title: Council Recommendation of 16 November 2021 assessing the progress made by the participating Member States to fulfil commitments undertaken in the framework of permanent structured cooperation (PESCO) 2021/C 464/02

text:
               17.11.2021

               EN

               Official Journal of the European Union

               C 464/10

      COUNCIL RECOMMENDATION
      of 16 November 2021
      assessing the progress made by the participating Member States to fulfil commitments undertaken in the framework of permanent structured cooperation (PESCO)
      (2021/C 464/02)
      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)

                  Article 4(2)(d) of Decision (CFSP) 2017/2315 provides that the Council is to adopt decisions and recommendations assessing the contributions of participating Member States (pMS) to fulfil the agreed commitments, in accordance with 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 (the ‘High Representative’), the Council is to review once a year whether the pMS continue to fulfil the more binding commitments referred to in Article 3 of that Decision.

                  (3)

                  Appendix 1 to the Annex to the Council Conclusions of 20 November 2020 on the PESCO Strategic Review 2020 provides that the High Representative is to present the annual report on PESCO implementation by July of each year, with a view to the Council adopting its recommendation assessing the progress made by the pMS to fulfil the commitments undertaken in the framework of PESCO by November of that year. Paragraph 16 of the Council Recommendation of 6 March 2018 concerning a roadmap for the implementation of PESCO (2) provides that the Military Committee of the European Union should provide the Political and Security Committee with military advice and recommendations to enable it to prepare the Council’s review on whether the pMS continue to fulfil the more binding commitments.

                  (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 pMS.

                  (5)

                  On 7 July 2021, the High Representative provided the Council with his Annual Report on the status of PESCO implementation (the ‘Annual Report’), including on the fulfilment, by each pMS, of its commitments, in accordance with its updated and reviewed national implementation plan (NIP).

                  (6)

                  On that basis, the Council should therefore adopt a Recommendation assessing the progress made by the pMS 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 pMS to fulfil the more binding commitments undertaken in the framework of PESCO, based on the Annual Report and in accordance with the NIPs presented by the pMS in 2021.

            II.   Findings and assessment

                  2.

                  The Annual Report provides a solid basis to assess the status of PESCO implementation, including the fulfilment by each pMS of its commitments, in accordance with its NIP.

                  3.

                  By addressing Europe’s current and future security and defence needs, in particular by means of their current and future efforts to fulfil their more binding commitments, the pMS contribute to enhancing the Union’s capacity to act as a security provider and its strategic autonomy, and strengthen its ability to cooperate with partners and to protect its citizens.

                  4.

                  Acknowledging the need for the pMS to substantially improve the fulfilment of all the more binding commitments by 2025, the Council further underlines that the pMS:

                              (a)

                              continued to increase their defence expenditure throughout the first PESCO initial phase (2018-2020), and indicated plans for further increases in the 2021-2025 period despite the economic downturn caused by the COVID-19 crisis. With a view to strengthening the capabilities of the pMS and thus making the Union more able to act, that positive trend should be maintained in the future, including by dedicating resources to collaborative defence capability development projects, with a specific effort needed in the area of research and technology, in order to achieve the objectives set for the second PESCO initial phase, and to increase the overall coherence of the European capability landscape;

                              (b)

                              have made modest progress in the use of Union capability planning and development tools and processes in the national setting, and are encouraged to step up their efforts towards a more systematic and active use thereof in order to overcome the capability shortcomings in a collaborative manner. In this respect, fully implementing the agreed 2020 Coordinated Annual Review on Defence (CARD) recommendations on defence spending, defence planning and defence cooperation will be crucial to preparing jointly new planning horizons beyond the mid-2020s for increased cooperation in capability development;

                              (c)

                              should continue their efforts towards the development of a coherent Union full spectrum force package by 2025, in line with the PESCO notification, that contributes to the fulfilment of the Union’s level of ambition;

                              (d)

                              should significantly enhance their efforts to fulfil the operational commitments and in particular commitment 12, which is considered instrumental in improving the relevance and impact of the Union’s external action, in particular with regard to its operational dimension. Fulfilment of commitment 12 strengthens the Union’s ability to act as a security provider, with partners wherever possible and alone when necessary. Major shortfalls, as reflected in the high impact capability goals (HICGs), continue to affect the availability, deployability and interoperability of pMS forces that are necessary for the implementation of the Union’s level of ambition. Moreover, there is scope for the pMS to step up their contributions, not only to the ongoing common security and defence policy (CSDP) missions and operations but also the EU Battlegroup roster and Rapid Response Databases. In this context, in line with Council Recommendation of 15 November 2021 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, and repealing the Recommendation of 15 October 2018 (4), progress indicators should be further discussed and defined by pMS in order to provide a fair share to the respective force generation for CSDP missions and operations, within pMS’ means and capabilities, and to increase transparency among them. In accordance with the single set of forces principle (5), pMS inputs to the Force Catalogue should be in line with the Headline Goal Process instructions and should include all deployable assets (including headquarters and capabilities usable in support of missions and operations);

                              (e)

                              demonstrated progress in fulfilling their commitment to helping overcome capability shortcomings identified under the Capability Development Plan (CDP) and CARD, including an assessment of the implementation of the HICGs, but in the majority pMS continue not to provide indications on whether and how they consider as a priority the use of the European collaborative approach to close national capability gaps. In the same vein, there is still no common understanding among pMS on the impact of capability projects to increase Europe’s strategic autonomy and to strengthen the European Defence Technological and Industrial Base (EDTIB). The efforts undertaken to implement the 2020 CARD recommendations and to take forward the identified opportunities for cooperation, in particular to develop implementation roadmaps for the proposed six focus areas, should contribute to improving that understanding. The Council recalled that coherence of output between the CDP and CARD, on the one hand, and respective NATO processes such as the NATO Defence Planning Process, on the other hand, has been and will continue to be ensured where requirements overlap, while recognising the different nature of the two organisations and their respective responsibilities and memberships;

                              (f)

                              still need to further improve the provision of information as regards the more binding commitments and the relevant more precise objectives that relate to their industrial policies and procurement strategies. They should enhance efforts to go beyond the current level of addressing the commitments, by providing plans with clear indications that their projects derived from their industrial policies and acquisition strategies contribute to making the European defence industry more competitive and have a positive impact on the EDTIB, including by promoting the cross-border participation of small and medium-sized enterprises and Mid-Caps throughout the Union.

