02021R0241 — EN — 01.03.2023 — 001.003
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REGULATION (EU) 2021/241 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 12 February 2021 establishing the Recovery and Resilience Facility (OJ L 057 18.2.2021, p. 17) |
Amended by:
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REGULATION (EU) 2023/435 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 27 February 2023 |
L 63 |
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28.2.2023 |
Corrected by:
REGULATION (EU) 2021/241 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
of 12 February 2021
establishing the Recovery and Resilience Facility
CHAPTER I
GENERAL PROVISIONS AND FINANCING
Article 1
Subject matter
This Regulation establishes the Recovery and Resilience Facility (the ‘Facility’).
It lays down the objectives of the Facility, its financing, the forms of Union funding under it and the rules for providing such funding.
Article 2
Definitions
For the purposes of this Regulation, the following definitions apply:
‘Union funds’ means funds covered by a Regulation of the European Parliament and of the Council laying down common provisions on the European Regional Development Fund, the European Social Fund Plus, the Cohesion Fund, the Just Transition Fund and the European Maritime, Fisheries and Aquaculture Fund and financial rules for those and for the Asylum, Migration and Integration Fund, the Internal Security Fund and the Border Management and Visa Instrument (the ‘Common Provisions Regulation for 2021-2027’);
‘financial contribution’ means non-repayable financial support under the Facility that is available for allocation or that has been allocated to a Member State;
‘European Semester’ means the process set out in Article 2-a of Council Regulation (EC) No 1466/97 ( 1 );
‘milestones and targets’ means measures of progress towards the achievement of a reform or an investment, with milestones being qualitative achievements and targets being quantitative achievements;
‘resilience’ means the ability to face economic, social and environmental shocks or persistent structural changes in a fair, sustainable and inclusive way; and
‘do no significant harm’ means not supporting or carrying out economic activities that do significant harm to any environmental objective, where relevant, within the meaning of Article 17 of Regulation (EU) 2020/852.
Article 3
Scope
The scope of application of the Facility shall refer to policy areas of European relevance structured in six pillars:
green transition;
digital transformation;
smart, sustainable and inclusive growth, including economic cohesion, jobs, productivity, competitiveness, research, development and innovation, and a well-functioning internal market with strong SMEs;
social and territorial cohesion;
health, and economic, social and institutional resilience, with the aim of, inter alia, increasing crisis preparedness and crisis response capacity; and
policies for the next generation, children and the youth, such as education and skills.
Article 4
General and specific objectives
Article 5
Horizontal principles
Article 6
Resources from the European Union Recovery Instrument
Measures referred to in Article 1 of Regulation (EU) 2020/2094 shall be implemented under the Facility:
through an amount of up to EUR 312 500 000 000 as referred to in point (ii) of Article 2(2)(a) of Regulation (EU) 2020/2094 in 2018 prices, available for non-repayable financial support, subject to Article 3(4) and (7) of Regulation (EU) 2020/2094.
As provided for in Article 3(1) of Regulation (EU) 2020/2094, those amounts shall constitute external assigned revenue for the purpose of Article 21(5) of the Financial Regulation;
through an amount of up to EUR 360 000 000 000 as referred to in point (b) of Article 2(2) of Regulation (EU) 2020/2094 in 2018 prices, available for loan support to Member States pursuant to Articles 14 and 15 of this Regulation, subject to Article 3(5) of Regulation(EU) 2020/2094.
Article 7
Resources from shared management programmes and use of resources
Article 8
Implementation
The Facility shall be implemented by the Commission in direct management in accordance with the relevant rules adopted pursuant to Article 322 TFEU, in particular the Financial Regulation and the Regulation (EU, Euratom) 2020/2092 of the European Parliament and of the Council ( 2 ).
Article 9
Additionality and complementary funding
Support under the Facility shall be additional to the support provided under other Union programmes and instruments. Reforms and investment projects may receive support from other Union programmes and instruments provided that such support does not cover the same cost.
Article 10
Measures linking the Facility to sound economic governance
The Commission may make a proposal to the Council to suspend all or part of the commitments or payments in relation to any of the following cases:
where the Council adopts two successive recommendations in the same excessive imbalance procedure in accordance with Article 8(3) of Regulation (EU) No 1176/2011 on the grounds that a Member State has submitted an insufficient corrective action plan;
where the Council adopts two successive decisions in the same excessive imbalance procedure in accordance with Article 10(4) of Regulation (EU) No 1176/2011 establishing non-compliance by a Member State on the grounds that it has not taken the recommended corrective action;
where the Commission concludes that a Member State has not taken measures as referred to in Regulation (EC) No 332/2002 and as a consequence decides not to authorise the disbursement of the financial assistance granted to that Member State;
where the Council decides that a Member State does not comply with the macroeconomic adjustment programme referred to in Article 7 of Regulation (EU) No 472/2013, or with the measures requested by a Council decision adopted in accordance with Article 136(1) TFEU.
Priority shall be given to the suspension of commitments; payments shall be suspended only when immediate action is sought and in the case of significant non-compliance.
The decision to suspend payments shall apply to requests for payments submitted after the date of the decision to suspend.
The suspension of commitments shall apply to the commitments from 1 January of the year following the adoption of the decision to suspend.
The Council shall adopt a decision, by means of an implementing act, on a proposal by the Commission referred to in paragraphs 1 and 2 in relation to the suspension of payments.
The suspension of commitments shall be subject to a maximum of 25 % of the commitments or 0,25 % of nominal GDP, whichever is lower, in any of the following cases:
in the first case of non-compliance with an excessive deficit procedure as referred to in paragraph 1;
in the first case of non-compliance relating to a corrective action plan under an excessive imbalance procedure as referred to in point (a) of paragraph 2;
in the case of non-compliance with the recommended corrective action pursuant to an excessive imbalance procedure as referred to in point (b) of paragraph 2;
in the first case of non-compliance as referred to in points (c) and (d) of paragraph 2.
In the case of persistent non-compliance, the suspension of commitments may exceed the maximum percentages set out in the first subparagraph.
The Council shall lift the suspension of commitments on a proposal from the Commission, in accordance with the procedure set out in the first subparagraph of paragraph 3 of this Article, in the following cases:
where the excessive deficit procedure is held in abeyance in accordance with Article 9 of Regulation (EC) No 1467/97 or the Council has decided in accordance with Article 126(12) TFEU to abrogate the decision on the existence of an excessive deficit;
where the Council has endorsed the corrective action plan submitted by the Member State concerned in accordance with Article 8(2) of Regulation (EU) No 1176/2011 or the excessive imbalance procedure is placed in a position of abeyance in accordance with Article 10(5) of that Regulation or the Council has closed the excessive imbalance procedure in accordance with Article 11 of that Regulation;
where the Commission has concluded that a Member State has taken appropriate measures as referred to in Regulation (EC) No 332/2002;
where the Commission has concluded that the Member State concerned has taken appropriate measures to implement the macroeconomic adjustment programme referred to in Article 7 of Regulation (EU) No 472/2013 or the measures requested by a Council decision adopted in accordance with Article 136(1) TFEU.
After the Council has lifted the suspension of commitments, the Commission may again enter into the commitments previously suspended without prejudice to Article 3(4), (7) and (9) of Regulation (EU) 2020/2094.
A decision concerning the lifting of the suspension of payments shall be taken by the Council on a proposal by the Commission in accordance with the procedure set out in the third subparagraph of paragraph 3, where the applicable conditions set out in the first subparagraph of this paragraph are fulfilled.
The competent committee of the European Parliament may invite the Commission to discuss the application of this Article in the context of a structured dialogue in order to allow the European Parliament to express its views. The Commission shall give due consideration to the views expressed by the European Parliament.
The Commission shall transmit the proposal for suspension or the proposal to lift such a suspension, to the European Parliament and to the Council without delay after its adoption. The European Parliament may invite the Commission to explain the reasons for its proposal.
CHAPTER II
FINANCIAL CONTRIBUTION, ALLOCATION PROCESS, LOANS AND REVIEW
Article 11
Maximum financial contribution
The maximum financial contribution shall be calculated for each Member State as follows:
for 70 % of the amount referred to in point (a) of Article 6(1), converted into current prices, on the basis of the population, the inverse of the GDP per capita and the relative unemployment rate of each Member State as set out in the methodology in Annex II;
for 30 % of the amount referred to in point (a) of Article 6(1), converted into current prices, on the basis of the population, the inverse of the GDP per capita and, in equal proportion, the change in real GDP in 2020 and the aggregated change in real GDP for the period 2020-2021 as set out in the methodology in Annex III. The change in real GDP for 2020 and the aggregated change in real GDP for the period 2020-2021 shall be based on the Commission Autumn 2020 forecasts.
