title: Council Recommendation of 26 November 2018 on promoting automatic mutual recognition of higher education and upper secondary education and training qualifications and the outcomes of learning periods abroad

text:
               10.12.2018

               EN

               Official Journal of the European Union

               C 444/1

      COUNCIL RECOMMENDATION
      of 26 November 2018
      on promoting automatic mutual recognition of higher education and upper secondary education and training qualifications and the outcomes of learning periods abroad
      (2018/C 444/01)
      THE COUNCIL OF THE EUROPEAN UNION,
      Having regard to the Treaty on the Functioning of the European Union, and in particular Articles 165 and 166 thereof,
      Having regard to the proposal from the European Commission,
      Whereas:

                  (1)

                  Learning mobility fosters knowledge, skills, competences and experiences, including personal and social competences and cultural awareness, that are crucial for active participation in society and the labour market, as well as for promoting a European identity.

                  (2)

                  The European Commission, in its Communication on Strengthening European Identity through Education and Culture (1), set out a vision for the creation of a European Education Area by 2025 in which learning, studying and carrying out research will not be hampered by borders, including by removing obstacles to the recognition of qualifications, both at the level of schools and higher education.

                  (3)

                  The European Council Conclusions of 14 December 2017 called on Member States, the Council and the Commission, in line with their respective competences, to take work forward in ‘promoting cooperation of Member States on mutual recognition of higher education and school-leaving diplomas at secondary education level’ (2).

                  (4)

                  The 1997 Convention on the Recognition of Qualifications concerning Higher Education in the European Region (Lisbon Recognition Convention) and its subsidiary texts, developed by the Council of Europe and Unesco, provides a legal framework for the recognition of higher education and upper secondary qualifications that give access to higher education.

                  (5)

                  Ministers for Education of the European Higher Education Area committed to the long-term goal of automatic recognition of comparable academic degrees in the Bucharest Communiqué of 2012. Progress was made including through the work of the Pathfinder Group on Automatic Recognition, but the goal has not been reached yet.

                  (6)

                  Ministers responsible for vocational education and training in Member States committed in 2002 to the Copenhagen Process, a process of enhanced cooperation that promotes recognition of qualifications and competences.

                  (7)

                  Quality assurance in particular has a key role to play in improving transparency, thus helping to build mutual trust. It is therefore important to build on the work already accomplished in the context of the Standards and Guidelines for Quality Assurance in the European Higher Education Area, the European Quality Assurance Reference Framework for Vocational Education and Training and referencing to the European Qualifications Framework for lifelong learning.

                  (8)

                  To facilitate the recognition of the learning outcomes in national legislation, including in the framework of mobility, the work on the implementation of a European Credit Transfer and Accumulation System and European Credit System for Vocational Education and Training should continue.

                  (9)

                  The Council Recommendation of 22 May 2017 on a European Qualifications Framework for Lifelong Learning (3) set out to improve the transparency, comparability and portability of qualifications, thus facilitating their recognition.

                  (10)

                  The European Parliament, in its Resolution of 20 April 2012 on Modernising Europe's higher education systems, calls for additional efforts on the part of the EU and its Member States to ensure more effective recognition and greater harmonisation of academic qualifications (4).

                  (11)

                  In an increasingly globalised context, it is important that students can make the best possible use of all learning opportunities across Europe. For this to happen, a qualification awarded by a competent authority in one Member State should be valid in any other Member State for the purpose of accessing further learning activities. This includes third-country nationals who hold a qualification from one Member State and move to another Member State. However, the lack of this automatic recognition of qualifications and the outcomes of learning periods abroad is hampering mobility. A Union-wide approach to automatic recognition will provide the needed clarity and consistency to overcome remaining barriers.

                  (12)

                  In higher education, recognition procedures often remain too complicated or too expensive and too many mobile students do not obtain full recognition of successfully achieved learning outcomes. However, several Member States have taken the initiative to make progress towards automatic mutual recognition, including through the signature of regional agreements. These initiatives could serve as models for the creation of a Union-wide system.

                  (13)

                  At upper secondary education and training level, holders of qualifications giving access to higher education in one Member State often lack certainty about access to higher education in another Member State. In particular, some Member States do not recognise the qualifications that open access to higher education for holders of secondary qualifications in vocational education and training in other Member States. Furthermore, while shorter learning periods abroad do not necessarily create recognition problems, uncertainty remains an important challenge for periods between three months and one year.

                  (14)

                  A step-by-step approach will support Member States in putting in place the conditions that will make automatic mutual recognition possible. This approach will build on the tools already in place for higher education and vocational education and training, but will improve their use and progressively raise the level of ambition. In upper general secondary education and training, a cooperation process aimed at building the necessary level of trust between Member States' different education and training systems will be launched. This Recommendation provides a complementary approach to Member States' initiatives, and commitments are of a voluntary nature.

                  (15)

                  This Recommendation is without prejudice to the system for mutual recognition of professional qualifications and harmonised minimum training requirements for several professions pursuant to Directive 2005/36/EC of the European Parliament and the Council (5) as amended by Directive 2013/55/EU of the European Parliament and of the Council (6).

            HEREBY RECOMMENDS THAT MEMBER STATES:
      In accordance with national and Union legislation, available resources and national circumstances, building on the Lisbon Recognition Convention (7) and its subsidiary texts and in close cooperation with all relevant stakeholders:

         Key Principle

                  1.

                  Put in place, by 2025, the steps necessary to

                              a)

                              achieve automatic mutual recognition (8) for the purpose of further learning without having to go through a separate recognition procedure, so that:

                                          i)

                                          a higher education qualification acquired in one Member State is automatically recognised (9) at the same level, for the purpose of accessing further studies, in the others, without prejudicing a higher education institution's or the competent authorities' right to set specific admission criteria for specific programmes or to check the authenticity of documents;

                                          ii)

                                          the outcomes from a learning period abroad at higher education level in one Member State are automatically and fully recognised in the others, as agreed beforehand in a learning agreement and confirmed in the Transcript of Records, in line with the European Credit Transfer and Accumulation System;

                              b)

                              make substantial progress towards the automatic mutual recognition for the purpose of further learning, so that:

                                          i)

                                          an upper secondary education and training qualification giving access to higher education in the Member State where this qualification was granted is recognised, only for the purpose of giving access to higher education, in the other Member States, without prejudicing a higher education institution's or the competent authorities' right to set specific admission criteria for specific programmes or to check the authenticity of documents;

                                          ii)

                                          the outcomes from a learning period of up to one year abroad in another Member State during upper secondary education and training are recognised in any other, with the learner not being required to repeat the programme year or achieved learning outcomes in the country of origin, provided that the learning outcomes are broadly in line with the national curricula in the country of origin.

         Higher Education

                  2.

                  Acknowledging the importance of fostering transparency and building trust in each other's higher education systems to achieve automatic mutual recognition for the purpose of further learning, agree on fulfilling the following conditions, in which:

                              a)

                              national qualifications frameworks or systems are referenced to the European Qualifications Framework, with the referencing reviewed and updated when relevant, and self-certified to the Qualifications Framework of the European Higher Education Area;

                              b)

                              higher education systems are organised in line with Bologna Process structures and principles, comprising a three-cycle framework and, where applicable to the Member State, a short cycle as defined in the qualification framework of the European Higher Education Area; and

                              c)

                              external quality assurance is carried out by independent quality assurance agencies registered, or moving towards being registered, with the European Quality Assurance Register and which thus operate in line with both the Standards and Guidelines for Quality Assurance in the European Higher Education Area and the European Approach for Quality Assurance of Joint Programmes.

                  3.