                  5.

                  As regards the individual NIPs, each pMS is encouraged to take into account the findings and recommendations presented in the Annual Report in further implementing PESCO, and to review accordingly its contribution to the fulfilment of the more binding commitments during the second PESCO initial phase.

            III.   National Implementation Plans

                  6.

                  Overall, the pMS have improved the quality of the information provided in their annual NIP updates since the end of 2020. Despite this positive trend, it is recommended that the pMS provide for all commitment areas more substantiated indications and meaningful statements, with particular emphasis on developing dedicated forward-looking plans on how they envisage contributing to the fulfilment of more binding commitments and more precise objectives, including by benefiting from the 2020 CARD findings and recommendations. That forward-looking perspective will enable pMS to better coordinate their efforts and look for cooperation opportunities.

                  7.

                  The pMS are also encouraged to continue to engage in bilateral dialogues with the PESCO secretariat that aim to achieve, maintain or even further improve a positive trajectory in their attainment of the more binding commitments. The PESCO secretariat will produce a revised NIP supporting information document based on the upcoming new set of more precise objectives for the second initial PESCO phase, which could include a timeframe for pMS to reach the agreed benchmarks.

                  8.

                  The pMS are encouraged to use the digital platform developed by the European Defence Agency (EDA) for PESCO for the submission of their NIPs, which will allow them to use the data they have already provided, for example in the context of PESCO, CARD and other relevant Union defence initiatives, and will therefore alleviate an administrative burden for pMS.

                  9.

                  The pMS are encouraged to go beyond the current level of addressing the commitments related to the industrial dimension of the defence sector, by providing plans with clear indications that their projects derived from their industrial policies and acquisition strategies contribute to making the European defence industry more competitive and having a positive impact on the EDTIB.

                  10.

                  The pMS are strongly encouraged to increase, within their means and capabilities, their contributions to the operational aspects of PESCO where gaps are identified, with a particular focus on the availability of the strategically deployable forces for the realisation of the Union’s level of ambition, on the Statement of Requirements of the CSDP missions and operations, on the Rapid Response Databases and on the EU Battlegroup roster.

                  11.

                  As the successful fulfilment of the PESCO more binding commitments requires a collective and an individual effort by all pMS, and with a view to ensuring the necessary political momentum, the pMS should in 2022, as well as in every other year thereafter, accompany their NIP with a high-level political statement outlining main achievements and stating specific national priorities (in particular supporting the implementation of the EU Capability Development Priorities and CARD findings and recommendations) and contributions to the fulfilment of the more binding commitments.

            IV.   PESCO projects

                  12.

                  The 46 PESCO projects contribute to the fulfilment of the 20 more binding commitments. 32 of those projects can be linked to the collaborative opportunities, including the focus areas, identified by CARD. In addition, 24 of them directly address the HICGs mitigating CSDP missions and operations critical shortfalls, while 18 of them do so indirectly.

                  13.

                  While a significant number of the PESCO projects are expected to deliver concrete results by the end of 2025, in line with the Council Conclusions of 20 November 2020 on the PESCO Strategic Review 2020, the PESCO projects’ progress report to the Council of 2 June 2021 indicated that some of them may encounter some difficulty in achieving the expected outcomes by that time. The successful implementation of all ongoing PESCO projects and the timely delivery of tangible results and required capabilities will determine the visibility and credibility of PESCO.

                  14.

                  The Council highlights, therefore, that pMS should undertake efforts to deliver tangible results as planned, especially for those projects from the first and second wave that are still in an ideation phase and those that are facing deep constraints related to the further refinement of their objectives, scope and deliverables. That is an indication that those projects need close scrutiny as regards how they should be further pursued or whether some of them should be clustered or merged in order to increase their impact and efficiency, save resources, increase synergies and prevent unnecessary duplication. Where project members identify that projects cannot provide the expected outputs, such projects should either be revived or closed in order to ensure the relevance, effectiveness and credibility of all PESCO projects.

                  15.

                  The Council recommends that the project coordinators inform the PESCO secretariat and the other pMS more frequently on the state of play of their PESCO projects, in order to increase transparency and the ability of the PESCO secretariat to play a stronger role in advising the pMS. In that context, the resources of the PESCO secretariat should be further enhanced.

                  16.

                  The Council calls upon pMS to consider as a priority a European collaborative approach in order to fill capability shortcomings and make best use of EDA as the European forum for joint capability development in line with the agreed commitment in PESCO, including EDA’s assistance in maturing PESCO project proposals and possible support to the implementation of PESCO projects.

                  17.

                  The PESCO secretariat could be invited by the pMS to suggest ideas for potential new PESCO projects that have not so far been taken up by them in the framework of PESCO, taking into account the CARD findings and recommendations as well as the EU Capability Development Priorities derived from the CDP, including the HICGs.

                  18.

                  With a view to identifying and generating future PESCO project proposals, the Council invites the pMS to strengthen the use of the Union’s planning and capability development tools as well as CARD findings and recommendations as a pathfinder to further refining project proposals, in particular with regards to focus areas and identified collaborative opportunities, including in the operational domain. The Council encourages the pMS to continue submitting PESCO project proposals, and in particular those with a more operational focus and short-term impact based on already existing capabilities as well as those contributing to filling the strategic capability gaps and needs identified under the CDP and CARD.

            V.   Way forward

                  19.

                  The Council Recommendation specifying the more precise objectives for each of the more binding commitments for the second initial PESCO phase (2021-2025) should be adopted as soon as possible.

                  20.

                  Following the approval of that Recommendation, the PESCO secretariat will provide a revised NIP supporting information document based on the new set of more precise objectives for the second initial PESCO phase, which could include a timeframe for pMS to reach the agreed benchmarks.

