EUR-Lex - 32002R2012 - EN Avis juridique important | 32002R2012 Council Regulation (EC) No 2012/2002 of 11 November 2002 establishing the European Union Solidarity Fund Official Journal L 311 , 14/11/2002 P. 0003 - 0008 Council Regulation (EC) No 2012/2002of 11 November 2002establishing the European Union Solidarity FundTHE COUNCIL OF THE EUROPEAN UNION,Having regard to the Treaty establishing the European Community, and in particular the third paragraph of Article 159 and Article 308 thereof,Having regard to the proposal from the Commission(1),Having regard to the opinion of the European Parliament(2),Having regard to the opinion of the Economic and Social Committee(3),Having regard to the resolution of the Committee of the Regions(4),Whereas:(1) In the event of major disasters, the Community should show its solidarity with the population of the regions concerned by providing financial assistance to contribute to a rapid return to normal living conditions in the disaster-stricken regions. The assistance should mainly be mobilised in case of natural disasters.(2) Existing economic and social cohesion instruments are able to finance risk-prevention measures and the repair of damaged infrastructure. However, provision should also be made for an additional instrument, to be distinguished from existing Community instruments, which enables the Community to act swiftly and efficiently to help, as quickly as possible, in mobilising emergency services to meet people's immediate needs and contribute to the short-term restoration of damaged key infrastructure so that economic activity can resume in the disaster-stricken regions.(3) The European Union should also show solidarity with the countries currently negotiating their accession. Extending this Regulation to cover those countries entails recourse to Article 308 of the Treaty.(4) Community aid should be complementary to the efforts of the States concerned and be used to cover a share of the public expenditure committed to dealing with the damage caused by a major disaster.(5) In line with the principle of subsidiarity, assistance under this instrument should be confined to major disasters with serious repercussions on living conditions, the natural environment or the economy.(6) A "major disaster" within the meaning of this Regulation should mean any disaster, in at least one of the States concerned, resulting in important damage expressed in financial terms or as a percentage of the gross national income (GNI). In order to permit interventions in the case of disasters that, while important, do not reach the minimum scale required, assistance may also be granted under exceptional circumstances in case an eligible neighbouring country is affected by the same disaster, or whenever the major part of the population of a specific region is affected by a disaster with serious and lasting repercussions on living conditions.(7) Community action should not relieve third parties of their responsibility who, under the "polluter-pays" principle, are liable in the first instance for the damage caused by them, or discourage preventive measures at both Member State and Community level.(8) This instrument should allow a rapid decision to be taken to commit specific financial resources and mobilise them as quickly as possible. Administrative procedures should be adjusted accordingly and confined to the minimum absolutely necessary. To this end, the European Parliament, the Council and the Commission have concluded on 7 November 2002 an Interinstitutional Agreement on the financing of the European Union Solidarity Fund, supplementing the Interinstitutional Agreement of 6 May 1999 on budgetary discipline and improvement of the budgetary procedure.(9) It may be desirable for the beneficiary State, in conformity with its specific constitutional, institutional, legal or financial context, to associate the regional or local authorities with the conclusion and the application of the implementation arrangements, the beneficiary State remaining in all cases responsible for the implementation of the assistance and for the management and control of the operations supported by Community financing.(10) The detailed rules for applying this instrument should be adapted to the urgency of the situation.(11) An operation funded by this instrument should not benefit for the same purpose from assistance under Council Regulation (EC) No 1164/94 of 16 May 1994 establishing a Cohesion Fund(5), Council Regulation (EC) No 1260/1999 of 21 June 1999 laying down general provisions on the Structural Funds(6), Council Regulation (EC) No 1257/1999 of 17 May 1999 on support for rural development from the European Agricultural Guidance and Guarantee Fund (EAGGF)(7), Council Regulation (EEC) No 3906/89 of 18 December 1989 on economic aid to the Republic of Hungary and the Polish People's Republic(8), Council Regulation (EC) No 1267/1999 of 21 June 1999 establishing an Instrument for Structural Policies for Pre-accession(9), Council Regulation (EC) No 1268/1999 of 21 June 1999 on Community support for pre-accession measures for agriculture and rural development in the applicant countries of central and eastern Europe in the pre-accession period(10), Commission Regulation (EC) No 2760/98 of 18 December 1998 concerning the implementation of a programme for cross-border cooperation in the framework of the Phare programme(11), Council Regulation (EC) No 1266/1999 of 21 June 1999 on coordinating aid to the applicant countries in the framework of the pre-accession strategy and amending Regulation (EEC) No 3906/89(12), Council Regulation (EC) No 555/2000 of 13 March 2000 on the implementation of operations in the framework of the pre-accession strategy for the Republic of Cyprus and the Republic of Malta(13), or Council Regulation (EC) No 2236/95 of 18 September 1995 laying down general rules for the granting of Community financial aid in the field of trans-European networks(14); damage repaired under Community or international instruments relating to the compensation of specific damages should not, for the same purpose, benefit from assistance under this instrument.(12) Maximum transparency is required in implementing the Community's financial assistance as well as proper monitoring of the use of resources.(13) Prudent financial management is required to ensure that the Community can be in a position to respond if several major disasters occur in the same year.(14) In exceptional cases and depending on the availability of financial resources under this instrument in the year of the occurrence of the disaster, provision should be made for possible supplementary grants from this instrument under the next year's Fund.(15) A deadline should be laid down for the use of the financial assistance awarded and provision should be made for the beneficiary States to justify the use made of the assistance they receive. Assistance received which is subsequently recovered from third parties, or which was received in excess of the final valuation of the damages, should be recovered.(16) In view of the exceptional circumstances, countries affected by disasters from Summer 2002 onwards should qualify for assistance under this instrument.(17) In order to ensure rapid assistance to the countries affected by the recent floodings, it is very urgent to adopt this instrument; therefore, it is necessary to grant an exception to the six-week period for consideration by national parliaments referred to in Part I, point 3 of the Protocol on the role of national parliaments in the European Union, annexed to the Treaty on European Union and to the Treaties establishing the European Communities,HAS ADOPTED THIS REGULATION:Article 1A European Union Solidarity Fund, hereinafter referred to as "the Fund", is hereby established to enable the Community to respond in a rapid, efficient and flexible manner to emergency situations under the terms of this Regulation.Article 21. At the request of a Member State or country involved in accession negotiations with the European Union, hereinafter referred to as "beneficiary State", assistance from the Fund may be mainly mobilised when a major natural disaster with serious repercussions on living conditions, the natural environment or the economy in one or more regions or one or more countries occurs on the territory of that State.2. A "major disaster" within the meaning of this Regulation means any disaster resulting, in at least one of the States concerned, in damage estimated either at over EUR 3 billion in 2002 prices, or more than 0,6 % of its GNI.By way of exception, a neighbouring Member State or country involved in accession negotiations with the European Union, which has been affected by the same disaster can also benefit from assistance from the Fund.However, under exceptional circumstances, even when the quantitative criteria laid down in the first subparagraph are not met, a region could also benefit from assistance from the Fund, where that region has been affected by an extraordinary disaster, mainly a natural one, affecting the major part of its population, with serious and lasting repercussions on living conditions and the economic stability of the region. Total annual assistance under this subparagraph shall be limited to no more than 7,5 % of the annual amount available to the Fund. Particular focus will be on remote or isolated regions, such as the insular and outermost regions as defined in Article 299(2) of the Treaty. The Commission shall examine with the utmost rigour any requests which are submitted to it under this subparagraph.Article 31. Assistance from the Fund shall take the form of a grant. For each recognised disaster a single grant shall be awarded to a beneficiary State.2. The aim of the Fund is to complement the efforts of the States concerned and to cover