Explanatory Memorandum to COM(2024)26 - Enhancing research security - Main contents

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dossier	COM(2024)26 - Enhancing research security.
source	COM(2024)26
date	24-01-2024

1. CONTEXT OF THE PROPOSAL

• Reasons for and objectives of the proposal

As outlined in the European economic security strategy, published in June 2023 ¹, a global increase in geopolitical tensions and hostile economic actions, cyber and critical infrastructure attacks, foreign interference and disinformation have exposed risks and vulnerabilities in our societies, economies and companies. In some cases, it became clear that Europe should be better prepared for evolving, new and emerging risks that have arisen in this more challenging geopolitical context.

Critical and dual-use technologies play a pivotal role in this context, with some of our competitors to use emerging and disruptive technologies to boost their political, economic, and military positions. This may result in European research and innovation being affected by malign influence and being misused in ways that affect our security or infringe our ethical norms.

The research and innovation sector is particularly vulnerable due to its openness and internationalisation, which is in its DNA. Therefore, a tailor-made approach strongly rooted in academic freedom and institutional autonomy, principles that are fundamental to research and innovation, is needed to enhance research security in the research and innovation sector across Europe.

Higher education institutions and research performing organisations must navigate an increasingly complex and tense international landscape. It is the EU’s duty to assist them in traversing this terrain responsibly and securely in full respect of academic freedom and institutional autonomy.

The proposed Council recommendation offers, for the first time, a joint definition of the problem and a shared sense of urgency. It provides political guidance on what an effective policy response could look like, while taking into consideration that much of the work on research security is about navigating ‘grey zones’ where certain forms of international research and innovation cooperation may not be forbidden but are nevertheless undesirable because they pose risks to the security of the Union and its Member States or are unethical.

• Consistency with existing policy provisions in the policy area

The European economic security strategy follows a three-pillar approach: promotion of the EU's economic base and competitiveness; protection against economic security risks; and partnership with the broadest possible range of countries to address shared concerns and interests. Its aim is to provide a framework for a robust assessment and management of risks to economic security at EU, national and business level while preserving and increasing our economic dynamism.

In the strategy the Commission made a commitment to ‘propose measures to improve research security ensuring the systematic and rigorous enforcement of the existing tools and identifying and addressing any remaining gaps, while preserving openness of the innovation ecosystem.’ The proposal for a Council recommendation delivers on this commitment by formulating guiding principles for responsible internationalisation and key policy actions at national and sectoral level to enhance research security and listing initiatives at EU level to support the efforts of the Member States and the sector.

The proposal for a recommendation complements and builds on work ongoing since the Commission published its communication on the Global Approach to research and innovation in May 2021 ². In that communication, it presented a strategy to preserve openness in international research and innovation cooperation, while promoting a level playing field and reciprocity underpinned by fundamental values.

Through its Council conclusions of September 2021 on the Global Approach, the Council gave a mandate to work on tackling foreign interference in research and innovation.³ On this basis, important follow-up initiatives were undertaken, notably the Commission’s adoption in January 2022 of a staff working document on tackling R&I foreign interference.⁴ The document is used by Member States and R&I stakeholders as a basis to discuss research security and as a source of inspiration to develop their own tailor-made guidelines and tools. The European Parliament welcomed the document in its resolution of 6 April 2022 on the Global Approach.⁵ The Commission also facilitated peer learning among Member States through a mutual learning exercise and is developing an online one-stop shop that will bring together all relevant documents, reports and tools on research security.

Additionally, a policy debate on ‘Knowledge security and responsible internationalisation’ took place in the Competitiveness Council of May 2023, which provided invaluable insights and guidance for the proposal.

• Consistency with other Union policies

The proposed recommendation is part of a comprehensive package of measures following up on the European economic security strategy of 20 June 2023. As such, the proposal forms a building block in an overarching effort to enhance the EU’s economic security at large. On 3 October 2023, the Commission adopted a recommendation in which it identified critical technology areas for the EU’s economic security for further risk assessment with Member States ⁶. The outcome of this risk assessment could inform other measures to implement the European economic security strategy, including measures to enhance research security. The public consultation launched with the White paper on outbound investment will be considered, in particular when it comes to elements relevant for research and innovation.