Article 12
Allocation of financial contribution
Article 13
Pre-financing
Article 14
Loans
The request for loan support by a Member State shall set out:
the reasons for the loan support, justified by the higher financial needs linked to additional reforms and investments;
the additional reforms and investments in line with Article 18;
the higher cost of the recovery and resilience plan concerned compared to the amount of the financial contributions allocated to the recovery and resilience plan respectively pursuant to point (a) or (b) of Article 20(4);
where applicable, the reforms and investments in line with Article 21c.
Article 15
Loan agreement
Before entering into a loan agreement with the Member State concerned, the Commission shall assess whether:
the justification for requesting the loan support and its amount is considered reasonable and plausible in relation to the additional reforms and investments; and
the additional reforms and investments comply with the criteria set out in Article 19(3).
Where the Commission considers that the request for loan support fulfils the criteria of paragraph 1, and upon adoption of the Council implementing decision referred to in Article 20(1), the Commission shall enter into a loan agreement with the Member State concerned. The loan agreement, in addition to the elements laid down in Article 220(5) of the Financial Regulation, shall contain the following elements:
the amount of the loan in euro including, where applicable, the amount of the pre-financed loan in accordance with Article 13;
the average maturity; Article 220(2) of the Financial Regulation shall not apply with regard to this maturity;
the pricing formula and the availability period of the loan;
the maximum number of instalments and the repayment schedule;
the other elements needed for the implementation of the loan in relation to the reforms and the investment projects concerned in line with the decision referred to in Article 20(3).
Article 16
Review report
The review report shall set out the following elements:
an assessment of the extent to which the implementation of the recovery and resilience plans is in line with the scope and contributes to the general objective of this Regulation in line with the six pillars referred to in Article 3, including how the recovery and resilience plans tackle the inequalities between women and men;
a quantitative assessment of the contribution of the recovery and resilience plans to:
the climate target of at least 37 %,
the digital target of at least 20 %,
each of the six pillars referred to in Article 3;
the state of the implementation of the recovery and resilience plans and observations and guidance to the Member States before the update of their recovery and resilience plans referred to in Article 18(2).
CHAPTER III
RECOVERY AND RESILIENCE PLANS
Article 17
Eligibility
However, the new reforms and investments referred to in Article 21c(1) shall only be eligible where they start from 1 February 2022 onwards.
Article 18
Recovery and resilience plan
The recovery and resilience plan shall be duly reasoned and substantiated. It shall in particular set out the following elements:
an explanation of how the recovery and resilience plan, taking into account the measures included therein, represents a comprehensive and adequately balanced response to the economic and social situation of the Member State, thereby contributing appropriately to all pillars referred to in Article 3, taking into account the specific challenges of the Member State concerned;
an explanation of how the recovery and resilience plan contributes to effectively address all or a significant subset of challenges identified in the relevant country-specific recommendations, including fiscal aspects thereof and recommendations made pursuant to Article 6 of Regulation (EU) No 1176/2011 where appropriate, addressed to the Member State concerned, or challenges identified in other relevant documents officially adopted by the Commission in the context of the European Semester;
a detailed explanation of how the recovery and resilience plan strengthens the growth potential, job creation and economic, social and institutional resilience of the Member State concerned, including through the promotion of policies for children and the youth, and mitigates the economic and social impact of the COVID-19 crisis, contributing to the implementation of the European Pillar of Social Rights, and thereby enhancing the economic, social and territorial cohesion and convergence within the Union;
an explanation of how the REPowerEU chapter contributes to addressing energy poverty, including, where relevant, giving adequate priority to the needs of those affected by energy poverty, as well as to the reduction of vulnerabilities during the coming winter seasons;
an explanation of how the recovery and resilience plan ensures that no measure for the implementation of reforms and investments included in the recovery and resilience plan does significant harm to environmental objectives within the meaning of Article 17 of Regulation (EU) 2020/852 (the principle of ‘do no significant harm’);
a qualitative explanation of how the measures in the recovery and resilience plan are expected to contribute to the green transition, including biodiversity, or to addressing the challenges resulting therefrom, whether they account for an amount that represents at least 37 % of the recovery and resilience plan’s total allocation and whether measures of that type in the REPowerEU chapter account for an amount that represents at least 37 % of the total estimated costs of measures included in that chapter, based on the methodology for climate tracking set out in Annex VI; that methodology shall be used accordingly for measures that cannot be directly assigned to an intervention field listed in Annex VI; the coefficients for support for the climate objectives may be increased up to a total amount of 3 % of the allocation of the recovery and resilience plan for individual investments to take account of accompanying reform measures that credibly increase their impact on the climate objectives as explained in the recovery and resilience plan;
an explanation of how the measures in the recovery and resilience plan are expected to contribute to the digital transition or to the challenges resulting therefrom, and whether they account for an amount which represents at least 20 % of the recovery and resilience plan’s total allocation, based on the methodology for digital tagging set out in Annex VII; that methodology shall be used accordingly for measures that cannot be directly assigned to an intervention field listed in Annex VII; the coefficients for support for the digital objectives may be increased for individual investments to take account of accompanying reform measures that increase their impact on the digital objectives;
where appropriate, for investments in digital capacities and connectivity, a security self-assessment based on common objective criteria identifying any security issues, and detailing how those issues will be addressed in order to comply with relevant Union and national law;
an indication of whether the measures included in the recovery and resilience plan comprise cross-border or multi-country projects, an explanation as to how the relevant measures in the REPowerEU chapter, including the measures addressing challenges identified in the Commission’s most recent needs assessment, have a cross-border or multi-country dimension or effect, and an indication of whether the total costs of those measures account for an amount that represents at least 30 % of the estimated costs of the REPowerEU chapter;
envisaged milestones, targets and an indicative timetable for the implementation of the reforms, and investments to be completed by 31 August 2026;
the envisaged investment projects and the related investment period;
the estimated total costs of the reforms and investments covered by the recovery and resilience plan submitted (also referred to as ‘estimated total costs of the recovery and resilience plan’) backed up by appropriate justification and by explanations of how it is in line with the principle of cost efficiency and commensurate to the expected national economic and social impact;
where relevant, information on existing or planned Union financing;
the accompanying measures that may be needed;
a justification of the coherence of the recovery and resilience plan; and an explanation of its consistency with the principles, plans and programmes referred to in Article 17;
an explanation of how the measures in the recovery and resilience plan are expected to contribute to gender equality and equal opportunities for all and the mainstreaming of those objectives, in line with principles 2 and 3 of the European Pillar of Social Rights, with the UN Sustainable Development Goal 5 and, where relevant, with the national gender equality strategy;
the arrangements for the effective monitoring and implementation of the recovery and resilience plan by the Member State concerned, including the proposed milestones and targets, and the related indicators;
for the preparation and, where available, for the implementation of the recovery and resilience plan, a summary of the consultation process, conducted in accordance with the national legal framework, of local and regional authorities, social partners, civil society organisations, youth organisations and other relevant stakeholders, and how the input of the stakeholders is reflected in the recovery and resilience plan, with that summary to be complemented, where a REPowerEU chapter has been included, by setting out the stakeholders consulted, by a description of the outcome of the consultation process as regards that chapter, and by an outline as to how the input received was reflected therein;
an explanation of the Member State’s system to prevent, detect and correct corruption, fraud and conflicts of interests, when using the funds provided under the Facility, and the arrangements that aim to avoid double funding from the Facility and other Union programmes;
where appropriate, the request for loan support and the additional milestones as referred to in Article 14(2) and (3) and the elements thereof; and
any other relevant information.