a share of their public expenditure in order to help the beneficiary State to carry out the following essential emergency operations, depending on the type of disaster:(a) immediate restoration to working order of infrastructure and plant in the fields of energy, water and waste water, telecommunications, transport, health and education;(b) providing temporary accommodation and funding rescue services to meet the immediate needs of the population concerned;(c) immediate securing of preventive infrastructures and measures of immediate protection of the cultural heritage;(d) immediate cleaning up of disaster-stricken areas, including natural zones.3. Payments from the Fund are in principle limited to finance measures alleviating non insurable damages and shall be recovered if the cost of repairing the damage is subsequently met by a third party in accordance with Article 8.Article 41. As soon as possible and no later than ten weeks after the first damage caused by the disaster, a State may submit an application for assistance from the Fund to the Commission providing all available information on, among other factors:(a) the total damage caused by the disaster and its impact on the population and the economy concerned;(b) the estimated cost of the operations referred to in Article 3;(c) any other sources of Community funding;(d) any other sources of national or international funding, including public and private insurance coverage which might contribute to the costs of repairing the damage.2. On the basis of this information, and any clarifications to be provided by the State concerned, the Commission shall assess if the conditions for mobilising the Fund are met and shall determine the proposed amount of any possible grant as quickly as possible within the limits of the financial resources available. On 1 October each year, at least one-quarter of the annual amount should remain available in order to cover needs arising until the end of the year.The Commission ensures an equitable treatment of requests presented by the States.3. The Commission shall submit to the budgetary authority the proposals needed to authorise the corresponding appropriations. These proposals shall include all available information referred to in paragraph 1 and all other relevant information in the possession of the Commission, a demonstration that the conditions of Article 2 are met and a justification of the amounts proposed.4. Once the appropriations are made available by the budgetary authority, the Commission shall adopt a grant decision and shall pay that grant immediately and in a single instalment to the beneficiary State upon signature of the agreement referred to in Article 5.5. The eligibility of expenditure shall begin on the date referred to in paragraph 1.Article 51. In accordance with the specific constitutional, institutional, legal or financial provisions of the beneficiary State and of the Community, the Commission and the beneficiary State, shall conclude an agreement to implement the grant decision. That agreement shall describe in particular the type and location of operations to be financed by the Fund.2. The Commission shall ensure that the same commitments as entered into by the Member States under this Regulation are also entered into by countries negotiating their accession to the European Union within the framework of the relevant agreements and instruments.3. Responsibility for selecting individual operations and implementing the grant under the agreement shall lie with the beneficiary State, in compliance with the terms of this Regulation, the grant decision and the agreement. The beneficiary State shall exercise this responsibility without prejudice to the Commission's responsibility for the implementation of the general budget of the European Union and in accordance with the provisions of the Financial Regulation applicable to shared or decentralised management.Article 61. The beneficiary State shall be responsible for coordinating the contribution of the Fund to the operations referred to in Article 3, on the one hand, with assistance from the European Investment Bank (EIB) and other Community financing instruments, on the other.2. Operations assisted under this Regulation shall not benefit from assistance from the Funds and instruments governed by Regulations (EC) No 1164/94, (EC) No 1260/1999, (EC) No 1257/1999, (EC) No 1267/1999, (EC) No 1268/1999, (EEC) No 3906/89, (EC) No 2760/98, (EC) No 555/2000 and (EC) No 2236/95, and shall comply with Regulation (EC) No 1266/1999. The beneficiary State shall ensure compliance with this provision.3. Damage repaired under Community or international instruments relating to the compensation of specific damages shall not, for the same purpose, benefit from assistance from the Fund.Article 7Operations financed by the Fund shall be compatible with the provisions of the Treaty and instruments adopted under it, with Community policies and measures and with pre-accession assistance instruments.Article 81. A grant shall be used within one year of the date on which the Commission has disbursed the grant. Any part of a grant remaining unused by that deadline, in compliance with the terms of this Regulation, shall be recovered by the Commission from the beneficiary State.Beneficiary States shall seek all possible compensation from third parties.2. No later than six months after the expiry of the one-year period from the date of disbursement of the grant, the beneficiary State shall present a report on the financial execution of the grant with a statement justifying the expenditure, indicating any other source of funding received for the operations concerned, including insurance settlements and compensation from third parties. The report shall detail the preventive measures introduced or proposed by the beneficiary State in order to limit damage and to avoid, to the extent possible, a recurrence of similar disasters.At the end of this procedure, the Commission shall wind up the assistance from the Fund.3. Where the cost of repairing the damage is subsequently met by a third party, the Commission shall require the beneficiary State to reimburse a corresponding amount of the grant.Article 9Applications for assistance and the decisions to grant assistance from the Fund, as well as the financial agreement, reports and any other related documents shall express all amounts in euro.Article 101. In exceptional cases and if the remaining financial resources available in the Fund in the year of the occurrence of the disaster are not sufficient to cover the amount of assistance deemed necessary by the budgetary authority, the Commission may propose that the difference be financed through the next year's Fund. The annual budgetary ceiling of the Fund in the year of the occurrence of the disaster and the following year shall under all circumstances be respected.2. In case of significantly lower valuation of the damage incurred, as shown by new elements, the Commission shall require the beneficiary State to reimburse a corresponding amount of the grant.Article 11The financing decisions and all agreements and contracts resulting therefrom shall provide for checks by the Commission, through the Anti-Fraud Office (OLAF), and for on-the-spot checks to be carried out by the Commission and the Court of Auditors, in accordance with the appropriate procedures.Article 12Before 1 July the Commission shall present to the European Parliament and to the Council a report on the activity of the Fund in the previous year. This report shall in particular contain information relating to Articles 3, 4 and 8.Article 13Notwithstanding the deadline provided for in Article 4(1), the Member States and countries involved in accession negotiations with the European Union which have been affected by disasters, as defined in Article 2, from 1 August 2002 onwards may request assistance from the Fund within two months of the date of entry into force of this Regulation.Article 14The Council shall review this Regulation on the basis of a proposal from the Commission by 31 December 2006 at the latest.Article 15This Regulation shall enter into force on the day following that of its publication in the Official Journal of the European Communities.This Regulation shall be binding in its entirety and directly applicable in all Member States.Done at Brussels, 11 November 2002.For the CouncilThe PresidentB. Mikkelsen(1) Commission proposal of 20 September 2002 (not yet published in the Official Journal).(2) Opinion delivered on 10 October 2002 (not yet published in the Official Journal).(3) Opinion delivered on 24 October 2002 (not yet published in the Official Journal).(4) Resolution delivered on 10 October 2002 (not yet published in the Official Journal).(5) OJ L 130, 25.5.1994, p. 1. Regulation as last amended by Regulation (EC) No 1265/1999 (OJ L 161, 26.6.1999, p. 62).(6) OJ L 161, 26.6.1999, p. 80. Regulation as last amended by Regulation (EC) No 1447/2001 (OJ L 198, 21.7.2001, p. 1).(7) OJ L 160, 26.6.1999, p. 80.(8) OJ L 375, 23.12.1989, p. 11. Regulation as last amended by Regulation (EC) No 2500/2001 (OJ L 342, 27.12.2001, p. 1).(9) OJ L 161, 26.6.1999, p. 73. Regulation as last amended by Regulation (EC) No 2500/2001 (OJ L 342, 27.12.2001, p. 1).(10) OJ L 161, 26.6.1999, p. 87. Regulation as last amended by Regulation (EC) No 2500/2001 (OJ L 342, 27.12.2001, p. 1).(11) OJ L 345, 19.12.1998, p. 49. Regulation as last amended by Regulation (EC) No 1596/2002 (OJ L 240, 7.9.2002, p. 33).(12) OJ L 161, 26.6.1999, p. 68.(13) OJ L 68, 16.3.2000, p. 3. Regulation as last amended by Regulation (EC) No 2500/2001 (OJ L 342, 27.12.2001, p. 1).(14) OJ L 228, 23.9.1995, p. 1. Regulation as last amended by Regulation (EC) No 1655/1999 of the European Parliament and of the Council (OJ L 197, 29.7.1999, p. 1).