                  21.

                  PMS are invited to review their NIPs with a view to updating them as appropriate and to present their updated NIPs to the PESCO secretariat (including by means of the EDA digital platform) by 10 March 2022. The next NIP update should be accompanied by a high-level political statement in which pMS should outline their main achievements and state specific national priorities and contributions.

                  22.

                  The Council recalled that, in line with the PESCO Strategic Review 2020, the PESCO secretariat, as well as the pMS, should continue working on incentives to improve the fulfilment of the commitments, in particular where progress was assessed by the High Representative and highlighted by the Council as not sufficient, namely on operational commitments and on those related to the European collaborative approach. Regular high-level political discussions between the pMS and the High Representative should continue to ensure political momentum and enhanced political ownership.

                  23.

                  The pMS are encouraged to continue engaging with the PESCO secretariat in bilateral dialogues that aim to achieve, maintain or even further improve a positive trajectory in their attainment of the more binding commitments. The PESCO secretariat should provide recommendations tailored to each pMS to be discussed during those dialogues. In this regard, the PESCO secretariat should be further enhanced.

                  24.

                  The Council recalls that, taking into account the outcome of the Strategic Compass, pMS, in the context of the PESCO Strategic Review process to be conducted before the end of the second PESCO initial phase in 2025, and as stated in the PESCO notification which also recalls the specific character of the security and defence policy of certain Member States, will assess the fulfilment of all PESCO commitments, and discuss and decide on new commitments, with a view to embarking on a new stage towards European security and defence integration.

         Done at Brussels, 16 November 2021.

               For the Council

               The President

            J. BORRELL FONTELLES

         (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)  OJ C 463, 16.11.2021, p. 1.

         (5)  Those forces can be used by participating Member States within the EU framework, for national needs, as well as in different contexts, such as the UN and NATO.


title: Council Recommendation (EU) 2021/2022 of 18 November 2021 amending Recommendation (EU) 2020/912 on the temporary restriction on non-essential travel into the EU and the possible lifting of such restriction

text:
                  19.11.2021

                  EN

                  Official Journal of the European Union

                  L 413/37

         COUNCIL RECOMMENDATION (EU) 2021/2022
         of 18 November 2021
         amending Recommendation (EU) 2020/912 on the temporary restriction on non-essential travel into the EU and the possible lifting of such restriction
         THE COUNCIL OF THE EUROPEAN UNION,
         Having regard to the Treaty on the Functioning of the European Union, and in particular Article Article 77(2)(b) and (e) and Article 292, first and second sentence thereof,
         Whereas:

                     (1)

                     On 30 June 2020, the Council adopted a Recommendation on the temporary restriction on non-essential travel into the EU and the possible lifting of such restriction (1) (‘Council Recommendation’).

                     (2)

                     Since then, the Council adopted Recommendations (EU) 2020/1052 (2), (EU) 2020/1144 (3), (EU) 2020/1186 (4), (EU) 2020/1551 (5), (EU) 2020/2169 (6), (EU) 2021/89 (7), (EU) 2021/132 (8), (EU) 2021/767 (9), (EU) 2021/892 (10), (EU) 2021/992 (11), (EU) 2021/1085 (12), (EU) 2021/1170 (13), (EU) 2021/1346 (14), (EU) 2021/1459 (15), (EU) 2021/1712 (16), (EU) 2021/1782 (17), (EU) 2021/1896 (18) and (EU) 2021/1945 (19) amending Council Recommendation (EU) 2020/912 on the temporary restriction on non-essential travel into the EU and the possible lifting of such restriction.

                     (3)

                     On 20 May 2021, the Council adopted Recommendation 2021/816 amending Council Recommendation (EU) 2020/912 on the temporary restriction on non-essential travel into the EU and the possible lifting of such restriction (20) in order to update the criteria used to assess whether non-essential travel from third countries is safe and should be allowed.

                     (4)

                     The Council Recommendation provides that Member States should gradually lift the temporary restriction on non-essential travel to the EU as from 1 July 2020 in a coordinated manner with regard to the residents of the third countries listed in Annex I to the Council Recommendation. Every two weeks, the list of third countries referred to in Annex I should be reviewed, and as the case may be updated, by the Council, after close consultation with the Commission and the relevant EU agencies and services following an overall assessment based on the methodology, criteria and information referred to in the Council Recommendation.

                     (5)

                     Discussions have since then taken place within the Council, in close consultation with the Commission and the relevant EU agencies and services, on the review of the list of third countries set out in Annex I to the Council Recommendation and in application of the criteria and methodology laid down in the Council Recommendation, as amended by Recommendation 2021/816. As a result of these discussions, the list of third countries set out in Annex I should be amended. In particular, Indonesia should be added to the list.

                     (6)

                     Border control is in the interest not only of the Member State at whose external borders it is carried out but of all Member States which have abolished internal border control. Member States should therefore ensure that measures taken at the external borders are coordinated in order to ensure a well functioning Schengen area. To that end, as of 18 November 2021, Member States should continue lifting the temporary restriction on non-essential travel into the EU in a coordinated manner with regard to the residents of the third countries, Special Administrative Regions and other entities and territorial authorities listed in Annex I of the Council Recommendation as amended by this Recommendation.

                     (7)

                     In accordance with Articles 1 and 2 of Protocol No 22 on the Position of Denmark annexed to the Treaty on European Union and to the TFEU, Denmark is not taking part in the adoption of this Recommendation and is not bound by it or subject to its application. Given that this Recommendation builds upon the Schengen acquis, Denmark shall, in accordance with Article 4 of the said Protocol, decide within a period of six months after the Council has decided on this Recommendation whether it will implement it.

                     (8)

                     This Recommendation constitutes a development of the provisions of the Schengen acquis in which Ireland does not take part, in accordance with Council Decision 2002/192/EC (21); Ireland is therefore not taking part in its adoption and is not bound by it or subject to its application.