Article 19
Commission assessment
The Commission shall assess the relevance, effectiveness, efficiency and coherence of the recovery and resilience plan and, for that purpose, shall take into account the following criteria which it shall apply in accordance with Annex V:
Relevance:
whether the recovery and resilience plan represents a comprehensive and adequately balanced response to the economic and social situation, thereby contributing appropriately to all six pillars referred to in Article 3, taking the specific challenges and the financial allocation of the Member State concerned into account;
whether the recovery and resilience plan is expected to contribute to effectively addressing all or a significant subset of challenges identified in the relevant country-specific recommendations, including fiscal aspects thereof and recommendations made pursuant to Article 6 of Regulation (EU) No 1176/2011 where appropriate, addressed to the Member State concerned or challenges identified in other relevant documents officially adopted by the Commission in the context of the European Semester;
whether the recovery and resilience plan is expected to effectively contribute to strengthening the growth potential, job creation, and economic, social and institutional resilience of the Member State, contributing to the implementation of the European Pillar of Social Rights, including through the promotion of policies for children and the youth, and to mitigating the economic and social impact of the COVID-19 crisis, thereby enhancing the economic, social and territorial cohesion and convergence within the Union;
whether the recovery and resilience plan is expected to ensure that no measure for the implementation of reforms and investment projects included in the recovery and resilience plan does significant harm to environmental objectives within the meaning of Article 17 of Regulation (EU) 2020/852 (the principle of ‘do no significant harm’); the Commission shall provide technical guidance to the Member States to that effect;
whether the REPowerEU chapter contains reforms and investments referred to in Article 21c that contribute effectively to energy security, the diversification of the Union’s energy supply, an increase in the uptake of renewables and energy efficiency, an increase of energy storage capacities or the necessary reduction of dependence on fossil fuels before 2030;
whether the REPowerEU chapter contains reforms and investments referred to in Article 21c which are expected to have a cross-border or multi-country dimension or effect;
whether the recovery and resilience plan contains measures that effectively contribute to the green transition, including biodiversity, or to addressing the challenges resulting therefrom, whether they account for an amount which represents at least 37 % of the recovery and resilience plan’s total allocation and whether such measures in the REPowerEU chapter account for an amount which represents at least 37 % of the total estimated costs of the measures included in that chapter, based on the methodology for climate tracking set out in Annex VI; that methodology shall be used accordingly for measures that cannot be directly assigned to an intervention field listed in Annex VI; the coefficients for support for the climate objectives may be increased up to a total amount of 3 % of the allocation of the recovery and resilience plan for individual investments to take account of accompanying reform measures that credibly increase their impact on the climate objectives, subject to the agreement of the Commission;
whether the recovery and resilience plan contains measures that effectively contribute to the digital transition or to addressing the challenges resulting therefrom, and whether they account for an amount which represents at least 20 % of the recovery and resilience plan’s total allocation, based on the methodology for digital tagging set out in Annex VII; that methodology shall be used accordingly for measures that cannot be directly assigned to an intervention field listed in Annex VII; the coefficients for support for the digital objectives may be increased for individual investments to take account of accompanying reform measures that increase their impact on the digital objectives;
Effectiveness:
whether the recovery and resilience plan is expected to have a lasting impact on the Member State concerned;
whether the arrangements proposed by the Member States concerned are expected to ensure an effective monitoring and implementation of the recovery and resilience plan, including the envisaged timetable, milestones and targets, and the related indicators;
Efficiency:
whether the justification provided by the Member State on the amount of the estimated total costs of the recovery and resilience plan is reasonable and plausible and is in line with the principle of cost efficiency and is commensurate to the expected national economic and social impact;
whether the arrangements proposed by the Member State concerned are expected to prevent, detect and correct corruption, fraud and conflicts of interests when using the funds provided under the Facility, including the arrangements that aim to avoid double funding from the Facility and other Union programmes;
Coherence:
whether the recovery and resilience plan contains measures for the implementation of reforms and public investment projects that represent coherent actions.
Article 20
Commission proposal and Council implementing decision
The financial contribution referred to in paragraph 2 shall be determined on the basis of the estimated total costs of the recovery and resilience plan proposed by the Member State concerned, as assessed under the criteria set out in Article 19(3). The amount of financial contribution shall be set as follows:
where the recovery and resilience plan complies satisfactorily with the criteria set out in Article 19(3), and the amount of the estimated total costs of the recovery and resilience plan is equal to, or higher than, the maximum financial contribution calculated for that Member State in accordance with Article 11, the financial contribution allocated to the Member State concerned shall be equal to the total amount of the maximum financial contribution calculated for that Member State in accordance with Article 11;
where the recovery and resilience plan complies satisfactorily with the criteria set out in Article 19(3), and the amount of the estimated total costs of the recovery and resilience plan is lower than the maximum financial contribution calculated for that Member State in accordance with Article 11, the financial contribution allocated to the Member State shall be equal to the amount of the estimated total costs of the recovery and resilience plan;
where the recovery and resilience plan does not comply satisfactorily with the criteria set out in Article 19(3), no financial contribution shall be allocated to the Member State concerned.
The Commission proposal referred to in paragraph 2 shall also lay down:
the financial contribution to be paid in instalments once the Member State has satisfactorily fulfilled the relevant milestones and targets identified in relation to the implementation of the recovery and resilience plan;
the financial contribution and, where applicable, the amount of the loan support to be paid in the form of a pre-financing in accordance with Article 13 after the approval of the recovery and resilience plan;
the description of the reforms and of the investment projects and the amount of the estimated total costs of the recovery and resilience plan;
a summary of the measures proposed in the REPowerEU chapter which have a cross-border or multi-country dimension or effect, including those measures addressing challenges identified in the Commission’s most recent needs assessment; where the estimated costs of those measures account for an amount that represents less than 30 % of the estimated costs of all measures included in the REPowerEU chapter, an explanation of the reasons therefor, in particular a demonstration that other measures included in the REPowerEU chapter better address the objectives set out in Article 21c(3) or that there are not enough realistic projects available which have cross-border or multi-country dimension or effect, in particular considering the lifetime of the Facility;
the time limit, which should be no later than 31 August 2026, by which the final milestones and targets for both investment projects and reforms must be completed;
the arrangements and timetable for monitoring and implementation of the recovery and resilience plan including, where relevant, measures necessary for complying with Article 22;
the relevant indicators relating to the fulfilment of the envisaged milestones and targets;
the arrangements for providing full access by the Commission to the underlying relevant data; and
where appropriate, the amount of the loan to be paid in instalments and the additional milestones and targets related to the payment of the loan.
Article 21
Amendment of the Member State’s recovery and resilience plan
CHAPTER IIIa
REPower EU
Article 21a
Revenue from the emission trading system under Directive 2003/87/EC
Article 21b
Resources from shared management programmes to support the REPowerEU objectives
Article 21c
REPowerEU chapters in recovery and resilience plans
Reforms and investments in the REPowerEU chapter shall aim to contribute to at least one of the following objectives:
improving energy infrastructure and facilities to meet immediate security of supply needs for gas, including liquified natural gas, notably to enable diversification of supply in the interest of the Union as a whole; measures concerning the oil infrastructure and facilities necessary to meet immediate security of supply needs may be included in the REPowerEU chapter of a Member State only where that Member State has been subject to the exceptional temporary derogation in Article 3m(4) of Regulation (EU) No 833/2014 by 1 March 2023, due to its specific dependence on crude oil and its geographical situation;
boosting energy efficiency in buildings and critical energy infrastructure, decarbonising industry, increasing the production and uptake of sustainable biomethane and of renewable or fossil-free hydrogen, and increasing the share and accelerating the deployment of renewable energy;
addressing energy poverty;
incentivising reduction of energy demand;
addressing internal and cross-border energy transmission and distribution bottlenecks, supporting electricity storage and accelerating the integration of renewable energy sources, and supporting zero-emission transport and its infrastructure, including railways;
supporting the objectives set out in points (a) to (e) through an accelerated requalification of the workforce towards green and related digital skills, as well as through support of the value chains in critical raw materials and technologies linked to the green transition.
By derogation from Article 5(2), Article 17(4), Article 18(4), point (d), and Article 19(3), point (d), the principle of “do no significant harm” shall not apply to the reforms and investments under paragraph 3, point (a), of this Article, subject to a positive assessment by the Commission that the following requirements are met:
the measure is necessary and proportionate to meet immediate security of supply needs in accordance with paragraph 3, point (a), of this Article taking into account cleaner feasible alternatives and the risk of lock-in effects;
the Member State concerned has undertaken satisfactory efforts to limit the potential harm to environmental objectives within the meaning of Article 17 of Regulation (EU) 2020/852, where feasible, and to mitigate harm through other measures, including the measures in the REPowerEU chapter;
the measure does not jeopardise the achievement of the Union’s 2030 climate targets and the objective of EU climate neutrality by 2050, based on qualitative considerations;
the measure is planned to be in operation by 31 December 2026.
Article 21d
REPowerEU pre-financing
By derogation from Article 116(1) of the Financial Regulation, the Commission shall make the pre-financing payments, to the extent possible and subject to available resources, as follows:
as regards the first pre-financing payment, within two months of the conclusion, by the Commission and the Member State concerned, of the agreement constituting a legal commitment as referred to in Article 23;
as regards the second pre-financing payment, within 12 months of the entry into force of the Council implementing decision approving the assessment of the recovery and resilience plan including a REPowerEU chapter.