Summary: The European Union Solidarity Fund The European Union Solidarity Fund SUMMARY OF: Regulation (EC) No 2012/2002 establishing the European Union Solidarity Fund WHAT IS THE AIM OF THE REGULATION? It sets up the European Union Solidarity Fund (EUSF), which provides financial assistance to EU countries facing major natural disasters. Under new rules adopted in 2014 (by amending Regulation (EU) No 661/2014), working procedures were simplified and eligibility criteria clarified, and the Fund was extended to cover drought. Following the COVID-19 outbreak in 2020, the rules were further amended by Regulation (EU) 2020/461 allowing the EUSF to provide financial assistance not only to countries facing natural disasters but also major public health emergencies. KEY POINTS Conditions for intervention As a general rule, the EUSF can provide financial aid if total direct damage caused by a disaster exceeds €3 billion (at 2011 prices) or 0.6% of an EU country’s gross national income (GNI), whichever is lower. Regulation (EU) 2020/461 extends Regulation (EU) 2012/2002 to cover a major public health emergency which means any life-threatening or otherwise serious hazard to health of biological origin in an eligible country seriously affecting human health and requiring decisive action to contain its further spread. To qualify, this emergency would result in a public financial burden inflicted on the eligible country for emergency response measures estimated at over €1.5 billion (at 2011 prices), or more than 0.3% of its GNI. Although major disasters are the EUSF’s main focus, help is also available for more limited regional disasters, for which the eligibility threshold is 1.5% of the region’s gross domestic product (GDP), or 1% for an outermost region. Disaster prevention and risk management strategies The new rules encourage EU countries to put in place disaster prevention and risk management strategies by requiring reports before and after applications. If affected countries repeatedly fail to implement EU law on disaster risk prevention they risk having aid reduced or refused. Eligible countries The EUSF covers EU countries and countries in the course of negotiating EU membership. What is the EUSF used for? The EUSF supplements countries’ own public expenditure to finance essential emergency operations. These include: restoring essential infrastructure e.g. energy, water, health and education;temporary accommodation and costs of emergency services to meet immediate needs;securing of prevention infrastructures, such as dams;measures to protect cultural heritage;clean-up operations; andmeasures aiming at rapidly providing assistance, including medical assistance, to the population affected by a major public health emergency and to protect it from the risk of being affected, including prevention, monitoring or control of the spread of diseases, combating severe risks to public health or mitigating their impact on public health. EUSF payments are limited to financing measures alleviating non-insurable damage and must be recovered if the cost of repairing the damage is subsequently met by a third party. Applications for assistance The affected country must apply to the European Commission within 12 weeks of a disaster. Financial aid proposed by the Commission must then be approved by the Council and the European Parliament. Specific details concerning applications to address the COVID-19 outbreak are available on a dedicated website. Budget The EUSF is funded outside the EU’s normal budget, that is, by additional money raised by EU countries (see the Interinstitutional agreement of December 2013 and summary). The maximum annual budget is €500 million (2011 prices), plus any funds remaining from the preceding year. FROM WHEN DOES THE REGULATION APPLY? Regulation (EC) No 2012/2002 has applied since 15 November 2002. Amending Regulation (EU) No 661/2014 has applied since 28 June 2014. Amending Regulation (EU) 2020/461 has applied since 1 April 2020. BACKGROUND For more information, see: EU Solidarity Fund (European Commission). MAIN DOCUMENT Council Regulation (EC) No 2012/2002 of 11 November 2002 establishing the European Union Solidarity Fund (OJ L 311, 14.11.2002, pp. 3-8) Successive amendments to Regulation (EC) No 2012/2002 have been incorporated into the original text. This consolidated version is of documentary value only. RELATED DOCUMENTS Interinstitutional Agreement of 2 December 2013 between the European Parliament, the Council and the Commission on budgetary discipline, on cooperation in budgetary matters and on sound financial management (OJ C 373, 20.12.2013, pp. 1-11) last update 25.05.2020


6.5.2008 EN Official Journal of the European Union C 111/1 RECOMMENDATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 23 April 2008 on the establishment of the European Qualifications Framework for lifelong learning (Text with EEA relevance) (2008/C 111/01) THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION, Having regard to the Treaty establishing the European Community, and in particular Article 149(4) and Article 150(4) thereof, Having regard to the proposal from the Commission, Having regard to the opinion of the European Economic and Social Committee (1), Having regard to the opinion of the Committee of the Regions (2), Acting in accordance with the procedure laid down in Article 251 of the Treaty (3), Whereas: (1) The development and recognition of citizens' knowledge, skills and competence are crucial for the development of individuals, competitiveness, employment and social cohesion in the Community. Such development and recognition should facilitate transnational mobility for workers and learners and contribute to meeting the requirements of supply and demand in the European labour market. Access to and participation in lifelong learning for all, including disadvantaged people, and the use of qualifications should therefore be promoted and improved at national and Community level. (2) The Lisbon European Council in 2000 concluded that increased transparency of qualifications should be one of the main components necessary to adapt education and training systems in the Community to the demands of the knowledge society. Furthermore, the Barcelona European Council in 2002 called for closer cooperation in the university sector and improvement of transparency and recognition methods in the area of vocational education and training. (3) The Council Resolution of 27 June 2002 on lifelong learning (4) invited the Commission, in close cooperation with the Council and Member States, to develop a framework for the recognition of qualifications for both education and training, building on the achievements of the Bologna process and promoting similar action in the area of vocational training. (4) The joint reports of the Council and the Commission on the implementation of the ‘Education and Training 2010’ work programme, adopted in 2004 and 2006, stressed the need to develop a European Qualifications Framework. (5) In the context of the Copenhagen process, the conclusions of the Council and the representatives of the governments of the Member States, meeting within the Council of 15 November 2004 on the future priorities of enhanced European cooperation in vocational education and training gave priority to the development of an open and flexible European Qualifications Framework, founded on transparency and mutual trust, which should stand as a common reference covering both education and training. (6) The validation of non-formal and informal learning outcomes should be promoted in accordance with the Council conclusions on common European principles for the identification and validation of non-formal and informal learning of 28 May 2004. (7) The Brussels European Councils of March 2005 and March 2006 underlined the importance of adopting a European Qualifications Framework. (8) This Recommendation takes into account Decision No 2241/2004/EC of the European Parliament and of the Council of 15 December 2004 on a single Community framework for the transparency of qualifications and competences (Europass) (5) and Recommendation 2006/962/EC of the European Parliament and of the Council of 18 December 2006 on key competences for lifelong learning (6). (9) This Recommendation is compatible with the framework for the European Higher Education Area and cycle descriptors agreed by the ministers responsible for higher education in 45 European countries at their meeting in Bergen on 19 and 20 May 2005 within the framework of the Bologna process. (10) The Council conclusions on quality assurance in vocational education and training of 23 and 24 May 2004, Recommendation 2006/143/EC of the European Parliament and of the Council of 15 February 2006 on further European cooperation in quality assurance in higher education (7) and the standards and guidelines for quality assurance in the European Higher Education Area agreed by the ministers responsible for higher education at their meeting in Bergen contain common principles for quality assurance which should underpin the implementation of the European Qualifications Framework. (11) This Recommendation is without prejudice to Directive 2005/36/EC of the European Parliament and of the Council of 7 September 2005 on the recognition of professional qualifications (8), which confers rights and obligations on both the relevant national authority and the migrant. Reference