                     (9)

                     As regards Iceland and Norway, this Recommendation constitutes a development of the provisions of the Schengen acquis within the meaning of the Agreement concluded by the Council of the European Union and the Republic of Iceland and the Kingdom of Norway concerning the latter's association with the implementation, application and development of the Schengen acquis which fall within the area referred to in Article 1, point A, of Council Decision 1999/437/EC (22).

                     (10)

                     As regards Switzerland, this Recommendation constitutes a development of the provisions of the Schengen acquis within the meaning of the Agreement between the European Union, the European Community and the Swiss Confederation on the Swiss Confederation’s association with the implementation, application and development of the Schengen acquis which fall within the area referred to in Article 1, point A, of Decision 1999/437/EC (23) read in conjunction with Article 3 of Council Decision 2008/146/EC (24).

                     (11)

                     As regards Liechtenstein, this Recommendation constitutes a development of provisions of the Schengen acquis within the meaning of the Protocol between the European Union, the European Community, the Swiss Confederation and the Principality of Liechtenstein on the accession of the Principality of Liechtenstein to the Agreement between the European Union, the European Community and the Swiss Confederation on the Swiss Confederation's association with the implementation, application and development of the Schengen acquis which fall within the area referred to in Article 1 point A, of Decision 1999/437/EC (25) read in conjunction with Article 3 of Decision 2011/350/EU (26),

               HAS ADOPTED THIS RECOMMENDATION:
         Council Recommendation (EU) 2020/912, as amended by Recommendations (EU) 2020/1052, (EU) 2020/1144, (EU) 2020/1186, (EU) 2020/1551, (EU) 2020/2169, (EU) 2021/89, (EU) 2021/132, (EU) 2021/767, (EU) 2021/816, (EU) 2021/892, (EU) 2021/992, (EU) 2021/1085, (EU) 2021/1170, (EU) 2021/1346, (EU) 2021/1459, (EU) 2021/1712, (EU) 2021/1782, (EU) 2021/1896 and (EU) 2021/1945, on the temporary restriction on non-essential travel into the EU and the possible lifting of such restriction is amended as follows:

                     (1)

                     the first paragraph of point 1 of the Council Recommendation is replaced by the following:

                                 ‘1.

                                 As from 18 November 2021, Member States should gradually lift the temporary restriction on non-essential travel to the EU in a coordinated manner with regard to the residents of the third countries listed in Annex I. ’;

                     (2)

                     Annex I to the Recommendation is replaced by the following:

                           ‘ANNEX I
                           Third countries, Special Administrative Regions and other entities and territorial authorities whose residents should not be affected by temporary external borders restriction on non-essential travel into the EU:
                           I.   STATES

                                       1.

                                       ARGENTINA

                                       2.

                                       AUSTRALIA

                                       3.

                                       BAHRAIN

                                       4.

                                       CANADA

                                       5.

                                       CHILE

                                       6.

                                       COLOMBIA

                                       7.

                                       INDONESIA

                                       8.

                                       JORDAN

                                       9.

                                       KUWAIT

                                       10.

                                       NAMIBIA

                                       11.

                                       NEW ZEALAND

                                       12.

                                       PERU

                                       13.

                                       QATAR

                                       14.

                                       RWANDA

                                       15.

                                       SAUDI ARABIA

                                       16.

                                       SOUTH KOREA

                                       17.

                                       UNITED ARAB EMIRATES

                                       18.

                                       URUGUAY

                                       19.

                                       CHINA (*1)

                                 II.   SPECIAL ADMINISTRATIVE REGIONS OF THE PEOPLE'S REPUBLIC OF CHINA

                                       Hong Kong SAR

                                       Macao SAR

                                 III.   ENTITIES AND TERRITORIAL AUTHORITIES THAT ARE NOT RECOGNISED AS STATES BY AT LEAST ONE MEMBER STATE

                                       Taiwan

                     .
                        (*1)  subject to confirmation of reciprocity"

            Done at Brussels, 18 November 2021.

                  For the Council

                  The President

               Z. ČERNAČ

            (1)  OJ L 208 I, 1.7.2020, p. 1.

            (2)  OJ L 230, 17.7.2020, p. 26.

            (3)  OJ L 248, 31.7.2020, p. 26.

            (4)  OJ L 261, 11.8.2020, p. 83.

            (5)  OJ L 354, 26.10.2020, p. 19.

            (6)  OJ L 431, 21.12.2020, p. 75.

            (7)  OJ L 33, 29.1.2021, p. 1.

            (8)  OJ L 41, 4.2.2021, p. 1.

            (9)  OJ L 165 I, 11.5.2021, p. 66.

            (10)  OJ L 198, 4.6.2021, p. 1.

            (11)  OJ L 221, 21.6.2021, p. 12.

            (12)  OJ L 235, 2.7.2021, p. 27.

            (13)  OJ L 255, 16.7.2021, p.3.

            (14)  OJ L 306, 31.8.2021, p. 4.

            (15)  OJ L 320, 10.9.2021, p. 1.

            (16)  OJ L 341, 24.9.2021, p. 1.

            (17)  OJ L 360, 11.10.2021, p. 128.

            (18)  OJ L 388, 3.11.2021, p. 1.

            (19)  OJ L 397, 10.11.2021, p. 28.

            (20)  OJ L 182, 21.5.2021, p. 1.

            (21)  Council Decision 2002/192/EC of 28 February 2002 concerning Ireland’s request to take part in some of the provisions of the Schengen acquis (OJ L 64, 7.3.2002, p. 20).

            (22)  OJ L 176, 10.7.1999, p. 31.

            (23)  OJ L 53, 27.2.2008, p. 52.

            (24)  Council Decision 2008/146/EC of 28 January 2008 on the conclusion, on behalf of the European Community, of the Agreement between the European Union, the European Community and the Swiss Confederation on the Swiss Confederation’s association with the implementation, application and development of the Schengen acquis (OJ L 53, 27.2.2008, p. 1).

            (25)  OJ L 160, 18.6.2011, p. 21.