CHAPTER IV
FINANCIAL PROVISIONS
Article 22
Protection of the financial interests of the Union
The agreements referred to in Articles 15(2) and 23(1) shall provide for the obligations of the Member States:
to regularly check that the financing provided has been properly used in accordance with all applicable rules and that any measure for the implementation of reforms and investment projects under the recovery and resilience plan has been properly implemented in accordance with all applicable rules in particular regarding the prevention, detection and correction of fraud, corruption and conflicts of interests;
to take appropriate measures to prevent, detect and correct fraud, corruption, and conflicts of interests as defined in Article 61(2) and (3) of the Financial Regulation affecting the financial interests of the Union and to take legal actions to recover funds that have been misappropriated, including in relation to any measure for the implementation of reforms and investment projects under the recovery and resilience plan;
to accompany a request for payment by:
a management declaration that the funds were used for its intended purpose, that the information submitted with the request for payment is complete, accurate and reliable and that the control systems put in place give the necessary assurances that the funds were managed in accordance with all applicable rules, in particular rules on avoidance of conflicts of interests, fraud prevention, corruption and double funding from the Facility and other Union programmes in accordance with the principle of sound financial management; and
a summary of the audits carried out, including weaknesses identified and any corrective actions taken;
for the purpose of audit and control and to provide for comparable information on the use of funds in relation to measures for the implementation of reforms and investment projects under the recovery and resilience plan, to collect and ensure access to the following standardised categories of data:
name of the final recipient of funds;
name of the contractor and sub-contractor, where the final recipient of funds is a contracting authority in accordance with Union or national law on public procurement;
first name(s), last name(s) and date of birth of beneficial owner(s) of the recipient of funds or contractor, as defined in point 6 of Article 3 of Directive (EU) 2015/849 of the European Parliament and of the Council ( 6 );
a list of any measures for the implementation of reforms and investment projects under the recovery and resilience plan with the total amount of public funding of those measures and indicating the amount of funds paid under the Facility and under other Union funds;
to expressly authorise the Commission, OLAF, the Court of Auditors and, where applicable, EPPO to exert their rights as provided for in Article 129(1) of the Financial Regulation and to impose obligations on all final recipients of funds paid for the measures for the implementation of reforms and investment projects included in the recovery and resilience plan, or to all other persons or entities involved in their implementation to expressly authorise the Commission, OLAF, the Court of Auditors and, where applicable, EPPO to exert their rights as provided for in Article 129(1) of the Financial Regulation and to impose similar obligations on all final recipients of funds disbursed;
to keep records in accordance with Article 132 of the Financial Regulation.
When deciding on the amount of the recovery and reduction, or the amount to be repaid early, the Commission shall respect the principle of proportionality and shall take into account the seriousness of the fraud, corruption and conflict of interests affecting the financial interests of the Union, or of a breach of an obligation. The Member State shall be given the opportunity to present its observations before the reduction is made or early repayment is requested.
Article 23
Commitment of the financial contribution
Article 24
Rules on payments, suspension and termination of agreements regarding financial contributions and loans
The suspension shall only be lifted where the Member State concerned has taken the necessary measures to ensure a satisfactory fulfilment of the milestones and targets set out in the Council implementing decision referred to in Article 20(1).
CHAPTER V
INSTITUTIONAL PROVISIONS
Article 25
Transparency
Article 25a
Transparency with regard to final recipients
For the final recipients referred to in paragraph 1, the following information shall be published:
in the case of a legal person, the recipient’s full legal name and VAT identification number or tax identification number, where available, or another unique identifier established at the national level,
in the case of a natural person, the first and last name of the recipient;
the amount received by each recipient, as well as the associated measures for which a Member State has received funding under the Facility.
Article 26
Recovery and resilience dialogue
In order to enhance the dialogue between the Union institutions, in particular the European Parliament, the Council and the Commission, and to ensure greater transparency and accountability, the competent committee of the European Parliament may invite the Commission every two months to discuss the following matters:
the state of recovery, resilience and adjustment capacity in the Union, as well as the measures adopted under this Regulation;
the recovery and resilience plans of the Member States;
the assessment of the recovery and resilience plans of the Member States;
the main findings of the review report referred to in Article 16(2);
the status of fulfilment of the milestones and targets of the recovery and resilience plans of the Member States;
payment, suspension and termination procedures, including any observation presented and remedial measures taken by the Member States to ensure a satisfactory fulfilment of the milestones and targets;
any other relevant information and documentation provided by the Commission to the competent committee of the European Parliament in relation to the implementation of the Facility;
the progress of the implementation of the reforms and investments in the REPowerEU chapters.
CHAPTER VI
REPORTING
Article 27
Reporting by the Member State in the context of the European Semester
The Member State concerned shall report twice a year in the context of the European Semester on the progress made in the achievement of its recovery and resilience plan, including the operational arrangements referred to in Article 20(6) and on the common indicators as referred to in Article 29(4). To that end, the reports of the Member States shall be appropriately reflected in the National Reform Programmes, which shall be used as a tool for reporting on the progress towards completion of the recovery and resilience plans.
CHAPTER VII
COMPLEMENTARITY, MONITORING AND EVALUATION
Article 28
Coordination and complementarity
The Commission and the Member States concerned shall, in a manner commensurate to their respective responsibilities, foster synergies and ensure effective coordination between the Facility and other Union programmes and instruments, including the Technical Support Instrument, and in particular with measures financed by the Union funds. For that purpose, they shall:
ensure complementarity, synergy, coherence and consistency among different instruments at Union, national and, where appropriate, regional levels, in particular in relation to measures financed by Union funds, both in the planning phase and during implementation;
optimise mechanisms for coordination to avoid duplication of effort; and
ensure close cooperation between those responsible for implementation and control at Union, national and, where appropriate, regional levels to achieve the objectives of the Facility.
Article 29
Monitoring of implementation
The Commission shall be empowered to adopt, by the end of December 2021, delegated acts in accordance with Article 33 to supplement this Regulation in order to:
set out the common indicators to be used for reporting on the progress and for the purpose of monitoring and evaluation of the Facility towards the achievement of the general and specific objectives; and
define a methodology for reporting social expenditure, including on children and the youth, under the Facility.
Article 30
Recovery and resilience scoreboard
Article 31
Annual report
The annual report shall also include the following information:
the contribution of the Facility to the climate and digital targets;
the performance of the Facility based on the common indicators referred to in Article 29(4);
the expenditure financed by the Facility under the six pillars referred to in Article 3, incorporating social expenditure, including on children and the youth, as referred to in Article 29(4);
an overview of measures having a cross-border or multi-country dimension or effect included in all REPowerEU chapters, their total estimated costs and an indication of whether the total costs of those measures account for an amount that represents at least 30 % of the total estimated costs of measures included in all REPowerEU chapters;
the number of measures falling under Article 21c(3), point (a), included in all REPowerEU chapters, and their total estimated costs;
the progress of the implementation of the reforms and investments in the REPowerEU chapter, through a dedicated section which includes lessons learned after analysing the data available on final recipients and examples of best practices.
Article 32
Evaluation and ex post evaluation of the Facility
Article 33
Exercise of delegation
CHAPTER VIII
COMMUNICATION AND FINAL PROVISIONS
Article 34
Information, communication and publicity
Article 35
Committee procedure
Article 36
Entry into force
This Regulation shall enter into force on the day following that of its publication in the Official Journal of the European Union.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
ANNEX I
Methodology for the calculation of the maximum financial contribution per Member State under the Facility
This Annex sets out the methodology for calculating the maximum financial contribution available for each Member State in accordance with Article 11. The method takes into account, with regard to each Member State:
To avoid excessive concentration of resources:
The maximum financial contribution of a Member State under the Facility (MFCi) is defined as follows:
MFCi = ν i × (FS)
where:
FS (Financial Support) is the available financing under the Facility as referred to in Article 6(1)(a); and
νi is the allocation key of Member State i, defined as:
νi = 0,7 κi + 0,3 αi
where:
κi is the allocation key applied to 70 % of the amount referred to in point (a) of Article 6(1) and set out in Annex II; and
αi is the allocation key applied to 30 % of the amount referred to in point (a) of Article 6(1) and set out in Annex III.
ANNEX II
The allocation key applied to 70 % of the amount referred to in point (a) of Article 6(1), κi is defined as follows:
,
whereand,
with,
υi ≤ 0,75 for Member States withand
υi ≤ 1,5 for Member States with.
Defining ( 7 ):
ANNEX III
The allocation key applied to 30 % of the amount referred to in Article 6(1)(a), αi, is defined as follows:
where
and
where
,and
with
Defining:
The fall in real GDP for 2020 (δGDPi,2020–2019) and the cumulative fall in real GDP for the period 2020-2021 (δGDPi,2020–2019) shall be based on the Commission Autumn 2020 forecasts and updated by 30 June 2022 for each Member State replacing the data from the Commission Autumn 2020 forecasts with the actual outturns as reported in the latest available update of the Eurostat code series ‘tec00115 (Real GDP growth rate - volume)’.