to the European Qualifications Framework levels on qualifications should not affect access to the labour market where professional qualifications have been recognised in accordance with Directive 2005/36/EC. (12) The objective of this Recommendation is to create a common reference framework which should serve as a translation device between different qualifications systems and their levels, whether for general and higher education or for vocational education and training. This will improve the transparency, comparability and portability of citizens' qualifications issued in accordance with the practice in the different Member States. Each level of qualification should, in principle, be attainable by way of a variety of educational and career paths. The European Qualifications Framework should, moreover, enable international sectoral organisations to relate their qualifications systems to a common European reference point and thus show the relationship between international sectoral qualifications and national qualifications systems. This Recommendation therefore contributes to the wider objectives of promoting lifelong learning and increasing the employability, mobility and social integration of workers and learners. Transparent quality assurance principles and information exchange will support its implementation, by helping to build mutual trust. (13) This Recommendation should contribute to modernising education and training systems, the interrelationship of education, training and employment and building bridges between formal, non-formal and informal learning, leading also to the validation of learning outcomes acquired through experience. (14) This Recommendation does not replace or define national qualifications systems and/or qualifications. The European Qualifications Framework does not describe specific qualifications or an individual's competences and particular qualifications should be referenced to the appropriate European Qualifications Framework level by way of the relevant national qualifications systems. (15) Given its non-binding nature, this Recommendation conforms to the principle of subsidiarity by supporting and supplementing Member States' activities by facilitating further cooperation between them to increase transparency and to promote mobility and lifelong learning. It should be implemented in accordance with national legislation and practice. (16) Since the objective of this Recommendation, namely the creation of a common reference framework serving as a translation device between different qualifications systems and their levels, cannot be sufficiently achieved by the Member States and can therefore, by reason of the scale and effects of the action envisaged, be better achieved at Community level, the Community may adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty. In accordance with the principle of proportionality as set out in that Article, this Recommendation does not go beyond what is necessary in order to achieve that objective, HEREBY RECOMMEND THAT MEMBER STATES: 1. use the European Qualifications Framework as a reference tool to compare the qualification levels of the different qualifications systems and to promote both lifelong learning and equal opportunities in the knowledge-based society, as well as the further integration of the European labour market, while respecting the rich diversity of national education systems; 2. relate their national qualifications systems to the European Qualifications Framework by 2010, in particular by referencing, in a transparent manner, their qualification levels to the levels set out in Annex II, and, where appropriate, by developing national qualifications frameworks in accordance with national legislation and practice; 3. adopt measures, as appropriate, so that, by 2012, all new qualification certificates, diplomas and ‘Europass’ documents issued by the competent authorities contain a clear reference, by way of national qualifications systems, to the appropriate European Qualifications Framework level; 4. use an approach based on learning outcomes when defining and describing qualifications, and promote the validation of non-formal and informal learning in accordance with the common European principles agreed in the Council conclusions of 28 May 2004, paying particular attention to those citizens most likely to be subject to unemployment or insecure forms of employment, for whom such an approach could help increase participation in lifelong learning and access to the labour market; 5. promote and apply the principles of quality assurance in education and training set out in Annex III when relating higher education and vocational education and training qualifications within national qualifications systems to the European Qualifications Framework; 6. designate national coordination points linked to the particular structures and requirements of the Member States, in order to support and, in conjunction with other relevant national authorities, guide the relationship between national qualifications systems and the European Qualifications Framework with a view to promoting the quality and transparency of that relationship. The tasks of those national coordination points should include: (a) referencing levels of qualifications within national qualifications systems to the European Qualifications Framework levels described in Annex II; (b) ensuring that a transparent methodology is used to reference national qualifications levels to the European Qualifications Framework in order to facilitate comparisons between them on the one hand, and ensuring that the resulting decisions are published on the other; (c) providing access to information and guidance to stakeholders on how national qualifications relate to the European Qualifications Framework through national qualifications systems; (d) promoting the participation of all relevant stakeholders including, in accordance with national legislation and practice, higher education and vocational education and training institutions, social partners, sectors and experts on the comparison and use of qualifications at the European level. ENDORSE THE COMMISSION'S INTENTION TO: 1. support Member States in carrying out the above tasks and international sectoral organisations in using the reference levels and principles of the European Qualifications Framework as set out in this Recommendation, in particular by facilitating cooperation, exchanging good practice and testing — inter alia through voluntary peer review and pilot projects under Community programmes, by launching information and consultation exercises with social dialogue committees — and developing support and guidance material; 2. establish, by 23 April 2009, a European Qualifications Framework advisory group, composed of representatives of Member States and involving the European social partners and other stakeholders, as appropriate, responsible for providing overall coherence and promoting transparency of the process of relating qualifications systems to the European Qualifications Framework; 3. assess and evaluate, in cooperation with the Member States and after consulting the stakeholders concerned, the action taken in response to this Recommendation, including the remit and duration of the advisory group, and, by 23 April 2013, report to the European Parliament and to the Council on the experience gained and implications for the future, including, if necessary, the possible review and revision of this Recommendation; 4. promote close links between the European Qualifications Framework and existing or future European systems for credit transfer and accumulation in higher education and vocational education and training, in order to improve citizens' mobility and facilitate the recognition of learning outcomes. Done at Strasbourg, 23 April 2008. For the European Parliament The President H.-G. PÖTTERING For the Council The President J. LANARČIČ (1) OJ C 175, 27.7.2007, p. 74. (2) OJ C 146, 30.6.2007, p. 77. (3) Opinion of the European Parliament of 24 October 2007 (not yet published in the Official Journal) and Council Decision of 14 February 2008. (4) OJ C 163, 9.7.2002, p. 1. (5) OJ L 390, 31.12.2004, p. 6. (6) OJ L 394, 30.12.2006, p. 10. (7) OJ L 64, 4.3.2006, p. 60. (8) OJ L 255, 30.9.2005, p. 22. Directive as amended by Council Directive 2006/100/EC (OJ L 363, 20.12.2006, p. 141). ANNEX I Definitions For the purposes of the Recommendation, the definitions which apply are the following: (a) ‘qualification’ means a formal outcome of an assessment and validation process which is obtained when a competent body determines that an individual has achieved learning outcomes to given standards; (b) ‘national qualifications system’ means all aspects of a Member State's activity related to the recognition of learning and other mechanisms that link education and training to the labour market and civil society. This includes the development and implementation of institutional arrangements and processes relating to quality assurance, assessment and the award of qualifications. A national qualifications system may be composed of several subsystems and may include a national qualifications framework; (c) ‘national qualifications framework’ means an instrument for the classification of qualifications according to a set of criteria for specified levels of learning achieved, which aims to integrate and coordinate national qualifications