            (26)  Council Decision 2011/350/EU of 7 March 2011 on the conclusion, on behalf of the European Union, of the Protocol between the European Union, the European Community, the Swiss Confederation and the Principality of Liechtenstein on the accession of the Principality of Liechtenstein to the Agreement between the European Union, the European Community and the Swiss Confederation on the Swiss Confederation’s association with the implementation, application and development of the Schengen acquis, relating to the abolition of checks at internal borders and movement of persons (OJ L 160, 18.6.2011, p. 19).


title: Council Recommendation (EU) 2021/2122 of 26 November 2021 on a Pact for Research and Innovation in Europe

text:
               2.12.2021

               EN

               Official Journal of the European Union

               L 431/1

      COUNCIL RECOMMENDATION (EU) 2021/2122
      of 26 November 2021
      on a Pact for Research and Innovation in Europe
      THE COUNCIL OF THE EUROPEAN UNION,
      Having regard to the Treaty on the Functioning of the European Union, and in particular Article 292 in conjunction with Article 182(5) thereof,w
      Having regard to the proposal from the European Commission,
      Whereas:

                  (1)

                  On 30 September 2020, the Commission adopted a Communication on ‘A New ERA for Research and Innovation’, in which it sets out a new vision for the European Research Area (ERA) and announces the intention to propose a Pact for Research and Innovation (R&I) in Europe.

                  (2)

                  The Council Conclusions on the New European Research Area, adopted on 1 December 2020, call on the Member States and the Commission to develop in 2021 an ERA policy agenda and a multi-level governance model to deliver on the new ambition for the ERA.

                  (3)

                  Over the past two decades, the implementation of the ERA has contributed to some major achievements in areas such as research infrastructures, open science, transnational and international cooperation, gender balance in R&I, joint programming, research careers and the mobility of researchers, as well as to structural reforms. However, the pace of progress on R&I investment at Union level has slowed down overall recently, and more needs to be done to reverse that trend.

                  (4)

                  In order to address global challenges and support Europe’s competitiveness, international cooperation through ERA should take into account the priorities of the Union’s external relations, based on multilateralism and balanced reciprocal openness and should promote a level playing field and reciprocity underpinned by fundamental values and common framework conditions.

                  (5)

                  To deliver on an ERA fit for the future, it is necessary to strengthen coordination and to deepen coherence between the Union, national and regional policies. The Commission Communication ‘A New ERA for Research and Innovation’ therefore calls for mobilising Member States around key common principles and values and for identifying shared priority areas for action. This is particularly relevant at a time when increased and more focused national and regional funding and reforms are necessary to accelerate the contribution to the United Nations (UN) Sustainable Develepment Goals, the green transition and digital transformation and to implement the Paris Agreement goals, in line with European Green Deal objectives.

                  (6)

                  A common set of principles and values is necessary to reaffirm solid foundations for R&I in the Union, underlining values (ethics and integrity; freedom of scientific research; gender equality and equal opportunities), setting out better working conditions (free circulation of researchers, knowledge and technology across the Union; pursuit of excellence; value creation and impact of R&I) and increasing cooperation (coordination, coherence, commitment; global outreach; inclusiveness; societal responsibility).

                  (7)

                  Shared priority areas should constitute a clear indication to stakeholders of the areas and actions that the Union and its Member States consider as their common priorities and where they commit to work together on a variable geometry, creating a stable framework for policymakers, public funders, private investors and performers.

                  (8)

                  In its Conclusions on the New European Research Area, the Council reaffirmed the target of investing 3 % of Union GDP in research and development (R & D). In order to prioritise investments and reforms, Member States could update their national targets to reflect new Union priorities and national circumstances.

                  (9)

                  To qualify their national strategy towards achieving the 3 % target, Member States are encouraged to consider the use of additional sub-targets, striking the right balance between a sufficiently ambitious ERA agenda and one that is achievable and realistic, including for the Member States at national level.

                  (10)

                  Strengthening the ERA requires closer cooperation between the Member States and the Commission. This can be achieved by the Commission setting up and maintaining a simplified monitoring and coordination system for mutual learning and enhanced bilateral and multilateral dialogue.

                  (11)

                  The coordination of Union and national, including regional, investments and reforms should be enhanced in order to strengthen national R&I systems and increase their impact at Union level: while national R&I policies drive the development of national systems towards national objectives, they also contribute to ERA objectives and other shared Union priorities in strategic areas of common interest,

            HEREBY RECOMMENDS THAT:
      I.   Values and principles for research and innovation in the Union

                  1.

                  Member States should apply the following common set of values and principles for R&I in the Union in their R&I systems, in close collaboration with stakeholders. Those values and principles should also be promoted by the Member States and the Union in their interactions with third countries in order to achieve a level playing field and common framework conditions.

         Upholding values

                  (a)

                  Ethics and integrity of R&I: Researchers, research processes and the R&I system overall should comply with strict ethics and integrity rules and practices, which are the foundation of responsible and trustworthy research free from undue interference – a prerequisite for achieving excellence – and underpin the responsibility of researchers to guard against biases and methodological shortcuts, and counteract the spread of pseudosciences and misinformation by increasing the effort of scientific dissemination and its pedagogy;

                  (b)

                  Freedom of scientific research: As part of a research culture that is inherent to the ERA, and a necessary condition for researchers to freely define their research questions, theories and methods in an open and secure manner and to produce, share and disseminate knowledge, data and other results;

                  (c)

                  Gender equality and equal opportunities for all: Encompassing gender balance in research teams at all levels, including in management and decision-making, combatting gender-based violence and harassment and tackling gender bias, and the integration of the gender dimension in the content of R&I, and taking account of diversity in the broader sense, including, inter alia, gender, racial or ethnic origin, religion or belief, social diversity, disability, age, sexual orientation and combating discrimination on all grounds;

         Working better

                  (d)

                  Free circulation: Free circulation of researchers and support staff, scientific knowledge and technology should be promoted, attracting talent and avoiding potential talent drain. This involves sharing scientific knowledge, data and tools as early as possible, in particular through open science practices, attractive and merit-based careers, the recognition of researchers’ and support staff’s skills throughout their careers, enhancing framework conditions for researchers’ mobility, contributing to the circulation of researchers across the Union, encouraging exchanges between academia and industry (as well as other sectors), diffusing innovation and supporting open access to research infrastructures, technology infrastructures and their services;

