions of films and a dual distribution/exhibition system, whilst also providing an incentive for advertisers to switch from 35mm to the digital format;

60.  Calls on the Commission to use the European digital library EUROPEANA not only as a digital library for printed products but also for the European film heritage and to define the remit of EUROPEANA accordingly;

61.  Underlines the need to provide support for cinemas and film libraries that promote and preserve film heritage;

62.  Recommends that Member States set up compulsory deposit mechanisms for digital formats or adapt their existing mechanisms to such formats by requesting the deposit of a standard digital master for digital films;

State aid

63.  Calls on Member States to take EU competition rules into account when designing State aid schemes for digital conversion, in order to avoid distortions of the financing terms for digital cinema;

64.  Calls on the Commission to draw up clear guidelines for State aid, building on experiences in various Member States, in order to increase legal certainty whilst leaving Member States free to shape film and cinema funding at national level;

65.  Emphasises that, while public support should be technology-neutral, it should also guarantee the sustainability of investments, taking into account exhibitors' specific business models and distributors' technical requirements;

66.  Calls on the Member States to provide support to national film studios and other relevant institutions in the transition to working with digital technology;

Financing models

67.  Emphasises the need for public and private investment as the cinema sector enters the digital era;

68.  Stresses that in order to ease the digitisation process, flexible and diversified financing, both public and private, should be made available at local, regional, national and European level, particularly to support small and independent cinemas, within a framework that sets out the priorities and complementarities at the various levels and establishes quantifiable objectives;

69.  Underlines that although the European Structural Funds are a significant source of financing for digitisation projects and training initiatives, funding should be increased, the waiting times shortened and the applications simplified as part of the new Multiannual Financial Framework 2014-2020;

70.  Recommends that the financing of digitisation projects by the European Structural Funds include commitments by supported cinemas to screen European films;

71.  Furthermore, calls for mechanisms to improve support through European Regional Development Fund programmes;

72.  Calls on the Commission and Member States to disseminate best practices in the area of the financing of digitisation, including market-based solutions such as small cinemas forming networks to conclude collective agreements with distributors; calls on the Commission, Member States and regions to focus public funding for digital conversion on cinemas which cannot cover their financing needs from other sources, and to keep the transitional period as short as possible;

73.  Calls on the Commission to carefully examine the implications which the transition from traditional to digital cinema has for all the stakeholders and parties involved; stresses that Member States should take into account the costs for small local cinemas, and possible opportunities/consequences for the labour market, when drawing up their national digitisation programmes;

74.  Considers that cinemas located in less well populated areas, where cultural events are rare, and which are not in a position to pay the costs of converting to digital, should be fitted out with digital equipment;

75.  Underlines the availability of preferential loans provided by the European Investment Bank for cinemas which are pursuing digitisation and do not have proper funding;

76.  Underlines the role of public-private partnerships as a method for financing the digitisation of cinemas and stresses that they should be promoted;

77.  Stresses that publicly or privately funded digitisation of cinemas must not jeopardise the independence of film theatres and will not lead to a reduction in the diversity of programming and in the market share of European films;

78.  Calls on the Commission to resolve this issue in the light, also, of the prolongation of the application of the Cinema Communication;

79.  Notes in this respect that any public funds provided for the digitisation of cinema and film should be subject to the same scrutiny as state aid to other sectors;

80.  Encourages cooperation between cinema operators, local authorities, venues, film clubs/societies and film festivals in order to best make use of digital technologies provided for by funding from EU avenues;

81.  Considers that mechanisms integrating distributors and exhibitors should be implemented and calls for strengthened cooperation between small cinemas to minimise the costs of investment in digital equipment;

82.  Encourages Member States to increase funding for research connected with digital cinema technology, and particularly channels for disseminating film material and the methods for compressing it, so that the network established will be interactive and offer high quality projection and at the same time allow easier use of compressed and decompressed images;

83.  Highlights the importance of appropriate investment in research, funding and training for professionals already working in this field to enable them to adapt to the use of new technologies and to guarantee social inclusion and employment protection;