1. Additionally, the proposed recommendation is complementary to and consistent with a number of other EU initiatives, notably:

- the work done on countering hybrid threats, in the framework of the EU Security Union strategy ⁷ and the Strategic Compass for Security and Defence ⁸;

- the European rules for the export outside the EU of dual-use goods and technology as laid down in the EU’s Export Control Regulation.⁹ To help higher education institutions and research performing organisations the Commission published in September 2021 a recommendation on compliance programmes for research involving dual-use items ¹⁰;

- the Defence of Democracy package, adopted by the Commission in December 2023 ahead of the European elections of June 2024. The package aims to tackle foreign interference threats through increased levels of transparency of interest representation activities, while at the same time encouraging civic engagement and citizens’ participation in our democracies ¹¹.

2. LEGAL BASIS, SUBSIDIARITY AND PROPORTIONALITY

• Legal basis

The initiative falls under the ‘research and technological development’ policy area, where the EU and its Members States share competences in line with Article 4(3) of the Treaty on the Functioning of the European Union (TFEU). The proposed Council recommendation is based on Article 182(5) in conjunction with Article 292 TFEU.

Article 182(5) TFEU opens up the possibility of complementing the activities planned in the multiannual framework programme by allowing the European Parliament and the Council, acting in accordance with the ordinary legislative procedure and after consulting the Economic and Social Committee, to establish necessary measures for implementing the European Research Area.

Article 292 TFEU provides the legal basis for the Council to adopt recommendations based on a proposal from the Commission.

The initiative does not propose any extension of EU regulatory power or binding commitments on Member States. It is the Member States who will decide, based on their national circumstances, how they implement this Council recommendation.

• Subsidiarity (for non-exclusive competence)

The present proposal is in conformity with the principle of subsidiarity as provided for in Article 5(3) of the Treaty on the European Union (TEU).

While national governments are best placed to reach out to their universities and other research performing organisations and support them in taking the necessary measures, EU-level cooperation and coordination is needed to ensure the proper functioning of the European research area and to reduce disparities caused by differences in national research security measures.

Currently, awareness of the risks is not evenly spread across the EU. An increasing number of Member States and R&I actors are developing and introducing dedicated safeguarding measures, while others still seem largely unaware, creating vulnerabilities that could easily be exploited. A minimum level of consistency of approach across the EU is therefore essential.

• Proportionality

The present proposal is in conformity with the principle of proportionality as provided for in Article 5 i TEU. Neither the content nor the form of this proposed Council recommendation exceeds what is necessary to achieve the objective of achieving a minimum level of consistency of approach across the EU.

The legal status of this initiative should ensure ownership and endorsement by the Member States. At the same time, it should rely predominantly on self-governance by the R&I sector, in line with academic freedom and institutional autonomy.

The recommendation helps Member States and research performing organisations to develop and implement policies and measures that are both effective and proportionate. It underscores the importance of international cooperation and openness following the principle ‘as open as possible, as closed as necessary’. It also shows which risk management measures could be introduced, fully respecting academic freedom and institutional autonomy, while avoiding discrimination and stigmatisation.

• Choice of the instrument

The proposed Council recommendation provides guidance to Member States about how to identify and address research security risks effectively. It recommends that Member States support their research and innovation sector, taking appropriate steps to raise awareness and build resilience. Building on the staff working document on tackling R&I foreign interference, a Council recommendation would ensure that all Member States are actively involved and committed at political level.

Alternatively, a Commission recommendation or communication could be considered. In terms of content, these could in principle cover the same issues as a Council recommendation. However, what these instruments have in common is that they do not actively involve or commit the Member States. There is no guarantee that the addressees share the proposed approach and the sense of urgency.

A legally binding initiative, such as a directive or regulation, regulating international research and innovation cooperation in such a way that risks are properly identified and addressed by Member States would guarantee legal consistency across the Union. However, the main downside of a binding instrument in this specific context is that it would be very difficult to conceive it in such a way that the division of competence between the EU and the Member States as well as the principles of academic freedom and institutional autonomy are respected.

For these reasons, a proposal for a Council recommendation is considered to be the appropriate policy instrument to address the issues at hand.

3. RESULTS OF EX-POST EVALUATIONS, STAKEHOLDER CONSULTATIONS AND IMPACT ASSESSMENTS

• Ex-post evaluations/fitness checks of existing legislation

Not applicable.

• Stakeholder consultations

The proposed Council recommendation builds on the Commission’s staff working document on tackling R&I foreign interference of January 2022. Throughout 2023, a mutual learning exercise on tackling R&I foreign interference took place, with experts from 13 Member States exchanging national experience and expertise. In addition, three dedicated meetings on research security with Member State experts took place in the context of the EU Knowledge Network on China (EUKNOC).

