Communication from the Commission to the Council and the European Parliament establishing a framework programme on Solidarity and the Management of Migration Flows for the period 2007-2013 {SEC(2005) 435}
Date: 2005-04-06
Institutions: European Commission
Subjects: EU financing, EU migration policy, EU programme, admission of aliens, external border of the EU, fund (EU), illegal migration, integration of migrants, migratory movement, return migration

COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels, 6.4.2005 
COM(2005) 123 final 

2005/0046 (COD) 
2005/0047 (COD) 
2005/0048 (CNS) 
2005/0049 (COD) 

COMMUNICATION FROM THE COMMISSION TO THE COUNCIL AND THE 
EUROPEAN PARLIAMENT 

establishing a framework programme on Solidarity and the Management of Migration 
Flows for the period 2007-2013 

Proposal for a 

DECISION OF THE EUROPEAN PARLIAMENT AND THE COUNCIL 

establishing the European Refugee Fund for the period 2008-2013 as part of the General 
programme ‘Solidarity and Management of Migration Flows’ 

Proposal for a 

DECISION OF THE EUROPEAN PARLIAMENT AND THE COUNCIL 

establishing the External Borders Fund for the period 2007-2013 as part of the general 
programme ‘Solidarity and Management of Migration Flows’ 

Proposal for a 

COUNCIL DECISION 

establishing the European Fund for the Integration of Third-country nationals for the 
period 2007-2013 as part of the General programme ‘Solidarity and Management of 
Migration Flows’ 

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Proposal for a 

DECISION OF THE EUROPEAN PARLIAMENT AND COUNCIL 

establishing the European Return Fund for the period 2007-2013 as part of the General 
programme ‘Solidarity and Management of Migration Flows’ 

(presented by the Commission) 

{SEC(2005) 435} 

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COMMUNICATION FROM THE COMMISSION TO THE COUNCIL AND THE 
EUROPEAN PARLIAMENT 

Establishing a framework programme for Solidarity and the management of migration 
flows for the period 2007-2013 

The  Communication  establishing  a  Framework  programme  on  “Solidarity  and 
the 
management of migration flows” is part of a coherent set of proposals aiming at providing an 
adequate support to an area of freedom, security and justice under the financial perspectives 
2007-2013.  Indeed,  the  three  key  objectives  of  freedom,  security  and  justice  are  to  be 
developed  in  parallel  and  to  the  same  degree  of  intensity,  thus  allowing  for  a  balanced 
approach, based on the principles of democracy, respect for fundamental rights and freedoms, 
and  the  rule  of  law.  Each  of  these  objectives  is  supported  by  a  Framework  programme, 
providing for the necessary coherence between relevant interventions in each policy area, and 
clearly linking political objectives and the resources available to support them. Furthermore, 
this structure represents a major simplification and rationalisation of existing financial support 
in  the  area  of  freedom,  justice  and  security,  thus  allowing  for  greater  flexibility  in  the 
allocation of priorities and increasing overall transparency. 

1. 

INTRODUCTION 

The progressive establishment of the area of freedom, security and justice has become, since 
its first introduction as an objective in the Treaty of Amsterdam, one of the cornerstones of 
the  development  of  the  European  Union.  This  objective  is  the  corollary  to  the  overarching 
objectives of economic growth and sustainable development: increased prosperity at the level 
of  our  continent  can  only  be  achieved  in  a  climate  of  safety  and  security  which  guarantees 
citizens and the business sector an effective exercise of their rights and freedoms, as well as 
protection from crime and terrorism. 

The area of freedom, security and justice comprises a balance between guaranteeing the core 
rights  of  the  individual  (freedom,  security  and  justice)  as  well  as  delivering  the  core 
responsibilities  (security,  justice)  expected  of  the  Union1.  The  citizens  of  Europe  rightly 
expect the European Union, while guaranteeing respect for fundamental freedoms and rights, 
to take a more effective, joint approach to cross-border problems such as illegal migration and 
trafficking in and smuggling of human beings, as well as to terrorism and organised crime. 

Building  upon  the  results  of  the  Tampere  programme,  the  European  Council  adopted  in 
November 2004 a multiannual programme (‘The Hague Programme’) defining a new agenda 
to enable the Union to further develop what has already been achieved and to meet challenges 

1 

“Freedom is the unifying principle, the linchpin of the European project. But without security, without a 
system of law and justice recognised by the people, the exercise of freedom and respect for democratic 
values  could  not  be  guaranteed.  The  European  area  of  freedom,  security  and  justice  thus  provides  a 
guarantee for the principles of democracy, respect for human rights and the rule of law. As an essential 
element of European citizenship, the common recognition of these principles, which are now embodied 
in  the  Charter  of  Fundamental  Rights,  is  the  cornerstone  of  integration  for  everyone  living  in  the 
Union.”, “A project for the European Union” - COM (2002) 247. 