ANNEX IV
The application of the methodologies in Annexes I, II and III to the amount referred to in Article 6(1)(a), converted into current prices, will result in the following share and amount of the maximum financial contribution per Member State, without prejudice to the updated calculation by 30 June 2022:
Maximum financial contribution per EU Member State |
|||||
|
for 70 % of the amount available |
for 30 % of the amount available (Indicative amount based on the Commission Autumn 2020 forecasts) |
|
||
|
Share as % of total |
Amount (in EUR 1 000 , current prices) |
Share as % of total |
Amount (in EUR 1 000 , current prices) |
Total |
BE |
1,56 % |
3 646 437 |
2,20 % |
2 278 834 |
5 925 271 |
BG |
1,98 % |
4 637 074 |
1,58 % |
1 631 632 |
6 268 706 |
CZ |
1,51 % |
3 538 166 |
3,41 % |
3 533 509 |
7 071 676 |
DK |
0,56 % |
1 303 142 |
0,24 % |
248 604 |
1 551 746 |
DE |
6,95 % |
16 294 947 |
9,01 % |
9 324 228 |
25 619 175 |
EE |
0,32 % |
759 715 |
0,20 % |
209 800 |
969 515 |
IE |
0,39 % |
914 572 |
0,07 % |
74 615 |
989 186 |
EL |
5,77 % |
13 518 285 |
4,11 % |
4 255 610 |
17 773 895 |
ES |
19,88 % |
46 603 232 |
22,15 % |
22 924 818 |
69 528 050 |
FR |
10,38 % |
24 328 797 |
14,54 % |
15 048 278 |
39 377 074 |
HR |
1,98 % |
4 632 793 |
1,61 % |
1 664 039 |
6 296 831 |
IT |
20,45 % |
47 935 755 |
20,25 % |
20 960 078 |
68 895 833 |
CY |
0,35 % |
818 396 |
0,18 % |
187 774 |
1 006 170 |
LV |
0,70 % |
1 641 145 |
0,31 % |
321 944 |
1 963 088 |
LT |
0,89 % |
2 092 239 |
0,13 % |
132 450 |
2 224 690 |
LU |
0,03 % |
76 643 |
0,02 % |
16 883 |
93 526 |
HU |
1,98 % |
4 640 462 |
2,45 % |
2 535 376 |
7 175 838 |
MT |
0,07 % |
171 103 |
0,14 % |
145 371 |
316 474 |
NL |
1,68 % |
3 930 283 |
1,96 % |
2 032 041 |
5 962 324 |
AT |
0,95 % |
2 231 230 |
1,19 % |
1 230 938 |
3 462 169 |
PL |
8,65 % |
20 275 293 |
3,46 % |
3 581 694 |
23 856 987 |
PT |
4,16 % |
9 760 675 |
4,01 % |
4 149 713 |
13 910 387 |
RO |
4,36 % |
10 213 809 |
3,90 % |
4 034 211 |
14 248 020 |
SI |
0,55 % |
1 280 399 |
0,48 % |
496 924 |
1 777 322 |
SK |
1,98 % |
4 643 840 |
1,63 % |
1 686 154 |
6 329 994 |
FI |
0,71 % |
1 661 113 |
0,41 % |
424 692 |
2 085 805 |
SE |
1,24 % |
2 911 455 |
0,36 % |
377 792 |
3 289 248 |
EU27 |
100,00 % |
234 461 000 |
100,00 % |
103 508 000 |
337 969 000 |
ANNEX IVa
This Annex sets out the methodology for calculating the allocation share of the resources in the form of additional non-repayable financial support under the Facility referred to in Article 21a(1) available for each Member State. The method takes into account, with regard to each Member State:
To avoid excessive concentration of resources:
The allocation key applied to the amount referred to in Article 21a(1), ρi is defined as follows:
where Member States i to z are the Member States benefitting from a minimum allocation share and Member States i to q are the Member States benefitting from a maximum allocation share.
wherewhere
and
and
,where
for Member States i with
and
for Member States i with
Defining ( 8 ):
as the 2021 weighted average of the nominal GDP per capita of the EU-27 Member States;
as the 2021 nominal GDP per capita of Member State i;
as the ratio of 2022 Q2 gross fixed capital formation price index (implicit deflator, 2015=100, national currency, seasonally and calendar adjusted data) of Member State i and 2021 Q2 Gross fixed capital formation price index (implicit deflator, 2015=100, national currency, seasonally and calendar adjusted data) of Member State i;
as the ratio of 2022 Q2 gross fixed capital formation price index (implicit deflator, 2015=100, national currency, seasonally and calendar adjusted data) of the EU-27 aggregate and 2021 Q2 gross fixed capital formation price index (implicit deflator, 2015=100, national currency, seasonally and calendar adjusted data) of the EU-27 aggregate.
The application of the methodology to the amount referred to in Article 21a(1) will result in the following share and amount per Member State:
Member State |
Share as % of total |
Amount (in EUR 1 000 , current prices) |
Belgium |
1,41 % |
282 139 |
Bulgaria |
2,40 % |
480 047 |
Czechia |
3,41 % |
681 565 |
Denmark |
0,65 % |
130 911 |
Germany |
10,45 % |
2 089 555 |
Estonia |
0,42 % |
83 423 |
Ireland |
0,45 % |
89 598 |
Greece |
3,85 % |
769 222 |
Spain |
12,93 % |
2 586 147 |
France |
11,60 % |
2 320 955 |
Croatia |
1,35 % |
269 441 |
Italy |
13,80 % |
2 760 000 |
Cyprus |
0,26 % |
52 487 |
Latvia |
0,62 % |
123 983 |
Lithuania |
0,97 % |
194 020 |
Luxembourg |
0,15 % |
30 000 |
Hungary |
3,51 % |
701 565 |
Malta |
0,15 % |
30 000 |
Netherlands |
2,28 % |
455 042 |
Austria |
1,05 % |
210 620 |
Poland |
13,80 % |
2 760 000 |
Portugal |
3,52 % |
704 420 |
Romania |
7,00 % |
1 399 326 |
Slovenia |
0,58 % |
116 910 |
Slovakia |
1,83 % |
366 959 |
Finland |
0,56 % |
112 936 |
Sweden |
0,99 % |
198 727 |
EU27 |
100,00 % |
20 000 000 |
ANNEX V
Assessment guidelines for the Facility
1. Scope
The purpose of these guidelines is to serve together with this Regulation as a basis for the Commission to assess - in a transparent and equitable manner - the recovery and resilience plans proposed by Member States and to determine the financial contribution in conformity with the objectives and any other relevant requirements laid down in this Regulation. These guidelines represent the basis for the application of the assessment criteria and the determination of the financial contribution as referred to, respectively, in Articles 19(3) and 20(4).
The assessment guidelines are designed to:
give further guidance on the assessment process of the proposals for recovery and resilience plans submitted by Member States;
provide further details on the assessment criteria and provide for a rating system to be established with a view to ensuring an equitable and transparent process; and
define the link between the assessment to be made by the Commission under the assessment criteria and the determination of the financial contribution to be set out in the Commission proposal for a Council decision in relation to the recovery and resilience plans.
The guidelines are a tool to facilitate assessment by the Commission of the proposals for recovery and resilience plans as submitted by Member States and to ensure that the recovery and resilience plans support reforms and public investment that are relevant and display high added value with regard to the objectives of the Facility, while ensuring equal treatment among the Member States.
2. Assessment criteria
In accordance with Article 19(3), the Commission shall assess the recovery and resilience plans under the criteria of relevance, effectiveness, efficiency and coherence. As a result of the assessment process, the Commission shall give ratings to the recovery and resilience plans submitted by the Member States under each of the assessment criteria referred to in Article 19(3), with a view to establishing the financial allocation in accordance with Article 20(4).
For the sake of simplification and efficiency, the rating system shall range from A to C, as set out in the following:
Relevance:
2.1. |
The recovery and resilience plan represents a comprehensive and adequately balanced response to the economic and social situation, thereby contributing appropriately to all six pillars referred to in Article 3, taking the specific challenges and the financial allocation of the Member State concerned into account. The Commission shall take into account the following elements for the assessment under this criterion: Scope
—
the recovery and resilience plan contributes in a comprehensive and adequately balanced manner to all six pillars referred to in Article 3, considering the specific challenges of the Member State concerned and taking into account the financial contribution of the Member State concerned and the requested loan support.