                  (e)

                  Pursuit of excellence: The commitment to programme, perform or support research of the highest possible quality, with the aim of achieving and rewarding excellence as a prerequisite for scientific, technological, economic, policy and societal impact, thus expanding Europe’s overall knowledge base. This implies that public support for R&I should aim to select and fund high quality initiatives – quality implies that the research is world-class, produces verifiable and reproducible results and is carried out through transparent research processes and methodologies and through research management which allows the systematic re-use of previous results. The research assessment system – for research, researchers, teams and institutions – should comply with this principle and reward quality accordingly; public support should recognise that fundamental research is essential for ensuring excellence, attractiveness and the competitive edge of R&I ecosystems and should strike a balance between ‘curiosity-driven’ and ‘mission-oriented’ research;

                  (f)

                  Value creation and societal and economic impact: Increasing the impact of R&I by transforming Europe’s leadership in knowledge creation by making use of the knowledge in society, for instance through products, services, processes and solutions that support the wellbeing of citizens on a sustainable planet, economic prosperity, open innovation, evidence-informed policymaking and strategic autonomy while preserving an open economy; this involves, inter alia, working across various policies, encouraging and rewarding a stronger interconnection between actors in multi-disciplinary and cross-sectorial collaboration, investing in people, the availability of research and technology infrastructures, interaction with industry and other actors, and promoting investigator-driven basic research and its role in generating breakthrough advancements and a broader knowledge base;

         Working together

                  (g)

                  Coordination, coherence and commitment: Member States bring the European dimension into national and regional R&I policies and ensure greater national buy-in and commitment to successfully implementing the ERA priorities. Member States, with the Union’s support, coordinate their R&I policies and programmes in areas of common interest, including by ensuring complementarity and fostering synergies with the Union framework programmes for R&I and other Union programmes and funds, thereby facilitating transnational cooperation in the ERA, and direct R&I investments and reforms towards achieving the ERA and speeding up the green transition and digital transformation;

                  (h)

                  Global outreach: Member States engage in mutually beneficial and reciprocal collaboration and joint activities on R&I with partners from third countries and regions, based upon the Union’s strategic interests, values and the principles set out in this Recommendation, in the UN Sustainable Development Goals and in other relevant international instruments;

                  (i)

                  Inclusiveness: Member States should strive to develop the full potential of the ERA in order to be competitive at global level; accordingly, Member States and regions that perform less well should be advised and supported with a view to stepping up their efforts to increase the performance and size of their R&I systems and develop their capacities, both human and infrastructural, including by exploiting synergies between their national and regional funding and Union funds. Efforts should be supported at the Union level to unlock the excellence potential in Member States and connect R&I performers from lower-performing regions with excellent European networks across the Union;

                  (j)

                  Societal responsibility: Striving to be responsive to society’s needs to expand collective capacities and achieve greater societal and environmental impact and to increase trust and commitment in science and innovation by engaging stakeholders, local communities and citizens in the design and implementation of R&I policies, by enhancing science communication activities and by ensuring that those policies are adaptable, flexible and able to adjust to unexpected challenges.

            II.   Priority areas for joint action in the Union

                  2.

                  Member States should take up on a voluntary basis the following priority areas for joint action in support of the ERA, on the basis of which the ERA actions in the ERA policy agenda will be designed. Those actions should ensure close alignment with and appropriate support for the values and principles for R&I in the Union, as set out in this Recommendation.

         Deepening a truly functioning internal market for knowledge

                  (a)

                  Open science: Support and reward a true open science culture across the Union, including mainstreaming open access to scholarly publications and research data (i.e. following the ‘as open as possible, as closed as necessary’ principle) and the diffusion and uptake of open science principles and practices, whilst considering differences between disciplines and cultural differences, including multilingualism, supporting the development of open science skills, and further developing and integrating the underpinning digital infrastructure and services;

                  (b)

                  Research infrastructures: Develop further the open access to, and better exploitation and connection of existing and new European and national research infrastructures, including e-infrastructures, in all the fields of science; exploit better their integrative function in the knowledge and innovation ecosystem and their potential in providing solutions to global challenges, in forming partnerships and pooling resources and connection to the European Open Science Cloud; improve their connection and interaction with technology infrastructures and industry to increase their impact; promote the creation of new infrastructural capacities on a European scale. Doing so will provide foundations for scientific excellence and help European science collaborate and compete globally, contribute to bridging the R&I gap and foster inclusiveness in the ERA; this will require, inter alia, employing a broader range of funding sources for world-leading research infrastructures and exploring novel ways of funding transnational and virtual access;

                  (c)

                  Gender equality, equal opportunities for all and inclusiveness: Ensure fair, open, inclusive and gender-equal career paths in research to facilitate systemic institutional and structural change in R&I funding and performing organisations; counteract gender-based violence and sexual harassment; remove inequities regardless of gender, racial or ethnic origin, religion or belief, disability, age or sexual orientation; monitor and evaluate national gender equality policies and plans in R&I;

                  (d)

                  Researchers’ careers and mobility and research assessment and reward systems: Give greater attention to researchers’ careers in general and specifically early and mid-stage researchers’ careers, including the specific barriers that women face in those stages, make their careers more attractive and equip them with the training and skills required to meet the changing needs of the researcher role across the Union, including leadership and teaching; building-upon and ensuring consistency with instrumental programmes such as Marie-Skłodowska-Curie Actions. This will be achieved by creating stable, attractive, inclusive, supportive and transparent working and employment conditions and by providing clear, more diverse career paths and guidance to make informed career choices. Address the unbalanced circulation of researchers across the Union as well as across sectors and public administrations, while preventing talent drain and increasing attractiveness towards talents from the world. Further develop current research assessment systems for research, researchers, teams and institutions, to reward quality, impact, open science practices, leadership and engagement with society and collaboration with industry and other sectors of activity, including independent scientific advice for evidence-informed policy makers; consider a wide range of research outputs and activities, also taking into account teaching at higher-education level, and allowing for diverse career paths. Reward systems should pay due attention to ensuring transparency, openness and merit, and avoiding bias, discrimination and unfair treatment. This should be made effective and regularly monitored through the use of adequate indicators and the observatory of research careers;