subsystems and improve the transparency, access, progression and quality of qualifications in relation to the labour market and civil society; (d) ‘sector’ means a grouping of professional activities on the basis of their main economic function, product, service or technology; (e) ‘international sectoral organisation’ means an association of national organisations, including, for example, employers and professional bodies, which represents the interests of national sectors; (f) ‘learning outcomes’ means statements of what a learner knows, understands and is able to do on completion of a learning process, which are defined in terms of knowledge, skills and competence; (g) ‘knowledge’ means the outcome of the assimilation of information through learning. Knowledge is the body of facts, principles, theories and practices that is related to a field of work or study. In the context of the European Qualifications Framework, knowledge is described as theoretical and/or factual; (h) ‘skills’ means the ability to apply knowledge and use know-how to complete tasks and solve problems. In the context of the European Qualifications Framework, skills are described as cognitive (involving the use of logical, intuitive and creative thinking) or practical (involving manual dexterity and the use of methods, materials, tools and instruments); (i) ‘competence’ means the proven ability to use knowledge, skills and personal, social and/or methodological abilities, in work or study situations and in professional and personal development. In the context of the European Qualifications Framework, competence is described in terms of responsibility and autonomy. ANNEX II Descriptors defining levels in the European Qualifications Framework (EQF) Each of the 8 levels is defined by a set of descriptors indicating the learning outcomes relevant to qualifications at that level in any system of qualifications Knowledge Skills Competence In the context of EQF, knowledge is described as theoretical and/or factual In the context of EQF, skills are described as cognitive (involving the use of logical, intuitive and creative thinking) and practical (involving manual dexterity and the use of methods, materials, tools and instruments) In the context of EQF, competence is described in terms of responsibility and autonomy Level 1 The learning outcomes relevant to Level 1 are basic general knowledge basic skills required to carry out simple tasks work or study under direct supervision in a structured context Level 2 The learning outcomes relevant to Level 2 are basic factual knowledge of a field of work or study basic cognitive and practical skills required to use relevant information in order to carry out tasks and to solve routine problems using simple rules and tools work or study under supervision with some autonomy Level 3 The learning outcomes relevant to Level 3 are knowledge of facts, principles, processes and general concepts, in a field of work or study a range of cognitive and practical skills required to accomplish tasks and solve problems by selecting and applying basic methods, tools, materials and information take responsibility for completion of tasks in work or study adapt own behaviour to circumstances in solving problems Level 4 The learning outcomes relevant to Level 4 are factual and theoretical knowledge in broad contexts within a field of work or study a range of cognitive and practical skills required to generate solutions to specific problems in a field of work or study exercise self-management within the guidelines of work or study contexts that are usually predictable, but are subject to change supervise the routine work of others, taking some responsibility for the evaluation and improvement of work or study activities Level 5 (1) The learning outcomes relevant to Level 5 are comprehensive, specialised, factual and theoretical knowledge within a field of work or study and an awareness of the boundaries of that knowledge a comprehensive range of cognitive and practical skills required to develop creative solutions to abstract problems exercise management and supervision in contexts of work or study activities where there is unpredictable change review and develop performance of self and others Level 6 (2) The learning outcomes relevant to Level 6 are advanced knowledge of a field of work or study, involving a critical understanding of theories and principles advanced skills, demonstrating mastery and innovation, required to solve complex and unpredictable problems in a specialised field of work or study manage complex technical or professional activities or projects, taking responsibility for decision-making in unpredictable work or study contexts take responsibility for managing professional development of individuals and groups Level 7 (3) The learning outcomes relevant to Level 7 are highly specialised knowledge, some of which is at the forefront of knowledge in a field of work or study, as the basis for original thinking and/or research critical awareness of knowledge issues in a field and at the interface between different fields specialised problem-solving skills required in research and/or innovation in order to develop new knowledge and procedures and to integrate knowledge from different fields manage and transform work or study contexts that are complex, unpredictable and require new strategic approaches take responsibility for contributing to professional knowledge and practice and/or for reviewing the strategic performance of teams Level 8 (4) The learning outcomes relevant to Level 8 are knowledge at the most advanced frontier of a field of work or study and at the interface between fields the most advanced and specialised skills and techniques, including synthesis and evaluation, required to solve critical problems in research and/or innovation and to extend and redefine existing knowledge or professional practice demonstrate substantial authority, innovation, autonomy, scholarly and professional integrity and sustained commitment to the development of new ideas or processes at the forefront of work or study contexts including research The Framework for Qualifications of the European Higher Education Area provides descriptors for cycles. Each cycle descriptor offers a generic statement of typical expectations of achievements and abilities associated with qualifications that represent the end of that cycle. (1) The descriptor for the higher education short cycle (within or linked to the first cycle), developed by the Joint Quality Initiative as part of the Bologna process, corresponds to the learning outcomes for EQF level 5. (2) The descriptor for the first cycle in the Framework for Qualifications of the European Higher Education Area agreed by the ministers responsible for higher education at their meeting in Bergen in May 2005 in the framework of the Bologna process corresponds to the learning outcomes for EQF level 6. (3) The descriptor for the second cycle in the Framework for Qualifications of the European Higher Education Area agreed by the ministers responsible for higher education at their meeting in Bergen in May 2005 in the framework of the Bologna process corresponds to the learning outcomes for EQF level 7. (4) The descriptor for the third cycle in the Framework for Qualifications of the European Higher Education Area agreed by the ministers responsible for higher education at their meeting in Bergen in May 2005 in the framework of the Bologna process corresponds to the learning outcomes for EQF level 8. ANNEX III Common Principles for Quality Assurance in Higher Education and Vocational Education and Training in the context of the European Qualifications Framework When implementing the European Qualifications Framework, quality assurance — which is necessary to ensure accountability and the improvement of higher education and vocational education and training — should be carried out in accordance with the following principles: — quality assurance policies and procedures should underpin all levels of the European Qualifications Framework, — quality assurance should be an integral part of the internal management of education and training institutions, — quality assurance should include regular evaluation of institutions, their programmes or their quality assurance systems by external monitoring bodies or agencies, — external monitoring bodies or agencies carrying out quality assurance should be subject to regular review, — quality assurance should include context, input, process and output dimensions, while giving emphasis to outputs and learning outcomes, — quality assurance systems should include the following elements: — clear and measurable objectives and standards, guidelines for implementation, including stakeholder involvement, — appropriate resources, — consistent evaluation methods, associating self-assessment and external review, — feedback mechanisms and procedures for improvement, — widely accessible evaluation results, — quality assurance initiatives at international, national and regional level should be coordinated in order to ensure overview, coherence, synergy and system-wide analysis, — quality assurance should be a cooperative process across education and training levels and systems, involving all relevant stakeholders, within Member States and across the Community, — quality assurance orientations at Community level may provide reference points for evaluations and peer learning.