Rating
A –
to a large extent
B –
to a moderate extent
C –
to a small extent |
2.2. |
The recovery and resilience plan is expected to contribute to effectively addressing all or a significant subset of challenges identified in the relevant country-specific recommendations including fiscal aspects thereof and recommendations made pursuant to Article 6 of Regulation (EU) No 1176/2011 where appropriate, addressed to the Member State concerned or challenges identified in other relevant documents officially adopted by the Commission in the context of the European Semester. The Commission shall take into account the following elements for the assessment under this criterion: Scope
—
the recovery and resilience plan is expected to contribute to effectively addressing all or a significant subset of challenges identified in the relevant country-specific recommendations, including fiscal aspects thereof and recommendations made pursuant to Article 6 of Regulation (EU) No 1176/2011 where appropriate, addressed to the Member State concerned or challenges identified in other relevant documents officially adopted by the Commission in the context of the European Semester, taking into account the financial contribution of the Member State concerned and the requested loan support as well as the scope and scale of country-specific challenges and the information included in the National Reform Programme;
and
—
the recovery and resilience plan represents a comprehensive and adequate response to the economic and social situation of the Member State concerned;
and
—
the challenges addressed by the recovery and resilience plan are considered as significant to boost the growth potential of the economy of the Member State concerned in a sustainable manner;
and
—
following the completion of the proposed reforms and investments, the related challenges would be expected to have been resolved or addressed in a manner that significantly contributes to their resolution.
Rating
A –
the recovery and resilience plan contributes to effectively addressing all or a significant subset of challenges identified in the country-specific recommendations, or challenges in other relevant documents officially adopted by the Commission under the European Semester, and the recovery and resilience plan represents an adequate response to the economic and social situation of the Member State concerned
B –
the recovery and resilience plan contributes to partially addressing all or a significant subset of challenges identified in the country-specific recommendations, or challenges in other relevant documents officially adopted by the Commission under the European Semester and the recovery and resilience plan represents an adequate response to the economic and social situation of the Member State concerned
C –
the recovery and resilience plan does not contribute to addressing any challenges identified in the country-specific recommendations, or in other relevant documents officially adopted by the Commission under the European Semester and the recovery and resilience plan does not represent an adequate response to the economic and social situation of the Member State concerned |
2.3. |
The recovery and resilience plan is expected to effectively contribute to strengthening the growth potential, job creation, and economic, social and institutional resilience of the Member State, contributing to the implementation of the European Pillar of Social Rights, including through the promotion of policies for children and youth, and to mitigating the economic and social impact of the COVID-19 crisis, thereby enhancing the economic, social and territorial cohesion and convergence within the Union. The Commission shall take into account the following elements for the assessment under this criterion: Scope
—
the recovery and resilience plan contains measures that aim to foster economic growth and economic cohesion in an inclusive manner, in particular addressing weaknesses of the economy of the Member States, boosting the growth potential of the economy of the Member State concerned, stimulating job creation, and mitigating the adverse effects of the crisis;
and
—
the recovery and resilience plan contains measures that aim to strengthen social cohesion and social protection systems, including policies for children and youth, by reducing social vulnerabilities, contributing to the implementation of the principles of the European Pillar of Social Rights and contributing to improving the levels of the indicators of its Social Scoreboard;
and
—
the recovery and resilience plan aims to reduce economic vulnerabilities of the Member State to shocks;
and
—
the recovery and resilience plan aims to increase the capacity of the economic and/or social structures and institutions of the Member State to adjust to and withstand shocks;
and
—
the recovery and resilience plan is expected to contribute to enhancing economic, social and territorial cohesion and convergence.
Rating
A –
high expected impact
B –
medium expected impact
C –
low expected impact |
2.4. |
The recovery and resilience plan is expected to ensure that no measure for the implementation of reforms and investments projects included in the recovery and resilience plan does significant harm to environmental objectives within the meaning of Article 17 of Regulation (EU) 2020/852 (the principle of ‘do no significant harm’). The Commission shall take into account the following elements for the assessment under this criterion: Scope
—
no measure for the implementation of reforms and investments projects included in the recovery and resilience plan does significant harm to environmental objectives within the meaning of Article 17 of Regulation (EU) 2020/852 (the principle of ‘do no significant harm’).
Rating
A –
no measure does significant harm to environmental objectives (the principle of ‘do no significant harm’)
C –
one or more measure does significant harm to environmental objectives (the principle of ‘do no significant harm’) |
2.5. |
The recovery and resilience plan contains measures that effectively contribute to the green transition, including biodiversity, or to addressing the challenges resulting therefrom, that account for an amount which represents at least 37 % of the recovery and resilience plan’s total allocation and such measures in the REPowerEU chapter account for an amount which represents at least 37 % of the total estimated costs of the measures in the REPowerEU chapter, based on the methodology for climate tracking set out in Annex VI; that methodology shall be used accordingly for measures that cannot be directly assigned to an intervention field listed in Annex VI; the coefficients for support for the climate objectives may be increased up to a total amount of 3 % of the allocation of the recovery and resilience plan for individual investments to take account of accompanying reform measures that credibly increase their impact on the climate objectives, subject to the agreement of the Commission. The Commission shall take into account the following elements for the assessment under this criterion: Scope
—
the implementation of the envisaged measures is expected to effectively contribute to the green transition, including biodiversity, and, where applicable, to addressing the challenges resulting therefrom, thereby contributing to the achievement of the Union 2030 climate targets while complying with the objective of EU climate neutrality by 2050;
and
—
Member States apply a methodology consisting of assigning a specific weighting to the support provided, which reflects the extent to which such support makes a contribution to climate objectives. The weightings shall be based on the dimensions and codes for the types of intervention established in Annex VI and may be increased for individual investments to take account of accompanying reform measures that credibly increase their impact on the climate objectives. The same weighting system shall apply for measures that cannot be directly assigned to an intervention field listed in Annex VI;
and
—
the implementation of the envisaged measures is expected to have a lasting impact.
Rating
A –
to a large extent
B –
to a moderate extent.
C –
to a small extent |
2.6. |
The recovery and resilience plan contains measures that effectively contribute to the digital transition or to addressing the challenges resulting therefrom, and that account for an amount which represents at least 20 % of the recovery and resilience plan’s total allocation, based on the methodology for digital tagging set out in Annex VII; that methodology shall be used accordingly for measures that cannot be directly assigned to an intervention field listed in Annex VII; the coefficients for support for the digital objectives may be increased for individual investments to take account of accompanying reform measures that increase their impact on the digital objectives. The Commission shall take into account the following elements for the assessment under this criterion: Scope
—
the implementation of the envisaged measures is expected to significantly contribute to the digital transformation of economic or social sectors;
or
—
the implementation of the envisaged measures is expected to significantly contribute to address the challenges resulting from digital transition;
and
—
Member States apply a methodology consisting of assigning a specific weighting to the support provided, which reflects the extent to which such support makes a contribution to digital objectives. The weightings shall be based on the dimensions and codes for the types of intervention established in Annex VII and may be increased for individual investments to take account of accompanying reform measures that increase their impact on the digital objectives. The same weighting system shall apply for measures that cannot be directly assigned to an intervention field listed in Annex VII;
and
—
the implementation of the envisaged measures is expected to have a lasting impact.
Rating
A –
to a large extent
B –
to a moderate extent
C –
to a small extent Effectiveness: |
2.7. |
The recovery and resilience plan is expected to have a lasting impact on the Member State concerned. The Commission shall take into account the following elements for the assessment under this criterion: Scope
—
the implementation of the envisaged measures is expected to bring about a structural change in the administration or in relevant institutions;
or
—
the implementation of the envisaged measures is expected to bring about a structural change in relevant policies;
and
—
the implementation of the envisaged measures is expected to have a lasting impact.
Rating
A –
to a large extent
B –
to a moderate extent
C –
to a small extent |
2.8. |
The arrangements proposed by the Member States concerned are expected to ensure effective monitoring and implementation of the recovery and resilience plan, including the envisaged timetable, milestones and targets, and the related indicators. The Commission shall take into account the following elements for the assessment under this criterion: Scope
—
a structure is tasked within the Member State with: (i) the implementation of the recovery and resilience plan; (ii) the monitoring of progress on milestones and targets; and (iii) the reporting;
and
—
the proposed milestones and targets are clear and realistic and the proposed indicators for those milestones and targets are relevant, acceptable and robust;
and
—
the overall arrangements proposed by the Member States in terms of organisation (including provision to ensure sufficient staff allocation) of the implementation of the reforms and investments, are credible.