                  In cooperation with National Academic Recognition Information Centres, higher education institutions, quality assurance agencies and other key stakeholders, develop national guidance to support higher education institutions in producing and effectively implementing the following transparency tools, according to the European Credit Transfer and Accumulation System guidelines, thereby ensuring consistency and reducing administrative burdens for higher education institutions and learners:

                              a)

                              up-to-date Course Catalogue, with descriptions of degree programmes, single educational units and grade distribution tables;

                              b)

                              Diploma Supplements for all graduates, issued automatically and free of charge in a widely used language and, where possible, in digital format; and

                              c)

                              transparent criteria for recognition that are applied throughout each higher education institution.

                  4.

                  In cooperation with National Academic Recognition Information Centres provide expert support and training to higher education institutions to implement such national guidance, and monitor its implementation.

         Upper Secondary Education and Training

                  5.

                  In order to make substantial progress towards automatic mutual recognition of upper secondary education and training qualifications only for the purpose of further learning, foster transparency and build trust in each other's secondary education and training systems by:

                              a)

                              ensuring that national qualifications frameworks or systems are referenced to the European Qualifications Framework with the referencing reviewed and updated, when relevant;

                              b)

                              exchanging information and promoting mutual learning on quality assurance systems in school education, while fully respecting different national approaches in quality assurance; and

                              c)

                              developing further quality assurance instruments in vocational education and training in line with the European Framework for Quality Assurance in Vocational Education and Training and its further developments.

                  6.

                  Facilitate mobility and recognition of the outcomes of learning periods abroad during upper secondary education and training by:

                              a)

                              supporting upper secondary education and training institutions on general principles and tools for recognition, for example through guidance material or training;

                              b)

                              promoting the use of transparent criteria and tools, such as learning outcomes-based learning agreements between the sending and hosting institutions. In vocational education and training, extending the use of the Union tools (10); and

                              c)

                              promoting the benefits of mobility among upper secondary education and training institutions and learners and their families.

         National Academic Recognition Information Centres

                  7.

                  Develop the capacity and strengthen the role of National Academic Recognition Information Centres and credential evaluators, in particular with regard to information dissemination, the use of online tools to improve efficiency, transparency and consistency, and the goal of reducing administrative and financial burden for users of their services.

         Permeability and mobility

                  8.

                  Explore good practice with regard to the recognition of prior learning and permeability between education and training sectors, in particular between vocational education and training and higher education.

         Evidence Base

                  9.

                  Improve the evidence base by collecting and disseminating data on the extent and nature of recognition cases for the purpose of this Recommendation.

         Reporting and Evaluation

                  10.

                  Within three years from the adoption of this Recommendation, and regularly thereafter, report through existing frameworks and tools on experiences, good practices, including regional agreements, and progress towards automatic mutual recognition of qualifications and the outcomes of learning periods abroad.

            HEREBY WELCOMES THE COMMISSION'S INTENTION TO:

                  11.

                  Provide targeted support to Member States, including mutual learning, mapping of obstacles experienced in the current practice of recognition of qualifications, exchange of good practices and facilitating cooperation between Member States and with stakeholders, recognition authorities and international organisations, in particular the Council of Europe and the United Nations Educational, Scientific and Cultural Organisation. This cooperation shall aim to ensure the full implementation of the Bologna Process instruments for higher education in the Union, the Lisbon Recognition Convention and its subsidiary texts and the Copenhagen Process instruments for vocational education and training.

                  12.

                  In the field of general upper secondary education, launch a Union level cooperation process under the Strategic Framework for European Cooperation in Education and Training ET 2020 or any successor framework, jointly with Member States, to initiate closer cooperation and exchange of practices among Member States at upper secondary education level to achieve the objectives of this Recommendation to foster transparency and build mutual trust in school education systems across the Union.

                  13.

                  Establish, in cooperation with Member States, a user-friendly Union level online information service of upper secondary education and training qualifications giving access to higher education in each Member State, by further developing existing online platforms.

                  14.

                  Explore synergies between Union transparency tools (11) and, where appropriate, develop them further, with the objective of improving cooperation and mobility between education and training sectors.

                  15.

                  Explore, in cooperation with Member States, the potential of new technologies, such as blockchain technology, to facilitate automatic mutual recognition.

                  16.

                  Explore, in cooperation with Member States and the National Academic Recognition Information Centres, an extension of their role to encompass other sectors of education and training and how to support them in such an extension.

                  17.

                  Support the use of European sources of funding, such as Erasmus+ or European Structural and Investment Funds, where appropriate and in line with their financial capacity, legal basis, decision-making procedures and priorities defined for the period 2014-2020, without any prejudice to negotiations on the next Multiannual Financial Framework. Strengthen mobility in secondary education and training within the Erasmus+ Programme and its successor Programme.

                  18.

                  Report to the Council within four years on the follow-up of the Recommendation through existing frameworks and tools, based on Member States' contributions.

         Done at Brussels, 26 November 2018.

               For the Council

               The President

            J. BOGNER-STRAUSS

         (1)  COM(2017) 673 final.

         (2)  EUCO 19/1/17 REV 1

         (3)  OJ C 189, 15.6.2017, p. 15.

         (4)  P7_TA(2012) 0139

         (5)  Directive 2005/36/EC of the European Parliament and of the Council of 7 September 2005 on the recognition of professional qualifications (OJ L 255, 30.9.2005, p. 22).

         (6)  Directive 2013/55/EU of the European Parliament and of the Council of 20 November 2013 amending Directive 2005/36/EC on the recognition of professional qualifications and Regulation (EU) No 1024/2012 on administrative cooperation through the Internal Market Information System (‘the IMI Regulation’) (OJ L 354, 28.12.2013, p. 132).

         (7)  The Lisbon Convention on the Recognition of Qualifications concerning Higher Education in the European Region.

         (8)  As defined in the Annex.

         (9)  As defined in the Lisbon Recognition Convention and last confirmed for the Bologna Process in the Paris Communiqué of 25 May 2018.

         (10)  Such as those made available through the Europass online platform and the Memorandum of Understanding and Learning Agreement that are part of the European Credit system for Vocational Education and Training.

         (11)  Such as the Diploma Supplement, the Certificate Supplement, the European Credit Transfer and Accumulation System, the European Credit System for Vocational Education and Training, the European Qualifications Framework and those made available through the Europass online platform.

         ANNEX
         GLOSSARY

            Automatic mutual recognition of a qualification: the right for holders of a qualification of a certain level that has been issued by one Member State to be considered for entry to a higher education programme in the next level in any other Member State, without having to go through any separate recognition procedure. This shall not prejudice the right of a higher education institution or the competent authorities to set specific evaluation and admission criteria for a specific programme. It does not prejudice the right to check, if the qualification is authentic and, in case of an upper secondary education and training qualification, if it really gives access to higher education in the Member State of issuance or, in duly justified cases, if the granted qualification meets the requirements for accessing a specific higher education programme in the receiving Member State.

            Automatic mutual recognition of the outcomes of a learning period abroad: at higher education level, the right to have the learning outcomes of a learning period recognised: as agreed beforehand in a learning agreement and confirmed in the Transcript of Records, in line with the European Credit Transfer and Accumulation System (ECTS). Concretely, it means applying the rule set out in the 2015 ECTS Users' Guide that states that: ‘[a]ll credits gained during the period of study abroad or during the virtual mobility – as agreed in the Learning Agreement and confirmed by the Transcript of Records – should be transferred without delay and counted towards the students' degree without any additional work or assessment of the student’. At upper secondary level, the right to have the learning outcomes from a learning period abroad in one Member State recognised in the country of origin, provided that the learning outcomes are broadly in line with those in the national curricula of the country of origin. This shall not prejudice the right of an education and training institution to set specific requirements in advance of a period of learning mobility, or to check that those requirements have been fulfilled on return from a period of learning mobility.