                  (e)

                  Knowledge valorisation: Increase cooperation and interlinkages between R&I actors, and better coordinate policies and programmes at Union, national and regional level, in particular through R&I-friendly frameworks, including regulatory and policy support, for knowledge valorisation, improving the uptake of and access to research results, upskilling and intellectual asset management;

                  (f)

                  Scientific leadership: Boost capacities and funding for bottom-up fundamental research and for applied research. This will help the Union achieve a leading position as a knowledge society and a global scientific powerhouse, which is a precondition for effective innovation policy and for the Union’s ability to understand, prepare for and react to future challenges, such as climate change or health crises;

                  (g)

                  Global engagement: Develop a coherent global engagement strategy and common tools, promoting shared European values and principles for R&I in terms of international cooperation and capitalising on the attractiveness of research in the Union; ensure the Union’s scientific and innovation strategic autonomy while preserving an open economy; promote a level playing field and reciprocity based on fundamental values; enhance R&I partnerships and strengthen, broaden and deepen collaboration with third countries and regional organisations.

         Taking up together the green transition and digital transformation and other challenges with impact on society, and increasing society’s participation in the ERA

                  (h)

                  Challenge-based ERA actions: Bring together the Member States and the Commission, including regions and local entities, as well as third countries, R&I stakeholders and industry, combining strengths through close coordination, co-design, cooperation, data sharing and joint funding to foster R&I-based solutions and mitigate future risks in view of developing sectorial policies to support Europe’s resilience and sustainability goals of the green transition and digital transformation; those ERA actions should:

                              —

                              build on Union research framework programmes and instruments such as R&I Missions, European Partnerships, including the European Institute of Innovation and Technology Knowledge and Innovation Communities (EIT KICs), joint programming initiatives, as well as other actions beyond Union research framework programmes, such as multilateral R&I alliances;

                              —

                              address new and persistent challenges such as climate change, biodiversity loss and biodiversity preservation, energy and digital transitions, migration, pollution by plastics, cancer, age-related and rare diseases or public health threats, including (re)emerging infectious diseases;

                              —

                              build on the contribution of the full spectrum of disciplines, allowing the challenges to be addressed comprehensively;

                              —

                              draw from experiences of existing coordination initiatives such as the Strategic Energy Technology Plan, National Energy and Climate Plans, and the example of the ERAvsCorona initiative;

                  (i)

                  Synergies with education and the European Skills Agenda: R&I and higher education are key drivers of innovation, knowledge creation, diffusion and use. Actions should:

                              —

                              develop, support and exploit synergies between the ERA and the European Higher Education Area, in particular through higher education institutions and research infrastructure, including e-infrastructure, mutually reinforcing open science and open education policies, as well as the EIT KICs;

                              —

                              provide guidance and support with relevant stakeholders to the transition of the higher education system towards higher cooperation, inclusion, excellence and digitisation, inter alia, by supporting in a concerted manner at Union and national level the further development of the ‘European University’ initiative as a catalyst for modern, inclusive and future-oriented higher education institutions in the Union;

                              —

                              develop and implement initiatives for equipping researchers with all the skills required by the labour market and for upskilling and reskilling through targeted training;

                  (j)

                  Synergies with sectorial policies and industrial policy, in order to boost innovation ecosystems: R&I and an agile industry are key to driving competitiveness and achieving strategic autonomy while preserving an open economy. Actions should:

                              —

                              develop, support and exploit the synergies between the ERA, cross-sectorial policies and the updated industrial strategy (1);

                              —

                              promote the coordination of R&I policies and programmes to support the development of breakthrough and incremental innovations across the Union, in particular through research as well as technology infrastructures, higher education institutions, the European Innovation Council, Horizon Europe partnerships, including EIT KICs, Industrial Alliances, important projects of common European interest, Joint Cluster Initiatives, thematic smart specialisation platforms, and common industrial technology roadmaps (from basic research to deployment) in key strategic areas, particularly those related to the industrial ecosystems identified in the renewed European industrial policy;

                              —

                              be co-developed with Member States, industry (including small and medium-sized enterprises) and other R&I stakeholders; and

                              —

                              indicate specific priority areas (or priority value chains) to help align public and private investments;

                  (k)

                  An active citizen and societal engagement in R&I in all its dimensions: The contribution of, and the capacity to benefit from, citizens’ views and inputs, and promote citizens’ involvement, will raise awareness of the benefits and impact of R&I in people’s daily lives, ensure a greater diversity of approaches for designing and implementing R&I policy and make R&I more relevant for society by facilitating acceptance and affordability of new solutions;

         Enhancing access to research and innovation excellence across the Union and enhancing interconnections between innovation ecosystems across the Union

                  (l)

                  More investments and reforms in countries and regions with lower R&I performance: Effectively mobilising Union and national funding for R&I investment, in combination with support and assistance to engage in the necessary R&I reforms;

                  (m)

                  Synergies between Union, national and regional funding programmes: Synergies between the Union’s funding programmes and national and regional R&I funding schemes should be guided by the values and principles set out in this Recommendation and be encouraged, operationalised and enhanced, on the basis of well-established guidelines for their implementation, in particular between Horizon Europe, cohesion policy and the Resilience and Recovery Facility;

                  (n)

                  Increased collaborative links and the excellence-based integration of research-performing organisations from countries and outermost regions with lower R&I performance into European scientific networks and innovation ecosystems, more balanced ‘brain circulation’ within the ERA, appropriate skills and training for enhancing access to excellence;

         Advancing concerted research and innovation investments and reforms

                  (o)

                  Support to prioritise and secure long-term R&I investments and policy reforms: At all governance levels (Union, national and regional), with improved cross-sectoral coordination and participation, including with regulatory sandboxes and experimentation clauses; their design, implementation and assessment should go hand-in-hand in order to maximise synergies and impact;

                  (p)

                  Coordination of R&I investments: By supporting the identification and implementation of coordinated investments and reforms in order to strengthen the ERA dimension across all governance levels in the Union and maximise their impact for the benefit of the Union’s science and innovation systems; and by nurturing the interoperability of systems building on lessons learned from joint programming and European research infrastructures.