Rating
A –
adequate arrangements for effective implementation
B –
minimum arrangements for effective implementation
C –
insufficient arrangements for effective implementation Efficiency: |
2.9. |
The justification provided by the Member State on the amount of the estimated total costs of the recovery and resilience plan is reasonable and plausible and is in line with the principle of cost efficiency and is commensurate to the expected national economic and social impact. The Commission shall take into account the following elements for the assessment under this criterion: Scope
—
the Member State provided sufficient information and evidence that the amount of the estimated total costs of the recovery and resilience plan is appropriate (reasonable);
and
—
the Member State provided sufficient information and evidence that the amount of the estimated total costs of the recovery and resilience plan is in line with the nature and the type of the envisaged reforms and investments (plausible);
and
—
the Member State provided sufficient information and evidence that the amount of the estimated total costs of the recovery and resilience plan to be financed under the Facility is not covered by existing or planned Union financing;
and
—
the amount of the estimated total costs of the recovery and resilience plan is commensurate to the expected social and economic impact of the envisaged measures included on the Member State concerned.
Rating
A –
to a high extent
B –
to a medium extent
C –
to a low extent |
2.10. |
The arrangements proposed by the Member State concerned are expected to prevent, detect and correct corruption, fraud and conflicts of interests when using the funds provided under the Facility, including the arrangements that aim to avoid double funding from the Facility and other Union programmes. The Commission shall take into account the following elements for the assessment under this criterion: Scope
—
the internal control system described in the recovery and resilience plan is based on robust processes and structures, and identifies clear actors (bodies/entities) and their roles and responsibilities for the performance of the internal control tasks; it notably ensures appropriate segregation of relevant functions;
and
—
the control system and other relevant arrangements, including for the collection and making available of data on final recipients described in the recovery and resilience plan, in particular to prevent, detect and correct corruption, fraud and conflicts of interests when using the funds provided under the Facility are adequate;
and
—
the arrangements described in the recovery and resilience plan to avoid double funding from the Facility and other Union programmes are adequate;
and
—
the actors (bodies/entities) responsible for controls have the legal empowerment and administrative capacity to exercise their foreseen roles and tasks.
Rating
A –
adequate arrangements
C –
insufficient arrangements Coherence: |
2.11. |
The recovery and resilience plan contains measures for the implementation of reforms and public investment projects that represent coherent actions. The Commission shall take into account the following elements for the assessment under this criterion: Scope
—
the recovery and resilience plan includes measures that contribute to reinforcing the effects of one another;
or
—
the recovery and resilience plan includes measures that are complementary to one another.
Rating
A –
to a high extent
B –
to a medium extent
C –
to a low extent |
2.12. |
The measures referred to in Article 21c are expected to effectively contribute to energy security, the diversification of the Union’s energy supply, an increase in the uptake of renewables and in energy efficiency, an increase of energy storage capacities or the necessary reduction of dependence on fossil fuels before 2030. When assessing the measures referred to in Article 21c under this criterion, the Commission shall take into account the specific challenges and the additional funding under the Facility available to the Member State concerned. The Commission shall also take into account the following elements: Scope
—
the implementation of the envisaged measures is expected to effectively contribute to the improvement of energy infrastructure and facilities to meet immediate security of supply needs for gas, including liquified natural gas, or oil where the derogation under Article 21c(3), point (a), applies, notably to enable diversification of supply in the interest of the Union as a whole;
or
—
the implementation of the envisaged measures is expected to effectively contribute to boosting energy efficiency in buildings and critical energy infrastructure, decarbonising industry, increasing production and uptake of sustainable biomethane and of renewable or fossil-free hydrogen, and increasing the share and accelerating the deployment of renewable energy;
or
—
the implementation of the envisaged measures is expected to effectively contribute to addressing energy poverty and, where relevant, give adequate priority to the needs of those affected by energy poverty as well as to the reduction of vulnerabilities during the coming winter seasons;
or
—
the implementation of the envisaged measures is expected to effectively contribute to incentivising reduction of energy demand;
or
—
the implementation of the envisaged measures is expected to address internal and cross-border energy transmission and distribution bottlenecks, supporting electricity storage and accelerating the integration of renewable energy sources, and supporting zero emission transport and its infrastructure, including railways;
or
—
the implementation of the envisaged measures is expected to effectively contribute to supporting the objectives set out in Article 21c(3), points (a) to (e), through an accelerated requalification of the workforce towards green and related digital skills, as well as support of the value chains in critical raw materials and technologies linked to the green transition;
and
—
the envisaged measures are coherent with the efforts of the Member State concerned to achieve the objectives set out in Article 21c(3), taking into account the measures included in the already adopted Council implementing decision, as well as other nationally funded and Union-funded complementary or accompanying measures to the objectives set out in Article 21c(3).
Rating A – to a large extent
B – to a moderate extent
C – to a small extent
|
2.13. |
The measures referred to in Article 21c are expected to have a cross-border or multi-country dimension or effect. The Commission shall take into account the following elements for the assessment under this criterion: Scope
—
the implementation at the national level of the envisaged measures is expected to contribute to securing energy supply in the Union as a whole, including by addressing challenges identified in the Commission’s most recent needs assessment, in line with the objectives set out in Article 21c(3), taking into account the financial contribution available to the Member State concerned and its geographical position;
or
—
the implementation of the envisaged measures is expected to contribute to reducing dependency on fossil fuels and to reducing energy demand.
Rating A – to a large extent
B – to a moderate extent
C – to a small extent
|
3. |
Determination of the financial contribution In accordance with Article 20, the Commission proposal shall determine the financial contribution taking into account the importance and coherence of the recovery and resilience plan proposed by the Member State concerned, as assessed under the criteria set out in Article 19(3). For that purpose, it shall apply the following criteria:
(a)
where the recovery and resilience plan complies satisfactorily with the criteria set out in Article 19(3), and the amount of the estimated total costs of the recovery and resilience plan is equal to, or higher than, the maximum financial contribution calculated for that Member State in accordance with Article 11, the financial contribution allocated to the Member State concerned shall be equal to the total amount of the maximum financial contribution calculated for that Member State in accordance with Article 11;
(b)
where the recovery and resilience plan complies satisfactorily with the criteria set out in Article 19(3), and the amount of the estimated total costs of the recovery and resilience plan is lower than the maximum financial contribution calculated for that Member State in accordance with Article 11, the financial contribution allocated to the Member State shall be equal to the amount of the estimated total costs of the recovery and resilience plan;
(c)
where the recovery and resilience plan does not comply satisfactorily with the criteria set out in Article 19(3), no financial contribution shall be allocated to the Member State concerned. For the purpose of the implementation of this paragraph, the following formulae shall apply:
—
for (a) above: If Ci ≥ MFCi the Member State i receives MFCi
—
for (b) above: If Ci < MFCi the Member State i receives Ci
where:
—
i refers to the Member State concerned
—
MFC is the maximum financial contribution for the Member State concerned
—
C is the amount of the estimated total costs of the recovery and resilience plan.
As a result of the assessment process, and taking into account the ratings: The recovery and resilience plan complies satisfactorily with the assessment criteria: If the final ratings for the criteria under point 2 include scores with:
—
an A for criteria 2.2, 2.3, 2.5, 2.6 and 2.12
and for the other criteria:
—
all As,
or
—
no majority of Bs over As and no Cs.
The recovery and resilience plan does not comply satisfactorily with the assessment criteria: If the final ratings for the criteria under point 2 include scores with:
—
not an A in criteria 2.2, 2.3, 2.5, 2.6 and 2.12
and for the other criteria:
—
a majority of Bs over As,
or
—
at least one C.