            Blockchain: a way of enabling information to be recorded and shared by a community. Each member of the community maintains his or her own copy of the information. Entries are permanent, transparent and searchable. Each update is a new ‘block’ added to the end of a ‘chain’.

            Certificate Supplement: a document attached to a vocational education and training or professional certificate issued by the competent authorities or bodies, in order to make it easier for third persons – particularly in another country – to understand the learning outcomes acquired by the holder of the qualification, as well as the nature, level, context, content and status of the education and training completed and skills acquired.

            Course Catalogue: described in the ECTS Users' Guide (2015) as ‘[t]he Course Catalogue includes detailed, user-friendly and up-to-date information on the institution's learning environment (general information on the institution, its resources and services, as well as academic information on its programmes and individual educational components) that should be available to students before entering and throughout their studies to help them to make the right choices and use their time most efficiently. The Course Catalogue should be published on the institution's website, indicating the course/subject titles in the national language (or regional language, if relevant) and in English, so that all interested parties can easily access it. The institution is free to decide the format of the Catalogue, as well as the sequencing of the information. It should be published sufficiently in advance for prospective students to make their choices’.

            Competent authority: an individual or organisation that has the legally delegated or invested authority, capacity or power to perform a designated function.

            Credential Evaluator: a person who evaluates qualifications or makes decisions on their recognition.

            Diploma Supplement: a document attached to a higher education diploma issued by the competent authorities or bodies, in order to make it easier for third persons – particularly in another country – to understand the learning outcomes acquired by the holder of the qualification, as well as the nature, level, context, content and status of the education and training completed and skills acquired.

            European Approach for Quality Assurance of Joint Programmes: endorsed by Education Ministers of the European Higher Education Area in 2015, its objective is to improve quality assurance of joint programmes by setting standards and removing obstacles to their recognition.

            European Credit System for Vocational Education and Training (ECVET): a technical framework for the transfer, recognition and, where appropriate, accumulation of individuals' learning outcomes with a view to achieving a qualification. The European Credit System for Vocational Education and Training relies on the description of qualifications in units of learning outcomes, on transfer, recognition and accumulation processes, and on a series of complementary documents, such as memoranda of understanding and learning agreements.

            European Credit Transfer and Accumulation System (ECTS): described in the ECTS Users' Guide (2015) as ‘[a] learner-centred system for credit accumulation and transfer, based on the principle of transparency of learning, teaching and assessment processes. Its objective is to facilitate planning, delivery and evaluation of study programmes and student mobility by recognising learning achievements and qualifications and periods of learning’.

            European Higher Education Area Qualifications Framework (EHEA QF): overarching framework for qualifications within the 48-country European Higher Education Area. It comprises four cycles (short cycle, Bachelor, Master, doctoral studies), including, within national contexts, intermediate qualifications, generic descriptors for each cycle based on learning outcomes and competences, and credit ranges in the first and second cycle.

            European Quality Assurance Register for Higher Education (EQAR): a register of quality assurance agencies, listing those that have demonstrated their substantial compliance with a common set of principles for quality assurance in Europe. These principles are set out in the Standards and Guidelines for Quality Assurance in the European Higher Education Area (ESG).

            European Quality Assurance in Vocational Education and Training (EQAVET): a community of practice which brings together Member States, social partners and the European Commission to develop and improve quality assurance in vocational education and training.

            European Qualifications Framework (EQF): translation tool that aids communication and comparison between qualifications systems in Europe. Its eight common European reference levels are described in terms of learning outcomes: knowledge, skills and responsibility and autonomy. This allows any national qualifications systems, national qualifications frameworks and qualifications in Europe to relate to the European Qualifications Framework levels. Learners, graduates, providers and employers can use these levels to understand and compare qualifications awarded in different countries and by different education and training systems.

            Learning Agreement: in higher education, defined in the ECTS Users' Guide (2015) as ‘[a] formalised agreement of the three parties involved in mobility – the student, the sending institution and the receiving institution or organisation/enterprise – to facilitate the organisation of credit mobility and its recognition. The agreement is to be signed by the three parties before the start of the mobility period and it is intended to give the student the confirmation that the credits he/she successfully achieves during the mobility period will be recognised’. In upper secondary education and training, an agreement of the three parties involved in mobility – the pupil/trainee, or his/her family, the sending institution and the receiving institution or organisation/enterprise – to facilitate the organisation of the learning period and its recognition. All three parties signing the Learning Agreement commit to comply with all the agreed arrangements, thereby ensuring that the pupil/trainee will receive the recognition for the learning period or learning outcomes without any further requirements.

            Learning outcomes: 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 competences.

            National qualifications framework: 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.

            Higher education institution: any type of higher education institution which, in accordance with national law or practice, offers recognised degrees or other recognised tertiary level qualifications, whatever such establishment may be called, as well as any other type of higher education institution which is recognised by the national authorities as belonging to its higher education system.

            Qualification: a formal outcome of an assessment and validation process which is obtained when a competent authority or body determines that an individual has achieved learning outcomes to given standards.

            Recognition of prior learning: the recognition of learning outcomes, whether from formal education and training or non-formal or informal learning, which were acquired before requesting validation (1).

            Standards and Guidelines for Quality Assurance in the European Higher Education Area (ESG): a set of standards and guidelines for internal and external quality assurance in higher education, developed within the Bologna Process. They provide guidance on areas which are vital for successful quality provision and learning environments in higher education. The Standards and Guidelines for Quality Assurance in the European Higher Education Area should be considered in a broader context that includes qualification frameworks, the European Credit Transfer and Accumulation System and the Diploma Supplement, all of which contribute to promoting transparency and mutual trust in the European Higher Education Area.

            Transcript of Records: defined in the ECTS Users' Guide (2015) as ‘[a]n up-to-date record of the students' progress in their studies: the educational components they have taken, the number of European Credit Transfer and Accumulation System points they have achieved, and the grades they have been awarded. It is a vital document for recording progress and for recognising learning achievements, including for student mobility. Most institutions produce the Transcript of Records from their institutional databases’.

            (1)  Council Recommendation of 20 December 2012 on the validation of non-formal and informal learning (OJ C 398, 22.12.2012, p. 1).


title: Commission Recommendation (EU) 2018/2052 of 19 December 2018 on aligning the scope of and conditions for general transfer licences for the purpose of exhibition as referred to in point (c) of Article 5(2) of Directive 2009/43/EC of the European Parliament and of the Council (notified under document C(2018) 8611) (Text with EEA relevance.)

text:
               21.12.2018

               EN

               Official Journal of the European Union

               L 327/98

      COMMISSION RECOMMENDATION (EU) 2018/2052
      of 19 December 2018
      on aligning the scope of and conditions for general transfer licences for the purpose of exhibition as referred to in point (c) of Article 5(2) of Directive 2009/43/EC of the European Parliament and of the Council

            (notified under document C(2018) 8611)

      (Text with EEA relevance)
      THE EUROPEAN COMMISSION,
      Having regard to the Treaty on the Functioning of the European Union, and in particular Article 292 thereof,
      Whereas:

                  (1)

                  Pursuant to Article 5 of Directive 2009/43/EC of the European Parliament and of the Council (1) Member States are obliged to publish at least four general transfer licences.

                  (2)

                  General transfer licences are a key element of the simplified licensing system introduced by Directive 2009/43/EC.

                  (3)

                  Differences in the scope of general transfer licences published by Member States in terms of defence-related products covered and diverging conditions applied to transfers of these products could hamper the implementation of Directive 2009/43/EC and the achievement of its simplification objective. Aligning national approaches as to the scope of and conditions for transfers under the general transfer licences published by Member States are important to ensure the attractiveness and use of those licences.