            III.   Prioritising investments and reforms

                  3.

                  Member States should prioritise investments and reforms that address the ERA priorities and provide the necessary conditions and support for stronger private R&I investment at Union, national and regional level by setting realistic, but ambitious, national voluntary targets for R & D investment and outcomes while recognising national circumstances:

                              (a)

                              Public R & D expenditure and private R&I investments require an adequate policy and regulatory framework to maximise their effectiveness and efficiency and ensure an economic and social impact; conversely, reforming the R&I policy framework or implementing a transformative agenda requires mobilising appropriate resources (e.g. funding, human resources, skills, research posts) to drive change and improve the performance and output of the R&I system;

                              (b)

                              R & D investment targets not only spur the overall rate of increase of R & D expenditure, but also reflect more qualitative objectives, in terms of scientific, technological, societal or industrial orientations; this applies in particular to public R & D expenditure supporting the ERA priorities, including reforms of national and regional R&I systems, a sustainable and competitive economy and the twin transitions.

                  4.

                  Member States should contribute to the Union-level target of investing 3 % of Union GDP in R & D by setting, on a voluntary basis, national targets for their total expenditure on R & D.

                  5.

                  Member States should qualify the strategy towards achieving their national targets for total R & D expenditure by voluntarily setting national sub-targets, for example on:

                              (a)

                              the intended public expenditure on R & D, expressed as a percentage of GDP;

                              (b)

                              the percentage of national public R & D expenditure committed to joint programmes and initiatives, research infrastructures and European Partnerships;

                              (c)

                              the expected increase in total R & D expenditure, for those Member States lagging behind the Union average R & D expenditure, expressed as a percentage of GDP.

                  6.

                  Member States take note of the Commission’s proposals to include a new 1,25 % of Union GDP public effort target to be achieved by Member States by 2030 in a coordinated manner in the Union and two new voluntary targets for Member States to commit 5 % of national public R & D funding to joint programmes and European Partnerships by 2030 and to increase by 50 % the R & D investment in those Member States that are below the Union R & D intensity average.

            IV.   Policy coordination and monitoring

                  7.

                  The Commission and the Member States should implement an enhanced coordination mechanism, to ensure progress towards the ERA priorities. This should encompass Union-level coordination and support, from the strategic planning and design stages to the implementation and monitoring stages, through a range of simpler and less burdensome policy tools and processes:

                              —

                              An ERA policy agenda approved by the Council, which sets out the ERA actions to be implemented jointly and voluntarily in a coordinated and flexible manner, without increasing the administrative burden on the Member States, in support of the principles for R&I and ERA priorities set out in this Recommendation, and addressing challenges faced by Union and national R&I communities and wider society as a whole. The ERA policy agenda should be clear and actionable, and provide real Union-added value, defining and describing each action with a view to its implementation (at the Union and/or national level);

                              —

                              A tailor-made national process or policy vehicle, used on a voluntary basis by each Member State, for example in the form of a strategy, National ERA Action Plan or Roadmap, to identify running or planned measures at national or regional level contributing to implementing the ERA policy agenda and to other priority areas for joint action;

                              —

                              A user-friendly dedicated ERA policy online platform for informing about (i) the implementation of the ERA policy agenda at Union and national level and (ii) other relevant investments, reforms and activities supporting the principles and ERA priority areas set out in this Recommendation. The ERA policy online platform should be based on existing resources and tools and reduce the administrative burden on Member States and the Commission.

                  8.

                  The Member States and the Commission should implement an enhanced monitoring mechanism, to ensure a proper basis for evidence-informed policy making in the ERA and to provide evidence and analysis in the context of the European Semester. This should encompass the following:

                              —

                              An ERA scoreboard, which monitors progress towards the ERA objectives at Union level, and a more detailed dashboard monitoring progress towards the ERA objectives at national level, through a rich combination of relevant input, outcome and impact indicators and qualitative analyses that accommodate the different circumstances of Member States and that relate to the ERA priorities. The ERA scoreboard should be updated regularly. The ERA scoreboard should assess the overall consolidation and collective progress of ERA priorities and should only display aggregated data at Union level;

                              —

                              Regular policy dialogues between the Member States and the Commission – both bilaterally and multilaterally – to actively assess and guide the implementation of the ERA policy agenda, in particular through the sharing of best practices and mutual learning exercises, will also take place in the ERA Forum, notwithstanding other policy dialogues in the European Research Area and Innovation Committee. The Commission will provide further support through the Horizon Policy Support Facility and the Technical Support Instrument.

                  9.

                  The Member States and the Commission should share information through the ERA policy online platform on their current and planned policies and programmes that contribute to implementing the ERA policy agenda, and more broadly contribute to the principles and priorities set out in this Recommendation.

                  10.

                  The Commission should review the implementation of the ERA policy agenda every 18 months and issue a report for consideration by the Council on the state of play of its implementation in view of steering the ongoing ERA policy agenda and preparing its reviews and updates that will be discussed and approved by the Council. The Commission should provide annually to each Member State a report on its progress in support of the regular policy dialogues between Member States and the Commission.

            V.   Review

                  11.

                  The Council should reassess the priority areas for joint action, set out in recommendation (2), at the latest every 6 years after the adoption of this Recommendation.

         Done at Brussels, 26 November 2021.

               For the Council

               The President

            S. KUSTEC

         (1)  Communication from the Commission to the European Parliament, the Council, the European Economic and Social Committee and the Committee of the Regions ‘Updating the 2020 New Industrial Strategy: Building a Stronger Single Market for Europe’s Recovery’