|
ANNEX VI
Methodology for climate tracking
Dimensions and codes for the types of intervention for the Facility
|
INTERVENTION FIELD |
Coefficient for the calculation of support to climate change objectives |
Coefficient for the calculation of support to environmental objectives |
001 |
Investment in fixed assets, including research infrastructure, in micro enterprises directly linked to research and innovation activities |
0 % |
0 % |
002 |
Investment in fixed assets, including research infrastructure, in small and medium-sized enterprises (including private research centres) directly linked to research and innovation activities |
0 % |
0 % |
002 bis1 |
Investment in fixed assets in large, including research infrastructure, enterprises (1) directly linked to research and innovation activities |
0 % |
0 % |
003 |
Investment in fixed assets, including research infrastructure, in public research centres and higher education directly linked to research and innovation activities |
0 % |
0 % |
004 |
Investment in intangible assets in micro enterprises directly linked to research and innovation activities |
0 % |
0 % |
005 |
Investment in intangible assets in SMEs (including private research centres) directly linked to research and innovation activities |
0 % |
0 % |
005bis1 |
Investment in intangible assets in large enterprises directly linked to research and innovation activities |
0 % |
0 % |
006 |
Investment in intangible assets in public research centres and higher education directly linked to research and innovation activities |
0 % |
0 % |
007 |
Research and innovation activities in micro enterprises including networking (industrial research, experimental development, feasibility studies) |
0 % |
0 % |
008 |
Research and innovation activities in SMEs, including networking |
0 % |
0 % |
008bis1 |
Research and innovation activities in large enterprises, including networking |
0 % |
0 % |
009 |
Research and innovation activities in public research centres, higher education and centres of competence including networking (industrial research, experimental development, feasibility studies) |
0 % |
0 % |
010 |
Digitising SMEs (including e-commerce, e- business and networked business processes, digital innovation hubs, living labs, web entrepreneurs and ICT start-ups, B2B) |
0 % |
0 % |
010bis1 |
Digitising large enterprises (including e-commerce, e-business and networked business processes, digital innovation hubs, living labs, web entrepreneurs and ICT start-ups, B2B) |
0 % |
0 % |
010ter |
Digitising SMEs or large enterprises (including e-commerce, e-business and networked business processes, digital innovation hubs, living labs, web entrepreneurs and ICT start-ups, B2B) compliant with GHG emission reduction or energy efficiency criteria (2) |
40 % |
0 % |
011 |
Government ICT solutions, e-services, applications |
0 % |
0 % |
011bis |
Government ICT solutions, e-services, applications compliant with GHG emission reduction or energy efficiency criteria (2) |
40 % |
0 % |
012 |
IT services and applications for digital skills and digital inclusion |
0 % |
0 % |
013 |
e-Health services and applications (including e-care, Internet of Things for physical activity and ambient assisted living) |
0 % |
0 % |
014 |
Business infrastructure for SMEs (including industrial parks and sites) |
0 % |
0 % |
015 |
SME business development and internationalisation, including productive investments |
0 % |
0 % |
015bis |
Support for large enterprises through financial instruments, including productive investments |
0 % |
0 % |
016 |
Skills development for smart specialisation, industrial transition, entrepreneurship and adaptability of enterprises to change |
0 % |
0 % |
017 |
Advanced support services for SMEs and groups of SMEs (including management, marketing and design services) |
0 % |
0 % |
018 |
Incubation, support to spin-offs and spin-outs and start-ups |
0 % |
0 % |
019 |
Support for Innovation clusters including between businesses, research organisations and public authorities and business networks primarily benefiting SMEs |
0 % |
0 % |
020 |
Innovation processes in SMEs (process, organisational, marketing, co-creation, user and demand driven innovation) |
0 % |
0 % |
021 |
Technology transfer and cooperation between enterprises, research centres and higher education sector |
0 % |
0 % |
022 |
Research and innovation processes, technology transfer and cooperation between enterprises focusing on the low carbon economy, resilience and adaptation to climate change |
100 % |
40 % |
023 |
Research and innovation processes, technology transfer and cooperation between enterprises focusing on circular economy |
40 % |
100 % |
024 |
Energy efficiency and demonstration projects in SMEs and supporting measures |
40 % |
40 % |
024bis |
Energy efficiency and demonstration projects in large enterprises and supporting measures |
40 % |
40 % |
024ter |
Energy efficiency and demonstration projects in SMEs or large enterprises and supporting measures compliant with energy efficiency criteria (3) |
100 % |
40 % |
025 |
Energy efficiency renovation of existing housing stock, demonstration projects and supporting measures |
40 % |
40 % |
025bis |
Energy efficiency renovation of existing housing stock, demonstration projects and supporting measures compliant with energy efficiency criteria (4) |
100 % |
40 % |
025ter |
Construction of new energy efficient buildings (5) |
40 % |
40 % |
026 |
Energy efficiency renovation or energy efficiency measures regarding public infrastructure, demonstration projects and supporting measures |
40 % |
40 % |
026bis |
Energy efficiency renovation or energy efficiency measures regarding public infrastructure, demonstration projects and supporting measures compliant with energy efficiency criteria (6) |
100 % |
40 % |
027 |
Support to enterprises that provide services contributing to the low carbon economy and to resilience to climate change including awareness-raising measures |
100 % |
40 % |
028 |
Renewable energy: wind |
100 % |
40 % |
029 |
Renewable energy: solar |
100 % |
40 % |
030 |
Renewable energy: biomass (7) |
40 % |
40 % |
030bis |
Renewable energy: biomass with high GHG savings (8) |
100 % |
40 % |
031 |
Renewable energy: marine |
100 % |
40 % |
032 |
Other renewable energy (including geothermal energy) |
100 % |
40 % |
033 |
Smart Energy Systems (including smart grids and ICT systems) and related storage. |
100 % |
40 % |
034 |
High efficiency co-generation, district heating and cooling |
40 % |
40 % |
034bis0 |
High efficiency co-generation, efficient district heating and cooling with low lifecycle emissions (9) |
100 % |
40 % |
034bis1 |
Replacement of coal-based heating systems by gas-based heating systems for climate mitigation purposes |
0 % |
0 % |
034bis2 |
Distribution and transport of natural gas substituting coal |
0 % |
0 % |
035 |
Adaptation to climate change measures and prevention and management of climate related risks: floods (including awareness raising, civil protection and disaster management systems, infrastructures and ecosystem based approaches) |
100 % |
100 % |
036 |
Adaptation to climate change measures and prevention and management of climate related risks: fires (including awareness raising, civil protection and disaster management systems, infrastructures and ecosystem based approaches) |
100 % |
100 % |
037 |
Adaptation to climate change measures and prevention and management of climate related risks: others, e.g. storms and drought (including awareness raising, civil protection and disaster management systems, infrastructures and ecosystem based approaches) |
100 % |
100 % |
038 |
Risk prevention and management of non-climate-related natural risks (for example earthquakes) and risks linked to human activities (for example technological accidents), including awareness raising, civil protection and disaster management systems, infrastructures and ecosystem based approaches |
0 % |
100 % |
039 |
Provision of water for human consumption (extraction, treatment, storage and distribution infrastructure, efficiency measures, drinking water supply) |
0 % |
100 % |
039bis |
Provision of water for human consumption (extraction, treatment, storage and distribution infrastructure, efficiency measures, drinking water supply) compliant with efficiency criteria (10) |
40 % |
100 % |
040 |
Water management and water resource conservation (including river basin management, specific climate change adaptation measures, reuse, leakage reduction) |
40 % |
100 % |
041 |
Waste water collection and treatment |
0 % |
100 % |
041bis |
Waste water collection and treatment compliant with energy efficiency criteria (11) |
40 % |
100 % |
042 |
Household waste management: prevention, minimisation, sorting, reuse, recycling measures |
40 % |
100 % |
042bis |
Household waste management: residual waste management |
0 % |
100 % |
044 |
Commercial, industrial waste management: prevention, minimisation, sorting, reuse, recycling measures |
40 % |
100 % |
044bis |
Commercial, industrial waste management: residual and hazardous waste |
0 % |
100 % |
045 |
Promoting the use of recycled materials as raw materials |
0 % |
100 % |
045bis |
Use of recycled materials as raw materials compliant with the efficiency criteria (12) |
100 % |
100 % |
046 |
Rehabilitation of industrial sites and contaminated land |
0 % |
100 % |
046bis |
Rehabilitation of industrial sites and contaminated land compliant with efficiency criteria (13) |
40 % |
100 % |
047 |
Support to environmentally-friendly production processes and resource efficiency in SMEs |
40 % |
40 % |
047bis |
Support to environmentally-friendly production processes and resource efficiency in large enterprises |
40 % |
40 % |
048 |
Air quality and noise reduction measures |
40 % |
100 % |
049 |
Protection, restoration and sustainable use of Natura 2000 sites. |
40 % |
100 % |
050 |
Nature and biodiversity protection, natural heritage and resources, green and blue infrastructure |
40 % |
100 % |
051 |
ICT: Very High-Capacity broadband network (backbone/backhaul network) |
0 % |
0 % |
052 |
ICT: Very High-Capacity broadband network (access/local loop with a performance equivalent to an optical fibre installation up to the distribution point at the serving location for multi-dwelling premises) |
0 % |
0 % |
053 |
ICT: Very High-Capacity broadband network (access/local loop with a performance equivalent to an optical fibre installation up to the distribution point at the serving location for homes and business premises) |
0 % |
0 % |
054 |
ICT: Very High-Capacity broadband network (access/local loop with a performance equivalent to an optical fibre installation up to the base station for advanced wireless communication) |
0 % |
0 % |
055 |
ICT: Other types of ICT infrastructure (including large-scale computer resources/equipment, data centres, sensors and |