                  (4)

                  The Council reiterated in its conclusions of 18 May 2015 the need for the implementation and application of inter alia Directive 2009/43/EC. Following the adoption of two previous recommendations on general transfer licences for armed forces (2) and for certified recipients (3), the Commission has announced in the European Defence Action Plan (4) and in the Report on evaluation of the Transfers Directive (5) its focus on the remaining two general transfer licences, covering transfers for the purposes of demonstration, evaluation, exhibition, repair and maintenance.

                  (5)

                  The initiative of this Recommendation has been strongly supported by the representatives of the Member States in the Committee established by Article 14 of Directive 2009/43/EC. The guidelines set out in the Recommendation reflect the discussions of an expert group set up under this Committee.

                  (6)

                  This Recommendation applies to the list of defence-related products (corresponding to the Common Military List of the European Union), as laid down in the Annex to Directive 2009/43/EC. This Recommendation will be updated when necessary to reflect future updates of the list of defence-related products.

                  (7)

                  Based on the discussions with the Member States and taking into account the characteristics of the products (including exceptions), such as for instance their sensitivity, the defence-related products listed under point 1.1 of this Recommendation are a minimum and non-exhaustive list of products, for which Member States allow transfer under their GTL-EX. This means that the GTL-EX published by a Member State may also allow for the transfer of other defence-related products included in the Annex of Directive 2009/43/EC and not listed in this Recommendation.

                  (8)

                  In the context of the discussions on this Recommendation, the Member States have recalled that they are bound by commitments under European law, such as Council Common Position 2008/944/CFSP (6), as well as by international commitments in the area of export control.

            HAS ADOPTED THIS RECOMMENDATION:
      1.   GENERAL TRANSFER LICENCES FOR EXHIBITION

      Member States are recommended to adapt their general transfer licences for exhibition in accordance with the following elements.
      1.1.   Defence-related products eligible for transfer under the general transfer licence for the purpose of exhibition set out in point (c) of Article 5(2) of Directive 2009/43/EC

      The following ML categories are a subset of the list of defence-related products, as laid down in the Annex to Directive 2009/43/EC. The general transfer licence for the purpose of exhibition (GTL-EX) should, as a minimum, allow for the transfer of defence-related products specified in the ML categories hereunder. Member States may choose to include in their GTL-EX more ML categories with corresponding defence-related products.
      List of ML categories to be covered as a minimum:

                  —

                  ML 1. All goods are included, except:

                              —

                              Weapons specially designed for military use;

                              —

                              Barrels and breech blocks for weapons specially designed for military use.

                  —

                  ML 2. Sub points c) and d). All goods are included.

                  —

                  ML 3. The following goods are included:

                              —

                              Ammunition inert model.

                  —

                  ML 4. All goods are included, except:

                              —

                              Sub point 4.a) All goods are excluded, except inert models which are included;

                              —

                              Sub point 4.b) Specially designed components for the purpose of launching, laying, decoying, jamming, disrupting which fall within sub point ML 4.a).

                  —

                  ML 5. All goods are included, except:

                              —

                              Sub point 5.c) Countermeasure equipment for items specified by sub points ML5.a or ML5.b.

                        All goods should be delivered without ciphering component and without integrated database.

                  —

                  ML 6. All goods are included, except:

                              —

                              Complete vehicles which fall within sub point ML 6.a);

                              —

                              Chassis and turrets which fall within sub point ML 6. a).

                  —

                  ML 7. All goods are excluded, except:

                              —

                              Sub point 7.f) Protective and decontamination equipment, specially designed or modified for military use, components and chemical mixtures;

                              —

                              Sub point 7.g) Equipment specially designed or modified for military use designed or modified for the detection or identification of materials specified by sub points ML7.a, ML7.b or ML7.d, and specially designed components therefor.

                  —

                  ML 9. All goods are included, except:

                              —

                              Complete vessels of war (surface or underwater);

                              —

                              Complete hulls;

                              —

                              Items under sub point ML9.c) Underwater detection devices, specially designed for military use, controls therefor and components therefor specially designed for military use.

                  —

                  ML 10. All goods are included, except:

                              —

                              Complete aircraft;

                              —

                              Fuselage for combat aircraft and combat helicopter;

                              —

                              Engines for combat aircraft.

                  —

                  ML 11. All goods are included, except:

                              —

                              Sub point ML11.a)a. Electronic countermeasure and electronic counter-countermeasure equipment, including jamming and counter-jamming equipment;

                              —

                              Sub point ML11.a)b. Frequency agile tubes;

                              —

                              Sub point ML11.a)c. Electronic systems or equipment, designed either for surveillance and monitoring of the electro-magnetic spectrum for military intelligence or security purposes or for counteracting such surveillance and monitoring;

                              —

                              Sub point ML11.a)d. Underwater countermeasures, including acoustic and magnetic jamming and decoy, equipment designed to introduce extraneous or erroneous signals into sonar receivers;

                              —

                              Sub point ML11.a)e. Data processing security equipment, data security equipment and transmission and signalling line security equipment, using ciphering processes;

                              —

                              Sub point ML11.a)f. Identification, authentication and keyloader equipment and key management, manufacturing and distribution equipment;

                              —

                              Sub point ML11.a)i. Digital demodulators specially designed for signals intelligence;

                              —

                              Sub point ML11.b) Global Navigation Satellite Systems (GNSS) jamming equipment and specially designed components therefor;

                              —

                              Sub point ML11.c) ‘Spacecraft’ specially designed or modified for military use, and ‘spacecraft’ components specially designed for military use.

                  —

                  ML 13. All goods are included.

                  —

                  ML 14. All goods are included.

                  —

                  ML 15. All goods are included.

                  —

                  ML 16. All goods are included.

                  —

                  ML 17. All goods are included, except:

                              —

                              Sub point ML17.f) Libraries specially designed or modified for military use with systems, equipment or components, specified by the EU Common military list;

                              —

                              Sub point ML17.g) Nuclear power generating equipment or propulsion equipment, including nuclear reactors, specially designed for military use and components therefor specially designed or modified for military use;

                              —

                              Sub point ML17.h) Equipment and material, coated or treated for signature suppression, specially designed for military use, other than those specified elsewhere in the EU Common Military list;

                              —

                              Sub point ML17.i) Simulators specially designed for military nuclear reactor.

                  —

                  ML 18. All goods are included.

                  —

                  ML 21. All goods are included, except:

                              —

                              Sub point ML21.a) Software specially designed or modified for any of the following:

                                          —

                                          Development, production, operation or maintenance of equipment specified by the EU Common Military List;

                                          —

                                          Development or production of materials specified by the EU Common Military List; or

                                          —

                                          Development, production, operation or maintenance of software specified by the EU Common Military List.

                              —

                              Software specially designed or modified for the use of unlisted items in this general transfer licence.

                  —

                  ML 22. The following are included:

                              —

                              Only the necessary technology for the use of the goods allowed in the same general transfer license.

            1.2.   Conditions to be incorporated into the general transfer licence for exhibition

      The following list is not exhaustive. However, other conditions added by a Member State are not to contradict or undermine the conditions listed below.

                  Geographic validity

                  :

                  European Economic Area (7)

                  Transfer for exhibition

                  :

                  Transfer of any defence-related product for the purpose of its exhibition in a Member State, which are not to be used in operational conditions and does not include demonstration or evaluation purposes.

                  Re-transfer

                  :

                  Member States are to choose one of the following options for re-transfer of the defence-related product after exhibition, as appropriate:

                              (a)

                              Exemption from the obligation of prior authorisation in accordance with Article 4(2)(e) of Directive 2009/43/EC;

                              (b)

                              Publication of a specific general transfer licence for re-transfer of defence-related products after exhibition, with at least the same list of eligible defence-related products;

                              (c)

                              Incorporation of re-transfer into the general transfer licence for exhibition.