Summary: Lifelong learning: European Qualifications Lifelong learning: European Qualifications SUMMARY OF: Establishment of the European Qualifications Framework for lifelong learning – Recommendation SUMMARY WHAT DOES THIS RECOMMENDATION DO? It creates a common scheme, known as the European Qualifications Framework (EQF), to help EU countries and their educational institutions, employers and individuals compare qualifications across the EU’s education and training systems. This tool is essential for developing a European employment market. KEY POINTS By making competences and qualifications more transparent, the EQF is an instrument for the promotion of Erasmus+. By means of a standardised dossier, the EQF also complements the European Employment Services (EURES) and the Europass initiative, both of which help Europeans find work or training anywhere in Europe The EQF, which covers both higher education (university and similar establishments) and vocational training, will help increase the mobility of workers and students by allowing for their qualifications to be recognised outside their own country. The EQF is a tool based on learning outcome rather than on the duration of the studies. The main reference level descriptors are: skills (the ability to apply knowledge to complete tasks and solve problems), competences (the ability to use knowledge or skills in work or study situations) and knowledge. The core of the EQF consists of 8 reference levels describing what a learner knows, understands and is able to do. For example, level 1 (basic general knowledge), would apply to someone with no training or education, while level 8 (most advanced knowledge) would apply to someone with a Doctorate degree. The EQF is not supposed to replace national qualifications frameworks (NQFs), but rather to facilitate cooperation between them. An EQF National Coordination Point is set up in each country that participates in the EQF, which coordinates implementation at the national level and provides information on how NQFs relate to the EQF. BACKGROUND The 1999 Bologna Declaration promoted mobility and transparency in education in the EU. Meanwhile, the Bologna Process has brought the EU closer to a comparable, compatible and coherent system for higher education, which sparked the need for similar action that covers vocational training. Learning Opportunities and Qualifications in Europe. ACT Recommendation of the European Parliament and of the Council of 23 April 2008 on the establishment of the European Qualifications Framework for lifelong learning (OJ C 111, 6.5.2008, pp. 1–7) last update 12.01.2016


EUR-Lex - 32001L0084 - EN Avis juridique important | 32001L0084 Directive 2001/84/EC of the European Parliament and of the Council of 27 September 2001 on the resale right for the benefit of the author of an original work of art Official Journal L 272 , 13/10/2001 P. 0032 - 0036 Directive 2001/84/EC of the European Parliament and of the Councilof 27 September 2001on the resale right for the benefit of the author of an original work of artTHE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,Having regard to the Treaty establishing the European Community, and in particular Article 95 thereof,Having regard to the proposal from the Commission(1),Having regard to the opinion of the Economic and Social Committee(2),Acting in accordance with the procedure laid down in Article 251 of the Treaty(3), and in the light of the joint text approved by the Conciliation Committee on 6 June 2001,Whereas:(1) In the field of copyright, the resale right is an unassignable and inalienable right, enjoyed by the author of an original work of graphic or plastic art, to an economic interest in successive sales of the work concerned.(2) The resale right is a right of a productive character which enables the author/artist to receive consideration for successive transfers of the work. The subject-matter of the resale right is the physical work, namely the medium in which the protected work is incorporated.(3) The resale right is intended to ensure that authors of graphic and plastic works of art share in the economic success of their original works of art. It helps to redress the balance between the economic situation of authors of graphic and plastic works of art and that of other creators who benefit from successive exploitations of their works.(4) The resale right forms an integral part of copyright and is an essential prerogative for authors. The imposition of such a right in all Member States meets the need for providing creators with an adequate and standard level of protection.(5) Under Article 151(4) of the Treaty the Community is to take cultural aspects into account in its action under other provisions of the Treaty.(6) The Berne Convention for the Protection of Literary and Artistic Works provides that the resale right is available only if legislation in the country to which the author belongs so permits. The right is therefore optional and subject to the rule of reciprocity. It follows from the case-law of the Court of Justice of the European Communities on the application of the principle of non-discrimination laid down in Article 12 of the Treaty, as shown in the judgment of 20 October 1993 in Joined Cases C-92/92 and C-326/92 Phil Collins and Others(4), that domestic provisions containing reciprocity clauses cannot be relied upon in order to deny nationals of other Member States rights conferred on national authors. The application of such clauses in the Community context runs counter to the principle of equal treatment resulting from the prohibition of any discrimination on grounds of nationality.(7) The process of internationalisation of the Community market in modern and contemporary art, which is now being speeded up by the effects of the new economy, in a regulatory context in which few States outside the EU recognise the resale right, makes it essential for the European Community, in the external sphere, to open negotiations with a view to making Article 14b of the Berne Convention compulsory.(8) The fact that this international market exists, combined with the lack of a resale right in several Member States and the current disparity as regards national systems which recognise that right, make it essential to lay down transitional provisions as regards both entry into force and the substantive regulation of the right, which will preserve the competitiveness of the European market.(9) The resale right is currently provided for by the domestic legislation of a majority of Member States. Such laws, where they exist, display certain differences, notably as regards the works covered, those entitled to receive royalties, the rate applied, the transactions subject to payment of a royalty, and the basis on which these are calculated. The application or non-application of such a right has a significant impact on the competitive environment within the internal market, since the existence or absence of an obligation to pay on the basis of the resale right is an element which must be taken into account by each individual wishing to sell a work of art. This right is therefore a factor which contributes to the creation of distortions of competition as well as displacement of sales within the Community.(10) Such disparities with regard to the existence of the resale right and its application by the Member States have a direct negative impact on the proper functioning of the internal market in works of art as provided for by Article 14 of the Treaty. In such a situation Article 95 of the Treaty constitutes the appropriate legal basis.(11) The objectives of the Community as set out in the Treaty include laying the foundations of an ever closer union among the peoples of Europe, promoting closer relations between the Member States belonging to the Community, and ensuring their economic and social progress by common action to eliminate the barriers which divide Europe. To that end the Treaty provides for the establishment of an internal market which presupposes the abolition of obstacles to the free movement of goods, freedom to provide services and freedom of establishment, and for the introduction of a system ensuring that competition in the common market is not distorted. Harmonisation of Member States' laws on the resale right contributes to the attainment of these objectives.(12) The Sixth Council Directive (77/388/EEC) of 17 May 1977 on the harmonisation of the laws of the Member States relating to turnover taxes - common system of value added tax: uniform basis of assessment(5), progressively introduces a Community system of taxation applicable inter alia to works of art. Measures confined to the tax field are not sufficient to guarantee the harmonious functioning of the art market. This objective cannot be attained without harmonisation in the field of the resale right.(13) Existing differences between laws should be eliminated where they have a distorting effect on the functioning of the internal market, and the emergence of any new differences of that kind should be prevented. There is no need to eliminate, or prevent the emergence of, differences which cannot be expected to affect the functioning of the internal market.(14) A precondition of the proper functioning of the internal market is the existence of conditions of competition which are not distorted. The existence of differences between national provisions on the resale right creates distortions of competition and displacement of sales within the Community and leads to unequal treatment between artists depending on where their works are sold. The issue under consideration has therefore transnational aspects which cannot be satisfactorily regulated by action by Member States. A lack of Community action would conflict with the requirement of the Treaty to correct distortions of competition and unequal treatment.(15) In view of the scale of divergences between national provisions it is therefore necessary to adopt harmonising measures to deal with disparities between the laws of the Member States in areas where such disparities are liable to create or maintain distorted conditions of competition. It is not however necessary to harmonise every provision of the Member States' laws on the resale right and, in order to leave as much scope for national decision as possible, it is sufficient to limit the harmonisation exercise to those domestic provisions that have the most direct impact on the functioning of the internal market.(16) This Directive complies therefore, in its entirety, with the principles of subsidiarity and proportionality as laid down in Article 5 of the Treaty.