84.  Underlines the need to implement training programmes targeted at professionals in the audiovisual sector allowing them to learn to use digital technologies and adapt to new business models, and acknowledges the success of the initiatives already under way in that field; considers that the EU must pledge support and funding for these programmes;

Virtual Print Fee (VPF)

85.  Acknowledges that the so-called VPF commercial model for financing the installation of digital equipment is suitable for large cinema networks but is not an optimal solution for small and independent cinemas, which are restrained by the lack of investment funds, and that therefore the VPF financing model may also hamper cultural diversity;

86.  Highlights the fact that many small, rural and art-house cinemas which mainly show European content are excluded from the VPF model and that alternative financing models, including public support, may be necessary to maintain and strengthen cultural diversity and to safeguard competitiveness;

87.  Calls therefore for VPF financing models to be adjusted in accordance with the requirements and specificities of independent programme and art film cinemas;

88.  Notes that financing models should be promoted which enable independent cinemas to gain access to VPF payments from all distributors; recommends organising purchasing cooperatives in order to make the advantage of group rates available to all cinemas;

Film education

89.  Underlines that film education helps develop an analytical mind and train young people generally, as it enables learning about heritage to be combined with becoming aware of the complexity of the universe of images and sounds;

90.  Underlines that education through film, including cinema culture and language, allows citizens to have a critical understanding of different forms of media, thereby increasing and enhancing the resources and opportunities offered by ‘digital literacy’;

91.  Underlines that film education should enable citizens to gain wider knowledge, to appreciate the art of film and to reflect on the values that films convey;

92.  Calls on Member States to include film education in their national education programmes;

93.  Highlights the importance of film education in independent cinemas at all stages of education in order to develop audiences for European films;

94.  Encourages Member States to support educational programmes in film schools and other relevant institutions on the possibilities of making films using digital technology and on digital film production and distribution;

95.  Calls for high quality and up-to-date training for both technical and managerial staff to be provided for by either EU funding avenues or successful applicants to funding avenues, in order to ensure optimum use of EU-funded digital technologies;

96.  Calls on Member States to develop and promote special programmes and events, for example in the framework of film festivals, to develop young European citizens' education and taste for European films;

The MEDIA Programme

97.  Acknowledges that the MEDIA Programme has supported the European audiovisual industry for more than two decades and has contributed to the development, distribution and promotion of European films, and to the training of cinema operators in digital techniques;

98.  Welcomes, in this context, the commitment given by Mr Barroso on 18 March 2011 to maintain and further strengthen the MEDIA programme;

99.  Stresses the importance of the MEDIA Programme in the digitisation of cinemas and calls for existing funding lines to be maintained, as well as for increased funds in the next generation of the programme to tackle the challenges brought by digital technologies;

100.  Calls on the Commission to earmark funding under the new MEDIA programme for the post-2013 period and from the European Fund for Regional Development (EFRD) to support the digitisation of cinemas showing European content;

101.  Points out that it is necessary for the next generation of the programme to envisage measures generating substantial added value and contributing to the overall ‘Europe 2020’ strategy;

102.  Underlines that new initiatives must be introduced as part of the next generation of the MEDIA programme to improve and promote translation, dubbing, subtitling and surtitling, in order to support independent cinemas dedicated to European films;

103.  Recalls that the investment in new cinema technology and the transition to digital should improve accessibility for disabled people, particularly through the introduction of audio description;

104.  Calls therefore for a ‘digital programme heading’ to be included in the MEDIA programme in order to simplify conversion to digital formats;

105.  Draws attention to the importance of the MEDIA continuous training programme as a tool for professionals in the sector to upgrade their skills so as to adapt to changing technologies and production methods;

106.  Points out the added value of the MEDIA initial training programme which facilitates film students' mobility in Europe, leading to better integration in the professional sector and to increased European cooperation and coproductions; in this light calls for this funding line to be increased;

107.  Recommends that the MEDIA programme invest in VOD as part of its efforts to support pan-European distribution, promote transnational collaboration between platforms and reward initiatives involving cross-border collaboration;

108.  Emphasises the added value of European support, particularly with regard to cross-border screening of films and in preventing further fragmentation of the European cinema market;