                  Duration

                  :

                  Originating Member States may specify a time-limit for the return of the defence-related product to be observed by the supplier towards the Competent Authority in the originating Member State. The Member States from which the defence-related product is re-transferred may also specify a time-limit for the re-transfer to be observed by the supplier, or its representative.

            2.   FOLLOW UP

      Member States are invited to give effect to this Recommendation by 1 July 2019 at the latest.
      Member States are encouraged to inform the Commission of the measures taken to give effect to this Recommendation.
      3.   ADDRESSEES

      This Recommendation is addressed to the Member States.

         Done at Brussels, 19 December 2018.

               For the Commission

            Elżbieta BIEŃKOWSKA

               Member of the Commission

         (1)  Directive 2009/43/EC of the European Parliament and of the Council of 6 May 2009 simplifying terms and conditions of transfers of defence-related products within the Community (OJ L 146, 10.6.2009, p. 1).

         (2)  OJ L 329, 3.12.2016, p. 101.

         (3)  OJ L 329, 3.12.2016, p. 105.

         (4)  COM(2016) 950 final.

         (5)  COM(2016) 760 final.

         (6)  Council Common Position 2008/944/CFSP of 8 December 2008 defining common rules governing control of exports of military technology and equipment (OJ L 335, 13.12.2008, p. 99).

         (7)  The EEA Joint Committee Decision No 111/2013 of 14 June 2013 amending Annex II (Technical regulations, standards, testing and certification) to the EEA Agreement (OJ L 318, 28.11.2013, p. 12), which incorporated Directive 2009/43/EC into the EEA Agreement included an explicit adaptation text: ‘This Directive shall not apply to Liechtenstein’.


               11.10.2018

               EN

               Official Journal of the European Union

               C 369/156

      P8_TA(2017)0495
      Hong Kong, 20 years after handover
      European Parliament recommendation of 13 December 2017 to the Council, the Commission and the Vice-President of the Commission / High Representative of the Union for Foreign Affairs and Security Policy on Hong Kong, 20 years after handover (2017/2204(INI))
      (2018/C 369/17)

         The European Parliament,

                  —

                  having regard to the Basic Law of the Special Administrative Region (SAR) of Hong Kong adopted on 4 April 1990, which entered into force on 1 July 1997,

                  —

                  having regard to the Joint Declaration of the Government of the United Kingdom and the Government of the People’s Republic of China on the Question of Hong Kong of 19 December 1984, also known as the Sino-British Joint Declaration,

                  —

                  having regard to the joint reports of the Commission and the High Representative of the Union for Foreign Affairs and Security Policy of 26 April 2017 on the Hong Kong Special Administrative Region — Annual Report 2016 (JOIN(2017)0016), of 25 April 2016 on the Hong Kong Special Administrative Region — Annual Report 2015 (JOIN(2016)0010), and of 24 April 2015 on the Hong Kong Special Administrative Region — Annual Report 2014 (JOIN(2015)0012),

                  —

                  having regard to the joint communication from the Commission and the High Representative of the Union for Foreign Affairs and Security Policy of 22 June 2016 on elements for a new EU strategy on China (JOIN(2016)0030), the Commission communication of 14 October 2015 entitled ‘Trade for all: Towards a more responsible trade and investment policy’ (COM(2015)0497), and the Council conclusions of 18 July 2016 on EU Strategy on China,

                  —

                  having regard to the EU’s ‘One China’ policy,

                  —

                  having regard to the 1999 EU-HKSAR Customs Co-operation Agreement (1),

                  —

                  having regard to the visa-free entry to the Schengen area (2) and the rest of the European Union for holders of Hong Kong Special Administrative Region passports and vice versa,

                  —

                  having regard to the EU-China dialogue on human rights launched in 1995,

                  —

                  having regard to its previous resolutions on Hong Kong, in particular those of 24 November 2016 on the case of Gui Minhai, jailed publisher in China (3), of 4 February 2016 on the case of the missing book publishers in Hong Kong (4), of 15 December 2005 on human rights situation in Tibet and Hong Kong (5), of 8 April 2003 on the Third and Fourth Annual Reports by the Commission to the Council and the European Parliament on the Hong Kong Special Administrative Region (6), of 19 December 2002 on Hong Kong (7), of 26 October 2000 on the First and Second Annual Reports by the Commission on the Special Administrative Region of Hong Kong (8), of 8 October 1998 on the communication from the Commission to the Council on the European Union and Hong Kong: Beyond 1997 (9), and of 10 April 1997 on the situation in Hong Kong (10),

                  —

                  having regard to its previous resolutions on China, in particular those of 16 December 2015 (11) and of 14 March 2013 on EU-China relations (12),

                  —

                  having regard to Rule 113 of its Rules of Procedure,

                  —

                  having regard to the report of the Committee on Foreign Affairs (A8-0382/2017),

                  A.

                  whereas sovereignty over Hong Kong was transferred from the United Kingdom to the People’s Republic of China (PRC) on 1 July 1997;

                  B.

                  whereas the 1984 Sino-British Joint Declaration guaranteed, and the 1990 Basic Law of the Hong Kong Special Administrative Region (SAR) stipulates that Hong Kong will maintain the autonomy and independence of the executive, legislature and judiciary for 50 years after the handover of sovereignty;

                  C.

                  whereas the EU and the European Parliament remain strong supporters of the ‘one country, two systems’ principle and Hong Kong’s high degree of autonomy under China;

                  D.

                  whereas the EU and Hong Kong hold an annual high-level meeting called the Structured Dialogue, which was initiated in 2005; whereas the 10th annual Structured Dialogue took place in Brussels on 17 November 2016;

                  E.

                  whereas bilateral relations between the EU and Hong Kong continue to grow stronger; whereas the EU is Hong Kong’s second largest trading partner after mainland China, and Hong Kong is the EU’s 14th largest trading partner in goods and a key partner for trade in services; whereas future bilateral relations should benefit from Hong Kong’s need for further economic diversification, close links with the New Silk Road and greater integration with the Pearl River Delta region; whereas according to the UN Conference on Trade and Development (UNCTAD), Hong Kong is the world's second largest target market for foreign direct investment;

                  F.

                  whereas Hong Kong’s defence and foreign affairs are within the remit of the Government of the PRC;

                  G.

                  whereas the Basic Law gives the Hong Kong SAR the right to organise its own external economic relations and to become a member of international organisations;

                  H.

                  whereas even after 1 July 1997, existing agreements on civil, political, economic, social and cultural rights and international human rights agreements have continued to apply; whereas the PRC has also signed and ratified international agreements guaranteeing these rights and has thus acknowledged the significance and universality of human rights; whereas China has established forums for dialogue with the EU and other international partners on matters linked to the rule of law;

                  I.

                  whereas Hong Kong is a member or associate member of more than 20 international organisations including the World Trade Organisation (WTO), the International Monetary Fund (IMF), Asia-Pacific Economic Cooperation (APEC), Interpol, the Bank for International Settlements (BIS), the Asian Development Bank (ADB), the Asian Infrastructure Investment Bank (AIIB), the International Olympic Committee, the International Chamber of Commerce and the International Confederation of Free Trade Unions;

                  J.

                  whereas Hong Kong is party to the International Covenant on Civil and Political Rights (ICCPR);

                  K.

                  whereas the Basic Law lays down provisions providing protection for human rights and individual freedoms;

                  L.

                  whereas Article 27 of the Basic Law guarantees freedom of speech, of the press and publication, and of association, assembly, procession and demonstration;

                  M.

                  whereas Articles 45 and 68 of the Basic Law stipulate that the Chief Executive and all members of the Legislative Council should ultimately be elected by universal suffrage;

                  N.