(17) Pursuant to Council Directive 93/98/EEC of 29 October 1993 harmonising the term of protection of copyright and certain related rights(6), the term of copyright runs for 70 years after the author's death. The same period should be laid down for the resale right. Consequently, only the originals of works of modern and contemporary art may fall within the scope of the resale right. However, in order to allow the legal systems of Member States which do not, at the time of the adoption of this Directive, apply a resale right for the benefit of artists to incorporate this right into their respective legal systems and, moreover, to enable the economic operators in those Member States to adapt gradually to the aforementioned right whilst maintaining their economic viability, the Member States concerned should be allowed a limited transitional period during which they may choose not to apply the resale right for the benefit of those entitled under the artist after his death.(18) The scope of the resale right should be extended to all acts of resale, with the exception of those effected directly between persons acting in their private capacity without the participation of an art market professional. This right should not extend to acts of resale by persons acting in their private capacity to museums which are not for profit and which are open to the public. With regard to the particular situation of art galleries which acquire works directly from the author, Member States should be allowed the option of exempting from the resale right acts of resale of those works which take place within three years of that acquisition. The interests of the artist should also be taken into account by limiting this exemption to such acts of resale where the resale price does not exceed EUR 10000.(19) It should be made clear that the harmonisation brought about by this Directive does not apply to original manuscripts of writers and composers.(20) Effective rules should be laid down based on experience already gained at national level with the resale right. It is appropriate to calculate the royalty as a percentage of the sale price and not of the increase in value of works whose original value has increased.(21) The categories of works of art subject to the resale right should be harmonised.(22) The non-application of royalties below the minimum threshold may help to avoid disproportionately high collection and administration costs compared with the profit for the artist. However, in accordance with the principle of subsidiarity, the Member States should be allowed to establish national thresholds lower than the Community threshold, so as to promote the interests of new artists. Given the small amounts involved, this derogation is not likely to have a significant effect on the proper functioning of the internal market.(23) The rates set by the different Member States for the application of the resale right vary considerably at present. The effective functioning of the internal market in works of modern and contemporary art requires the fixing of uniform rates to the widest possible extent.(24) It is desirable to establish, with the intention of reconciling the various interests involved in the market for original works of art, a system consisting of a tapering scale of rates for several price bands. It is important to reduce the risk of sales relocating and of the circumvention of the Community rules on the resale right.(25) The person by whom the royalty is payable should, in principle, be the seller. Member States should be given the option to provide for derogations from this principle in respect of liability for payment. The seller is the person or undertaking on whose behalf the sale is concluded.(26) Provision should be made for the possibility of periodic adjustment of the threshold and rates. To this end, it is appropriate to entrust to the Commission the task of drawing up periodic reports on the actual application of the resale right in the Member States and on the impact on the art market in the Community and, where appropriate, of making proposals relating to the amendment of this Directive.(27) The persons entitled to receive royalties must be specified, due regard being had to the principle of subsidiarity. It is not appropriate to take action through this Directive in relation to Member States' laws of succession. However, those entitled under the author must be able to benefit fully from the resale right after his death, at least following the expiry of the transitional period referred to above.(28) The Member States are responsible for regulating the exercise of the resale right, particularly with regard to the way this is managed. In this respect management by a collecting society is one possibility. Member States should ensure that collecting societies operate in a transparent and efficient manner. Member States must also ensure that amounts intended for authors who are nationals of other Member States are in fact collected and distributed. This Directive is without prejudice to arrangements in Member States for collection and distribution.(29) Enjoyment of the resale right should be restricted to Community nationals as well as to foreign authors whose countries afford such protection to authors who are nationals of Member States. A Member State should have the option of extending enjoyment of this right to foreign authors who have their habitual residence in that Member State.(30) Appropriate procedures for monitoring transactions should be introduced so as to ensure by practical means that the resale right is effectively applied by Member States. This implies also a right on the part of the author or his authorised representative to obtain any necessary information from the natural or legal person liable for payment of royalties. Member States which provide for collective management of the resale right may also provide that the bodies responsible for that collective management should alone be entitled to obtain information,HAVE ADOPTED THIS DIRECTIVE:CHAPTER ISCOPEArticle 1Subject matter of the resale right1. Member States shall provide, for the benefit of the author of an original work of art, a resale right, to be defined as an inalienable right, which cannot be waived, even in advance, to receive a royalty based on the sale price obtained for any resale of the work, subsequent to the first transfer of the work by the author.2. The right referred to in paragraph 1 shall apply to all acts of resale involving as sellers, buyers or intermediaries art market professionals, such as salesrooms, art galleries and, in general, any dealers in works of art.3. Member States may provide that the right referred to in paragraph 1 shall not apply to acts of resale where the seller has acquired the work directly from the author less than three years before that resale and where the resale price does not exceed EUR 10000.4. The royalty shall be payable by the seller. Member States may provide that one of the natural or legal persons referred to in paragraph 2 other than the seller shall alone be liable or shall share liability with the seller for payment of the royalty.Article 2Works of art to which the resale right relates1. For the purposes of this Directive, "original work of art" means works of graphic or plastic art such as pictures, collages, paintings, drawings, engravings, prints, lithographs, sculptures, tapestries, ceramics, glassware and photographs, provided they are made by the artist himself or are copies considered to be original works of art.2. Copies of works of art covered by this Directive, which have been made in limited numbers by the artist himself or under his authority, shall be considered to be original works of art for the purposes of this Directive. Such copies will normally have been numbered, signed or otherwise duly authorised by the artist.CHAPTER IIPARTICULAR PROVISIONSArticle 3Threshold1. It shall be for the Member States to set a minimum sale price from which the sales referred to in Article 1 shall be subject to resale right.2. This minimum sale price may not under any circumstances exceed EUR 3000.Article 4Rates1. The royalty provided for in Article 1 shall be set at the following rates:(a) 4 % for the portion of the sale price up to EUR 50000;(b) 3 % for the portion of the sale price from EUR 50000,01 to EUR 200000;(c) 1 % for the portion of the sale price from EUR 200000,01 to EUR 350000;(d) 0,5 % for the portion of the sale price from EUR 350000,01 to EUR 500000;(e) 0,25 % for the portion of the sale price exceeding EUR 500000.However, the total amount of the royalty may not exceed EUR 12500.2. By way of derogation from paragraph 1, Member States may apply a rate of 5 % for the portion of the sale price referred to in paragraph 1(a).3. If the minimum sale price set should be lower than EUR 3000, the Member State shall also determine the rate applicable to the portion of the sale price up to EUR 3000; this rate may not be lower than 4 %.Article 5Calculation basisThe sale prices referred to in Articles 3 and 4 are net of tax.Article 6Persons entitled to receive royalties1. The royalty provided for under Article 1 shall be payable to the author of the work and, subject to Article 8(2), after his death to those entitled under him/her.2. Member States may provide for compulsory or optional collective management of the royalty provided for under Article 1.Article 7Third-country nationals entitled to receive royalties1. Member States shall provide that authors who are nationals of third countries and, subject to Article 8(2), their successors in title shall enjoy the resale right in accordance with this Directive and the legislation of the Member State concerned only if legislation in the country of which the author or his/her successor in title is a national permits resale right protection in that country for authors from the Member States and their successors in title.2. On the basis of information provided by the Member States, the Commission shall publish as soon as possible an indicative list of those third countries which fulfil the condition set out in paragraph 1. This list shall be kept up to date.3. Any Member State may treat authors who are not nationals of a Member State but who have their habitual residence in that Member State in the same way as its own nationals for the purpose of resale right protection.Article 8Term of protection of the resale right1. The term of protection of the resale right shall correspond to that laid down in Article 1 of Directive 93/98/EEC.2. By way of derogation from paragraph 1, those Member States which do not apply the resale right on (the entry into force date referred to in Article 13), shall not be