The development of the proposal was also informed by a call for evidence, which was open for public feedback on the ‘Have your say’ webpage from 6 December 2023 until 3 January 2024. The Commission received 56 contributions, almost 40% came from academic or research institutions. In addition to the call for evidence, a targeted consultation meeting took place on 15 December 2023, with participation of representatives of the main EU-level stakeholder organisations in research and innovation.

• Collection and use of expertise

In addition to the input received during the consultation process, the proposal is underpinned by extensive evidence, reports and studies collected over recent years. Key sources of evidence include a large and still growing body of guidance documents on research security developed by Member States and sectoral organisations ¹, as well as reports on the issue by think tanks, stakeholder organisations and advisory councils.

Due consideration has also been given to the research security policies that some of our international partners have implemented over the past years, and to the insights and experience they gained while doing so. This includes the policies of countries such as the United States, the United Kingdom, Australia and Canada ². In the context of the multilateral dialogue on values and principles ³, a workshop on research security took place in December 2023, in which international partners actively participated.

• Impact assessment

An impact assessment has not been carried out, given the complementary approach of the activities to Member State initiatives and the non-binding and voluntary nature of the proposed activities.

The impact of the recommendation largely depends on the engagement and the readiness to act of Member States and sector organisations and is therefore impossible to assess in advance. Provided that the Council adopts the proposal and Member States commit to implementing its recommendations with the support of the sector, the proposal has the potential to enhance research by raising awareness and building resilience throughout Europe.

• Regulatory fitness and simplification

The proposal is not linked to the Commission’s REFIT legislative simplification programme. Nonetheless, every effort is made to make efficient use of scarce resources, including by using existing European research area governance structures and by relying on existing reporting structures. Also, the proposed recommendation emphasises that unnecessary administrative burden for the sector should be avoided when introducing safeguarding measures and that in the context of research funding the time-to-grant should not be unnecessarily delayed.

• Fundamental rights

One of the proposal’s main objectives is to support Member States and research performing organisations in ensuring that international research and innovation cooperation does not violate fundamental values and human rights. The recommendation has protecting fundamental academic values, notably academic freedom and research integrity, at its core.

4. BUDGETARY IMPLICATIONS

While this initiative will not require additional resources from the EU budget, the measures in this recommendation will mobilise sources of funding at EU, national and sector level.

For the ‘European Centre of Expertise on Research Security’ that the Commission intends to establish, the existing Horizon Europe budget would be mobilised. In terms of organisational set-up several options are under consideration, which the Commission will further explore taking into account the Member States’ and stakeholders’ preferences as regards its functionalities.

5. OTHER ELEMENTS

• Implementation plans and monitoring, evaluation and reporting arrangements

To support Member States and stakeholders as they implement the recommendation, full use will be made of the existing European research area governance structures. It is expected that research security will be reflected in the next European research area policy agenda for 2025-2027, which is currently under preparation in dialogue with Member States and stakeholders.

Commission reporting will rely on the already existing biennial reporting on the Global Approach to Research and Innovation. The next report is envisaged for mid-2025. Member States are invited to submit national action plans on how they intend to implement the recommendation within 9 months of its adoption.

• Explanatory documents (for directives)

Not applicable.

• Detailed explanation of the specific provisions of the proposal

The overall aim of the initiative is to help Member States, higher education institutions and research performing organisations, both public and private, address research security risks. This will ensure that research, innovation and higher education activities are not misused or captured in a way that affects the security of the EU and its Member States or are unethical. To this end, the proposed Council recommendation contains the following sections:

- After introducing the issue at stake and the political background of the proposal in the recitals, its scope is explained. A definition of ‘research security’ is proposed, which draws on the main elements of the various definitions in use internationally. It is also clarified which organisations and stakeholders are primarily addressed in the context of the recommendation.

- Then, principles for responsible internationalisation are proposed. These principles are conceived in such a way that they can be used to underpin the formulation and design of a policy response to research security at any level (EU, national or individual research performing organisations). The principles draw on the approaches taken in national and sectoral guidance on responsible internationalisation. From the response to the call for evidence, it can be concluded that these principles clearly resonate with the stakeholder community.

- The following section contains the actual recommendations to the Member States. It is divided in four subsections. The first subsection formulates what public authorities are recommended to do for the research and innovation sector in terms of creating a support structure and providing guidance. The second subsection addresses the pivotal role national funding organisations have in enhancing research security. The third subsection elaborates on what Member States are recommended to do to support higher education institutions and research performing organisations when introducing safeguarding measures and policies.

- The final subsection outlines a number of supporting actions and initiatives of the Commission for which the Member States’ facilitation is needed.

- The final section specifies how the follow-up to the recommendation is facilitated and monitored.