                  whereas the PRC State Council issued a white paper on the practice of the ‘one country, two systems’ policy in Hong Kong on 10 June 2014, stressing that the autonomy of the Hong Kong SAR is ultimately subject to central PRC government authorisation;

                  O.

                  whereas Hong Kong’s traditional open society has paved the way for the development of a genuine and independent civil society that actively and constructively takes part in the public life of the SAR;

                  P.

                  whereas Hong Kong’s civil society has raised public awareness of civil and political rights, religion, healthcare, the environment, climate change, women’s political participation, the rights of domestic workers, LGBTI rights, and academic and cultural freedoms;

                  Q.

                  whereas Hong Kong enjoys a lively multi-party system; whereas, over the years, the people of Hong Kong have witnessed mass demonstrations in favour of democracy and the full implementation of the Basic Law, including the 2014 protests by the so-called Umbrella Movement, as well as on media freedoms, and, among other things, against the disappearance of the Hong Kong booksellers;

                  R.

                  whereas during the last 20 years, some journalists and other media workers, often supporters of democracy and expressing critical views, have been forced to resign, moved to cover less sensitive areas and, in some cases, even threatened with violence;

                  S.

                  whereas at the end of 2015, four Hong Kong residents and one non-resident associated with the publishing house Mighty Current and its bookshop disappeared, whereas months later, information emerged that they were detained in mainland China in undisclosed locations, and whereas one of the released booksellers reported that his confession of wrongdoing had been forced;

                  T.

                  whereas, over the last few years, growing self-censorship has been observed in the Hong Kong media on matters concerning mainland China, as also corroborated by the surveys and reports by the Hong Kong Journalists Association;

                  U.

                  whereas Hong Kong offers scope for pursuing high-level training and reaching a high academic level, but academic freedom is in danger owing to repeated interferences by China’s central government, particularly as regards university council appointments;

                  V.

                  whereas a poll conducted at regular intervals by Hong Kong University’s public opinion programme catalogues a lengthy decline in identification with China;

                  W.

                  whereas in January 2017, the Hong Kong Environment Bureau published the cross-sectoral ‘Hong Kong Climate Action Plan 2030+’, which, following the Paris Agreement, sets new targets for carbon emissions, namely reducing carbon intensity by two thirds and absolute carbon emissions by one third by 2030 compared with the 2005 base line;

                  X.

                  having regard to the importance of the port of Hong Kong to the PRC and international trade;

                  1.

                  Recommends the following to the Council, the Commission and the Vice President of the Commission / High Representative of the Union for Foreign Affairs and Security Policy:

                              (a)

                              to stress with the authorities of the Hong Kong Special Administrative Region and the PRC that in the same way that the EU’s ‘One China’ policy is the cornerstone of the EU’s engagement, fully respecting the Basic Law of the Hong Kong SAR and the ‘one country, two systems’ principle is of key importance for the development and further strengthening and expanding of present and future relations with the EU, and that intervening in Hong Kong's internal affairs has the potential to undermine that principle and should therefore be avoided;

                              (b)

                              to condemn the constant interference of the PRC in Hong Kong’s internal affairs, which may put at risk the long-term viability of the ‘one country, two systems’ model;

                              (c)

                              to reinforce bilateral dialogue with the Government of the Hong Kong SAR, not least through the annual EU-Hong Kong Structured Dialogue, on a wide range of topics and policy areas, such as democracy, human rights, the rule of law, trade, investment, financial services, customs, the environment, climate change, research and education, to support the implementation of the ‘one country, two systems’ principle, and to continue annual reporting by the VP/HR and the Commission to Parliament and the Council on developments in Hong Kong;

                              (d)

                              to acknowledge that, over time, Hong Kong evolved into an open society in which citizens enjoy human rights, freedoms, high standards of public health and safety, transparency, and have a judiciary which is trusted, and where the rule of law and low levels of corruption prevail, and that the people of Hong Kong have a legitimate right to expect to continue enjoying their way of life and these rights and values under a high degree of autonomy;

                              (e)

                              to emphasise that respecting Hong Kong’s autonomy is essential for its further positive development and favourable relations with the Chinese mainland, and for the resumption of the dialogues between the mainland and Taiwan;

                              (f)

                              to commit fully to supporting Hong Kong’s autonomy, prosperity and the rights and freedoms of its people, and to express firm support for the start of a political reform process which complies with international standards and the Basic Law, which grants the people of the SAR the right to elect and to be elected in the selection process for top leadership positions, and which reflects the majority view within Hong Kong public opinion;

                              (g)

                              to call, in this context, on the Governments of Hong Kong and the PRC to maintain their commitment and to build up momentum once again for the reform of universal suffrage in the future election of the Chief Executive and the members of the Legislative Council in Hong Kong, in order to have an election system that is democratic, fair, open and transparent;

                              (h)

                              to find ways to support the consolidation of Hong Kong’s democracy and its multi-party system and to express concern at the increasing harassment of opposition political parties and the refusal of the Companies Registry to register a number of pro-democracy groups;

                              (i)

                              to welcome the record turnout in the last Legislative Council elections in 2016, while regretting that, in 2016, Hong Kong authorities refused to register a new pro-independence political party for the Legislative Council elections and disqualified six candidates with views promoting greater autonomy for Hong Kong;

                              (j)

                              to condemn threats to the personal safety of pro-democracy politicians, including abductions and physical violence, as reported by some lawmakers;

                              (k)

                              to welcome the release on bail of the three leaders of the pro-democracy movement Joshua Wong, Nathan Law and Alex Chow recently sentenced to jail for between six and eight months for ‘unlawful assembly’, after having been sentenced last year to non-custodial penalties, including community service, for their participation in peaceful protests; to urge the Hong Kong Court of Final Appeal to consider the cases of Mr Wong, Mr Law and Mr Chow in accordance with Hong Kong’s obligations under international human rights law, and to urge the Hong Kong Government to revise the Public Order Ordinance to bring it in line with international human rights standards;

                              (l)

                              to point out to China that, even though the Basic Law, the Sino-British Joint Declaration and the ‘one country, two systems’ principle are largely respected, there are growing and widespread concerns that the agreed high degree of autonomy of Hong Kong, or the legal value, or the spirit of the Sino-British Joint Declaration have been called into question;

                              (m)

                              to express deep concern about the National People’s Congress Standing Committee issuing interpretations, whether unsolicited or otherwise, of the Basic Law prior to court rulings, suggesting that democratically elected legislators should be disqualified, and thus undermining trust in the full independence of the judiciary in the individual cases in question; to recall that the Hong Kong court system and normal judicial process should be the main instrument to resolve disputes;

                              (n)

                              to emphasise that the handling of the case of the five missing booksellers has raised regrettable questions about the autonomy of the SAR, as stated in its Basic Law, and about the lack of clarity concerning the role of mainland law enforcement agencies in Hong Kong;

                              (o)

                              to express concern at allegations that China’s law enforcement agencies are operating in Hong Kong, which would constitute a violation of the Basic Law and would be inconsistent with the ‘one country, two systems’ principle;

                              (p)

                              to underline that freedom of information and freedom of speech have generally been upheld, while expressing concern at the steady deterioration of press freedom in Hong Kong, with growing pressure on the media, both print and electronic, increasing self-censorship with regard, in particular, to covering sensitive issues on mainland China or concerning the Hong Kong Government, and the tightening of control over the sale of sensitive political books by monopolising ownership of almost all storefront bookshops;

                              (q)

                              to continue the bilateral dialogue with the Government of the Hong Kong SAR on a variety of policy areas as well as on the implementation of the ‘one country, two systems’ principle;

                              (r)