required, for a period expiring not later than 1 January 2010, to apply the resale right for the benefit of those entitled under the artist after his/her death.3. A Member State to which paragraph 2 applies may have up to two more years, if necessary to enable the economic operators in that Member State to adapt gradually to the resale right system while maintaining their economic viability, before it is required to apply the resale right for the benefit of those entitled under the artist after his/her death. At least 12 months before the end of the period referred to in paragraph 2, the Member State concerned shall inform the Commission giving its reasons, so that the Commission can give an opinion, after appropriate consultations, within three months following the receipt of such information. If the Member State does not follow the opinion of the Commission, it shall within one month inform the Commission and justify its decision. The notification and justification of the Member State and the opinion of the Commission shall be published in the Official Journal of the European Communities and forwarded to the European Parliament.4. In the event of the successful conclusion, within the periods referred to in Article 8(2) and (3), of international negotiations aimed at extending the resale right at international level, the Commission shall submit appropriate proposals.Article 9Right to obtain informationThe Member States shall provide that for a period of three years after the resale, the persons entitled under Article 6 may require from any art market professional mentioned in Article 1(2) to furnish any information that may be necessary in order to secure payment of royalties in respect of the resale.CHAPTER IIIFINAL PROVISIONSArticle 10Application in timeThis Directive shall apply in respect of all original works of art as defined in Article 2 which, on 1 January 2006, are still protected by the legislation of the Member States in the field of copyright or meet the criteria for protection under the provisions of this Directive at that date.Article 11Revision clause1. The Commission shall submit to the European Parliament, the Council and the Economic and Social Committee not later than 1 January 2009 and every four years thereafter a report on the implementation and the effect of this Directive, paying particular attention to the competitiveness of the market in modern and contemporary art in the Community, especially as regards the position of the Community in relation to relevant markets that do not apply the resale right and the fostering of artistic creativity and the management procedures in the Member States. It shall examine in particular its impact on the internal market and the effect of the introduction of the resale right in those Member States that did not apply the right in national law prior to the entry into force of this Directive. Where appropriate, the Commission shall submit proposals for adapting the minimum threshold and the rates of royalty to take account of changes in the sector, proposals relating to the maximum amount laid down in Article 4(1) and any other proposal it may deem necessary in order to enhance the effectiveness of this Directive.2. A Contact Committee is hereby established. It shall be composed of representatives of the competent authorities of the Member States. It shall be chaired by a representative of the Commission and shall meet either on the initiative of the Chairman or at the request of the delegation of a Member State.3. The task of the Committee shall be as follows:- to organise consultations on all questions deriving from application of this Directive,- to facilitate the exchange of information between the Commission and the Member States on relevant developments in the art market in the Community.Article 12Implementation1. Member States shall bring into force the laws, regulations and administrative provisions necessary to comply with this Directive before 1 January 2006. They shall forthwith inform the Commission thereof.When Member States adopt these measures, they shall contain a reference to this Directive or shall be accompanied by such reference on the occasion of their official publication. The methods of making such a reference shall be laid down by the Member States.2. Member States shall communicate to the Commission the provisions of national law which they adopt in the field covered by this Directive.Article 13Entry into forceThis Directive shall enter into force on the day of its publication in the Official Journal of the European Communities.Article 14AddresseesThis Directive is addressed to the Member States.Done at Brussels, 27 September 2001.For the European ParliamentThe PresidentN. FontaineFor the CouncilThe PresidentC. Picqué(1) OJ C 178, 21.6.1996, p. 16 and OJ C 125, 23.4.1998, p. 8.(2) OJ C 75, 10.3.1997, p. 17.(3) Opinion of the European Parliament of 9 April 1997 (OJ C 132, 28.4.1997, p. 88), confirmed on 27 October 1999, Council Common Position of 19 June 2000 (OJ C 300, 20.10.2000, p. 1) and Decision of the European Parliament of 13 December 2000 (OJ C 232, 17.8.2001, p. 173). Decision of the European Parliament of 3 July 2001 and Decision of the Council of 19 July 2001.(4) [1993] ECR I-5145.(5) OJ L 145, 13.6.1977, p. 1. Directive as last amended by Directive 1999/85/EC (OJ L 277, 28.10.1999, p. 34).(6) OJ L 290, 24.11.1993, p. 9.

Summary: Resale right for the benefit of the author of an original work of art Resale right for the benefit of the author of an original work of art SUMMARY OF: Directive 2001/84/EC on the resale right for the benefit of the author of an original work of art WHAT IS THE AIM OF THE DIRECTIVE? It aims to introduce a compulsory resale right* for the benefit of authors of original works of art across the EU. KEY POINTS Works of art to which the resale right relates Provided that works of art are made by the artist or that they are copies made in limited numbers which are considered to be original works of art according to professional usage (limited productions or signed works, for example), the resale right applies to works such as: pictures; collages; paintings; drawings; engravings; prints; lithographs; sculptures; tapestries; ceramics; glassware; and photographs. The resale right does not apply to original manuscripts of writers or composers. Subject matter of the resale right The resale right is normally payable by the seller. Nevertheless, EU countries may pass laws that allow a professional other than the seller to be the sole person responsible for paying the resale right or to share this responsibility with the seller. EU countries may also determine that the resale right does not apply: where the seller has acquired the work directly from the author less than 3 years before the resale; andwhere the resale price does not exceed €10,000. Term of protection of the resale right The term of protection is laid down by Directive 2006/116/EC which harmonises the term of protection of copyright and certain related rights and lasts for a period of 70 years after the death of the author. Calculation of the resale right EU countries are obliged to set a minimum sale price for sales subject to the resale right. This minimum sale price may not exceed €3,000. Artists receive royalties calculated as a percentage of the sale price of their works. The sale price is divided into five portions, and the rate of the royalty ranges from 4% to 0.25%, depending on the portion. However, the total amount of the royalty may not exceed €12,500. Beneficiaries The resale right benefits the author of the work and, after his or her death, those entitled under him or her. Authors who are nationals of non-EU countries may benefit from the resale right if the legislation in their country permits resale right protection in that country for authors from EU countries. However, EU countries may decide to apply this directive to authors who are nationals of non-EU countries but whose habitual residence is in the EU country concerned. Right to obtain information For a period of 3 years after the resale, the persons entitled to receive royalties have the right to demand of any art market professional any information that may be necessary to secure payment of royalties from the resale. Report on implementation of the directive and key principles and recommendations In 2011, the European Commission adopted a report on the directive’s implementation. This proposed establishing a stakeholder dialogue (including rights collection management organisations, authors and art market professionals such as art dealers, galleries, auctioneers) tasked to recommend how to improve the system of resale right collection and distribution in the EU. In 2014, the representatives of these organisations signed up to ‘Key Principles and Recommendations on the management of the Author Resale Right’. FROM WHEN DOES THE DIRECTIVE APPLY? This directive applies to all original works of art which, on 1 January 2006: were protected by EU countries’ copyright laws; ormet the criteria for protection under this directive. It has applied since 13 October 2001 and had to become law in the EU countries by 1 January 2006. BACKGROUND Although the Berne Convention for the Protection of Literary and Artistic Works gives the author of an original work of art the resale right, this is not binding, which means that certain EU countries do not apply it. As a result of this, there are barriers to the internal market and distortions of competition within it, as well as a lack of protection for the authors of original artistic works. KEY TERMS Resale right: the right, for the benefit of the author of an original work of art, to receive a percentage of the price obtained for any resale, made by professionals from the art market, of this work (auction houses, galleries or any other art market). MAIN DOCUMENT Directive 2001/84/EC of the European Parliament and of the Council of 27 September 2001 on the resale right for the benefit of the author of an original work of art (OJ L 272, 13.10.2001, pp. 32-36) RELATED DOCUMENTS Report from the Commission to the European Parliament, the Council, the European Economic and Social Committee: Report on the Implementation and Effect of the Resale Right Directive (2001/84/EC) (COM(2011) 878 final, 14.12.2011) Directive 2006/116/EC of the European Parliament and of the Council of 12 December 2006 on the term of protection of copyright and certain related rights (codified version) (OJ L 372, 27.12.2006, pp. 12-18) Subsequent amendments to Directive 2006/116/EC have been incorporated in the basic text. This consolidated version is of documentary value only. last update 11.01.2019