Models of distribution

109.  Notes that digital technologies have affected the way in which films are distributed over a variety of platforms and devices either through linear or non-linear services;

110.  Recognises that, following the initial outlay on the digitisation process, digital infrastructure will thereafter reduce distribution costs considerably, and allow small independent film distributors to give wider releases to their films and thereby reach larger audiences;

111.  Recognises that the successful conversion to digital technology is inextricably linked to access to high-speed broadband, as a means of distribution of digital content, the upgrading of digital software and many other essential functions, and therefore calls on institutions which wish to upgrade to digital technologies to make provision for the dependent nature of this relationship;

112.  Notes that digital technologies have fostered the rapid development of short films and video and that they allow new distribution patterns and flexible releases such as the possibility to release a film on a variety of platforms soon after theatrical release;

113.  Considers furthermore that the exclusive exploitation period for film theatres should be retained to protect the diversity of cinema;

114.  Points out that one weak point in the digitisation process is the fact that distributors, and especially independent distributors, receive insufficient support for digital distribution and are therefore unable to keep up with that process;

115.  Encourages Member States to focus financial aid on distribution;

116.  Encourages European institutions to implement preparatory actions and pilot projects aiming at testing new business models that could improve the circulation of European audiovisual works;

117.  Encourages Member States to devise a strategy for establishing a digital cinema network including film studios, single-screen and multiplex cinemas and live screening facilities, using all data transmission channels, including satellite;

118.  Underlines the need to accompany the development of new online exploitation methods with the implementation, at European level, of fair remuneration for audiovisual authors that is proportional to the revenues generated by these new formats and services;

Promotion of European cinema

119.  Encourages Member States to ensure the widest possible inclusion of European films in the screening programmes of their cinemas in order to enhance their circulation and promotion across the EU, and to enable EU citizens to appreciate the richness and diversity of such films, through the widest variety of platforms;

120.  Suggests that there is a need to promote and support European coproductions and that the increase in such productions may result in the wider distribution of European films across the continent;

121.  Supports the activities of cinema networks, such as Europa Cinemas, that promote European film worldwide by financially and operationally helping cinemas which exhibit a significant number of European films;

122.  Acknowledges the importance of supporting independent cinemas dedicated to European films (such as Europa Cinemas members) in order to reinforce their European programming policy and diversity and their competitiveness on the market;

123.  Calls for technology-neutral support for all cinemas which show a high proportion of European films and for an ambitious programme, irrespective of their turnover or number of customers;

124.  Encourages Member States to promote and support the dissemination and circulation of European films on their territories through dedicated events and festivals; encourages the Member States also to support the various film schools in existence in Europe;

125.  Highlights that films winning awards at European festivals should be given marketing support to further facilitate international VOD releases and to help promote European cinema;

126.  Recognises the role of the EP LUX Prize in promoting European films and multilingualism by translating subtitles for the winning film into all 23 official languages of the EU while also generating societal debates amongst EU citizens;

127.  Proposes better cooperation and interaction with third countries aimed at raising the profile of European productions on the world market, and particularly in the Mediterranean area, promoting cultural exchanges and launching new initiatives in support of the Euro-Mediterranean dialogue and the democratic development of the whole region, not least in view of the commitments arising from the Euro-Mediterranean Conference on Cinema;

o
o   o

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

(1) OJ L 95, 15.4.2010, p. 1.
(2) OJ L 327, 24.11.2006, p. 12.
(3) OJ L 323, 9.12.2005, p. 57.
(4) OJ L 236, 31.8.2006, p. 28.
(5) OJ C 297, 7.12.2006, p. 1.
(6) OJ C 323, 30.11.2010, p. 15.
(7) OJ C 31, 7.2.2009, p. 1.
(8) OJ C 271 E, 12.11.2003, p. 176.
(9) OJ C 140 E, 13.6.2002, p. 143.
(10) OJ C 76 E, 25.3.2010, p. 16.
(11) OJ C 104, 2.4.2011, p. 31.
(12) Texts adopted, P7_TA(2011)0240.

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