                              to reiterate that any legislation introduced under the Basic Law, including any legislation to be proposed on the basis of Article 23 of the Basic Law such as a possible National Security Bill, must not interfere with the independence and exclusive jurisdiction of the Hong Kong judiciary and should not undermine obligations under the International Covenant on Economic, Social and Cultural Rights (ICESCR), nor should it undermine freedoms such as freedom of speech, media freedoms, freedom of association and assembly, freedom of demonstration, freedom to form trade unions and to strike, and freedom of academic research and cultural and artistic expression, and should not be used to target human rights activists and government critics;

                              (s)

                              to submit to Parliament in the near future proposals for the development of cooperation with the Hong Kong authorities in the area of tax transparency, including Automatic Exchange of Information (AEOI), the combating of money laundering and terrorist funding, and the implementation of the measures called for by the OECD in its base erosion and profit shifting (BEPS) package;

                              (t)

                              to encourage and support the regionally coordinated pro-democracy movements as a key tool to foster Asian cooperation on democracy and human rights issues;

                              (u)

                              to urge the Hong Kong Government to take more effective measures against tax evasion and tax fraud, and to take measures to monitor and sanction firms that facilitate tax evasion and fraud through their subsidiaries in Hong Kong;

                              (v)

                              to find ways to support Hong Kong’s civil society, in particular organisations that uphold universal values, promote human rights and support the independence of the judiciary and press freedom; to stress that only non-violent forms of protest and dialogue can be a means to engage in disputes;

                              (w)

                              to recommend to the Legislative Council of Hong Kong that it carefully examine future legislation on high-speed rail in consultation with civil society organisations and the citizens of Hong Kong;

                              (x)

                              to encourage Hong Kong’s academic institutions to maintain the high standards of their curricula and research and to preserve academic freedoms, but to express concern, in this respect, about the procedure for the appointment of university councils and the external interferences aimed at modifying school curricula, which could undermine the independence of higher education institutions; to promote the strengthening of ties between European and Hong Kong academic institutions;

                              (y)

                              to call for the timely adoption of an anti-discrimination law;

                              (z)

                              to recall that Hong Kong’s society and its people have been heavily influenced by immigration, including refugees, and to call on the Hong Kong Government to bring its refugee and migration policy in line with international standards, particularly when it comes to unaccompanied minor refugees;

                              (aa)

                              to point out that, even though recent surveys show that many inhabitants of Hong Kong wish to emigrate, it would be unfortunate if Hong Kong could not keep its brightest and best, and troubling if so many, particularly young people, were to lose their faith in the future;

                              (ab)

                              to express concern that the UN Panel of Experts on North Korea has established in its reports that Hong Kong is one of two business jurisdictions in which the largest share of North Korean-controlled front companies have been operating; recalls that joint international ventures with North Korea are in violation of the most recent UN Security Council resolution 2388 (2017) and urges the Hong Kong authorities to address the concerns of the UN Panel of Experts on North Korea;

                              (ac)

                              to draw the attention of the Hong Kong authorities to the fact that, according to a study, municipal waste in Hong Kong has increased by 80 % in the past decade, which is more than double that of the population growth, and to assist them in developing an effective waste reduction policy, promoting recycling and other forms of circular economy, and raising awareness of responsible consumption;

                              (ad)

                              to underline to the Chinese authorities that full respect for Hong Kong’s autonomy could provide the model for a process of deep democratic political reforms in China and for the gradual liberalisation and opening up of Chinese society;

                              (ae)

                              to underline the EU’s commitment to strengthening democracy, including the rule of law, the independence of the judiciary, fundamental freedoms and rights, transparency, and freedom of information and expression in Hong Kong;

                  2.

                  Instructs its President to forward this recommendation to the Council, the Commission and the Vice-President of the Commission / High Representative of the Union for Foreign Affairs and Security Policy and, for information, to the Government of the Hong Kong Special Administrative Region and the Government of the People’s Republic of China.

         (1)  OJ L 151, 18.6.1999, p. 20.

         (2)  OJ L 81, 21.3.2001, p. 1.

         (3)  Texts adopted, P8_TA(2016)0444.

         (4)  Texts adopted, P8_TA(2016)0045.

         (5)  OJ C 286 E, 23.11.2006, p. 523.

         (6)  OJ C 64 E, 12.3.2004, p. 130.

         (7)  OJ C 31 E, 5.2.2004, p. 261.

         (8)  OJ C 197, 12.7.2001, p. 387.

         (9)  OJ C 328, 26.10.1998, p. 186.

         (10)  OJ C 132, 28.4.1997, p. 222.

         (11)  OJ C 399, 24.11.2017, p. 92.

         (12)  OJ C 36, 29.1.2016, p. 126.


title: Council Recommendation of 14 May 2019 assessing the progress made by the participating Member States to fulfil commitments undertaken in the framework of permanent structured cooperation (PESCO)

text:
               15.5.2019

               EN

               Official Journal of the European Union

               C 166/1

      COUNCIL RECOMMENDATION
      of 14 May 2019
      assessing the progress made by the participating Member States to fulfil commitments undertaken in the framework of permanent structured cooperation (PESCO)
      (2019/C 166/01)
      THE COUNCIL OF THE EUROPEAN UNION,
      Having regard to the Treaty on European Union, and in particular Article 46(6) thereof,
      Having regard to Protocol No 10 on permanent structured cooperation established by Article 42 of the Treaty on European Union, attached to the Treaty on European Union and to the Treaty on the Functioning of the European Union,
      Having regard to Council Decision (CFSP) 2017/2315 of 11 December 2017 establishing permanent structured cooperation (PESCO) and determining the list of participating Member States (1),
      Having regard to the proposal from the High Representative of the Union for Foreign Affairs and Security Policy,
      Whereas:

                  (1)

                  Point (d) of Article 4(2) of Decision (CFSP) 2017/2315 provides that the Council is to adopt decisions and recommendations assessing the contributions of participating Member States to fulfil the agreed commitments, according to the mechanism described in Article 6 of that Decision.

                  (2)

                  Article 6(3) of Decision (CFSP) 2017/2315 provides that, on the basis of the annual report on PESCO presented by the High Representative of the Union for Foreign Affairs and Security Policy (High Representative) to the Council, the Council is to review once a year whether the participating Member States continue to fulfil the more binding commitments referred in Article 3 of that Decision.

                  (3)

                  Paragraph 15 of the Council Recommendation of 6 March 2018 concerning a roadmap for the implementation of PESCO (2) provides that the High Representative should present her first annual report in April 2019 or at least prior to the relevant Foreign Affairs Council in the first semester of the year so as to take into account updated national implementation plans presented by participating Member States by 10 January 2019. Paragraph 16 of that Recommendation specifies that the Military Committee of the European Union (EUMC) should provide the Political and Security Committee (PSC) with military advice and recommendations to enable it to prepare the Council's review on whether the participating Member States continue to fulfil the more binding commitments, by May each year.

                  (4)

                  Paragraph 26 of the Council Recommendation of 15 October 2018 concerning the sequencing of the fulfilment of the more binding commitments undertaken in the framework of permanent structured cooperation (PESCO) and specifying more precise objectives (3) provides that the High Representative should take that Recommendation into account in the annual report on PESCO, which will support the assessment of the fulfilment of the more binding commitments by each participating Member State.

                  (5)

                  On 19 November 2018, the Council adopted Decision (CFSP) 2018/1797 (4) amending and updating Decision (CFSP) 2018/340 establishing the list of projects to be developed under PESCO.

                  (6)

                  On 22 March 2019, the High Representative provided to the Council her annual report on the status of PESCO implementation, including on the fulfilment, by each participating Member State, of its commitments, in accordance with its updated and reviewed national implementation plans.

                  (7)

                  On that basis, the Council should therefore adopt a Recommendation assessing the progress made by the participating Member States to fulfil commitments undertaken in the framework of PESCO,

            HAS ADOPTED THIS RECOMMENDATION:
      I.   Objective and scope

                  1.

                  The objective of this Recommendation is to assess the contributions made by the participating Member States (pMS) to fulfil the more binding commitments undertaken in the framework of permanent structured cooperation (PESCO), based on the Annual Report on the Status of PESCO Implementation presented by the High Representative on 22 March 2019 (Annual Report), using the information provided by the pMS in their national implementation plans (NIPs).

                  2.

                  This Recommendation also takes into account the reports of the pMS to the Council on the progress made towards the implementation of PESCO projects in 2018 and the report on the initial lessons identified on PESCO projects prepared by the PESCO secretariat.

            II.   Findings and assessment

                  3.

                  The High Representative's first Annual Report is welcomed as a solid basis for the Council to assess the status of PESCO implementation, including the fulfilment by each pMS of its commitments.

                  4.

                  Coherence should be ensured between PESCO, the Coordinated Annual Review on Defence (CARD), the European Defence Industrial Development Programme (EDIDP) and the prospective European Defence Fund (EDF), as well as other EU defence initiatives, in order to contribute to the achievement of the Union's level of ambition in the area of security and defence. In this context, it is recalled that the High Representative/Vice President/Head of the European Defence Agency (EDA) was invited to continue promoting further synergies and coherence among EU defence initiatives, in close consultation with the Member States.

                  5.

                  By their current and future efforts, the pMS demonstrate their contribution to the fulfilment of the 20 more binding commitments agreed under PESCO and make further steps towards the achievement of the Union's level of ambition in the area of security and defence, thereby enhancing both the Union's capacity to act as a security provider and its strategic autonomy, and strengthening its ability to cooperate with partners and to protect its citizens.

                  6.

                  As Member States only have a ‘single set of forces’ which they can use within different frameworks, the development of Member States' capabilities within the EU framework will also help to strengthen capabilities potentially available to the United Nations and NATO.

                  7.

                  With a view to providing guidance for the further implementation of PESCO in this first phase, the Council underlines that, overall, pMS:

                              (a)

                              have made progress in terms of the commitments related to defence budgets and joint defence investment. This should be sustained and, where necessary, further reinforced in the coming years in line with the more precise objectives;

                              (b)

                              have started using EU tools, initiatives and instruments in national defence planning, such as the revised Capability Development Plan (CDP), the CARD and the EDIDP, and have started preparing for the EDF in 2021-2027. The pMS are encouraged to step up their efforts to further address the more binding commitments in the respective areas, in particular by making best use of EU tools, initiatives and instruments in their national defence planning processes. In this context, the coherence of output between the CARD and the CDP on the one hand, and respective NATO processes such as the NATO Defence Planning Process (NDPP) on the other, has been and will continue to be ensured where requirements overlap, while recognising the different nature of the two organisations and their respective responsibilities;

                              (c)

                              are invited to make significant progress in fulfilling the more binding commitments related to bringing their respective defence apparatus into line with each others', in particular to strengthen collaborative capability development in accordance with the CDP and its relevant strategic context cases (SCCs) currently being developed, while recognising that this requires a sustained longer term effort;

                              (d)

                              are encouraged in line with the more binding commitments and the Council Recommendation of 15 October 2018 on the sequencing of the fulfilment of the more binding commitments and specifying more precise objectives: to continue their positive efforts to enhance interoperability and flexibility of their forces; to make further substantial efforts as regards the commitments related to strengthening the availability and deployability of forces including by more systematically filling the EU battlegroup roster in particular to overcome existing gaps, the rapid response database and the statements of requirements for common security and defence policy (CSDP) missions and operations; and to further optimise multinational structures and strive for an ambitious approach to common funding of military CSDP operations and missions; and

                              (e)

                              need to make significant progress to address capability shortcomings and priorities identified under the CDP, including the effective delivery of the high impact capability goals (HICGs), and in considering a collaborative approach as a priority in national planning, also with a view to fulfilling the commitments related to taking part, where appropriate, in major joint or European equipment programmes in the framework of the EDA, and making a positive impact on the European Defence Technological and Industrial Base (EDTIB). In this regard, pMS are further encouraged to provide the necessary elements allowing for a meaningful assessment of the fulfilment of the commitments in this area, including on how the capability development projects of the pMS strengthen the EDTIB.

            III.   National implementation plans

                  8.

                  In order to facilitate the assessment of the implementation of the commitments, as presented in the NIPs, and to better identify the emerging trends in the different areas, the pMS are encouraged to further increase the quality and the granularity of the information provided in their NIPs, by implementing the Council Recommendation of 15 October 2018 on the sequencing of the fulfilment of the more binding commitments and specifying more precise objectives. This applies in particular to providing forward-looking plans wherever possible.

                  9.

                  The pMS are encouraged to continue to engage in bilateral dialogues with the PESCO secretariat on the review and update of their future NIPs. The pMS should, supported by the PESCO secretariat, continue to ensure transparency among themselves and further develop coherence and consistency in relation to the information required and provided in the context of PESCO and other defence-related initiatives, including the CARD. The PESCO secretariat is encouraged to further develop ways to adequately support the pMS.

            IV.   PESCO projects

                  10.

                  In light of the reports to the Council on the progress made towards the implementation of PESCO projects, the pMS are encouraged to advance the work and focus on the swift and effective implementation of the projects in which they participate in order to deliver tangible outputs and products, with a view to fulfilling the more binding commitments.

                  11.

                  Taking into account the lessons identified, starting with the next round of calls for PESCO project proposals with a view to updating Decision (CFSP) 2018/1797, the pMS, supported by the PESCO secretariat, are invited to notably:

                              (a)

                              respond to the full range of EU capability development priorities identified in the CDP, including the HICGs, the SCCs once agreed by EDA participating Member States and take into account the findings of the CARD;

                              (b)

                              develop projects that aim to exploit cooperation between existing military capabilities, and make these capabilities available for missions and operations;

                              (c)

                              jointly submit project proposals by at least two pMS which should be assessed on, amongst other criteria, the level of maturity of the project proposal and an initial overview of its financial and other necessary resources.

                        The PESCO secretariat is invited to present further refined project assessment criteria before the next call for projects.

                  12.

                  After 2019, with a view to ensuring better coherence and synchronisation of EU defence initiatives and focusing on more substantiated projects, the next call for PESCO projects would take place in 2021 without prejudice to future decision-making. Based on further lessons identified, the pMS will then consider the option of moving to a biennial process. It is recalled that project members have the possibility to involve the Commission, as appropriate, in the proceedings of the project, in line with the governance rules for PESCO projects.

            V.   Way forward

                  13.

                  The pMS are invited to review their NIPs with a view to updating them, as appropriate, in line with the Council Recommendation of 15 October 2018 concerning the sequencing of the fulfilment of the more binding commitments and specifying more precise objectives and taking into account the findings and recommendations of the Annual Report, and to present them by 10 January 2020.

                  14.

                  In addition to describing the status of PESCO implementation, including the fulfilment by each pMS of its commitments in accordance with its NIP, the High Representative is invited to also provide in the 2020 annual report first proposals with a view to the strategic review process at the end of the first PESCO phase (2018-2020), taking into consideration other relevant EU initiatives contributing to the fulfilment of the Union's level of ambition in the area of security and defence.

         Done at Brussels, 14 May 2019.

               For the Council

               The President

            F. MOGHERINI

         (1)  OJ L 331, 14.12.2017, p. 57.

         (2)  OJ C 88, 8.3.2018, p. 1.

         (3)  OJ C 374, 16.10.2018, p. 1.

         (4)  Council Decision (CFSP) 2018/1797 of 19 November 2018 amending and updating Decision (CFSP) 2018/340 establishing the list of projects to be developed under PESCO (OJ L 294, 21.11.2018, p. 18).