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ahead. Among  the  objectives set out are the further  development  of  common  migration  and 
asylum policies and the establishment of an integrated management system for controls and 
surveillance  of  external  borders,  which  must  be  envisaged  in  the  context  of  the  general 
principle of solidarity and fair sharing of responsibility between the Member States, including 
their  financial  consequences.  These  concepts  are  also  enshrined  in  the  Constitution  as 
governing principles for the development of common policies on border checks, asylum and 
immigration. 

In its Communications setting out its strategic orientations for the definition of the Financial 
Perspectives 2007-20132, the Commission has already highlighted the objective of supporting 
the  development  of  the  area  of  Freedom,  Security  and  Justice  with  adequate  financial 
resources,  to  be  included  in  a  new  Heading  relating  to  “Citizenship,  Freedom,  Security  and 
Justice”.  In  accordance  with  the  objectives  set  out  by  the  European  Council,  the  proposed 
framework  programme  “Solidarity  and  management  of  migration  flows”  will  aim  at 
addressing the issue of a fair share of responsibilities between Member States as concerns 
the financial burden arising from the introduction of an integrated management of the Union’s 
external  borders  and  from  the  implementation  of  common  policies  on  asylum  and 
immigration. 

2. 

THE  PROPOSED  INTERVENTION  -  FRAMEWORK  PROGRAMME  ON  SOLIDARITY  AND 
MANAGEMENT OF MIGRATION FLOWS 

2.1. 

Objectives of the framework programme 

The implementation of Community financial programmes must be part of an effective policy 
mix aiming at achieving specific objectives linked to the development of EU policies. In this 
respect, the choice of areas and types of intervention must be established on the basis of an 
assessment of the needs to be addressed, and take into account the complementarity with other 
possible  tools,  in  particular  legislation.  So  far,  common  asylum,  migration  and  border 
management  policies  have  been  mainly  established  through  legislation.  The  standards  have 
laid the foundations of Community policy in these areas. However, the implementation of the 
standards implies a differential burden imposed on individual Member States, some of whom 
bear a disproportionate part of the responsibilities that will benefit the Community as a whole, 
and uneven application would endanger the project of creating a level-playing field. 

The  number  of  persons  affected  by  these  policy  areas  is  considerable.  In  the  EU  25  the 
Member  States  are  responsible  for  controlling  about  6.000  km  of  land  border  and  about 
85.000  km  of  coastline;  it  is  estimated  that  annually  100  million  passengers  arrive  at 
international  airports  of  the  EU  amidst  whom  persons  to  be  refused  entry.  Member  States 
refuse  annually  more  than  340.000  third  country  nationals  the  right  to  enter  into  the  EU, 
apprehend  about  500.000  third  country  nationals  illegally  residing  on  their  territories  and 
remove  about  300.000  third  country  nationals  who  have  entered  illegally,  have  resided 
illegally  or  are  returned  to  their  country  for  other  reasons.  In  the  EU  25  about  2.2  million 
permits are granted each year to third country nationals to reside or stay, for the purpose of 

2 

Communication from the Commission to the Council and the European Parliament. Building our 
common future – policy challenges and budgetary means of the enlarged Union 2007-2013. 
COM(2004) 101, 10.2.2004. 
Communication from the Commission to the Council and the European Parliament. Financial 
perspectives 2007-2013 - COM(2004) 487, 14.7.2004. 

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employment, family reunification, study, research or other reasons. The total number of third 
country  nationals  legally  residing  in  the  EU  25  is  currently  double  the  number  of  the  EU 
citizens  having  chosen  to  exercise  their  right  to  reside  in  another  Member  State;  the 
population continues to grow mainly due to net migration.  

Financial  solidarity  of  the  Community  must  be  able  to  support  further  development  and 
implementation  of  the  comprehensive  and  balanced  approach  defined  by  the  EU  as  regards 
management of migration flows. It must contribute adequately to the four essential pillars of 
this approach: 

•  First, the Member States have committed themselves to applying the Schengen acquis and 
establishing a common integrated border management system in the EU. Accordingly, they 
are  obliged  to  manage  efficiently  the  flows  of  persons  at  external  borders,  in  order  to 
ensure, on the one hand, a high level of protection at the external borders for the internal 
security  of  the  Member  States,  and,  on  the  other,  a  smooth  crossing  of  these  borders  by 
bona  fide  travellers,  such  as  those  issued  visas  by  consular  services  of  Member  States 
abroad.  These  objectives  imply,  particularly  in terms  of  reducing  illegal  entries,  securing 
the  coastlines  in  the  Mediterranean  and  the  Eastern  land  borders  and  enhancing  the 
activities of Member States’ consular services in third countries;  

•  Second,  with  the  adoption  of  a  European  Return  Action  Programme  in  2002,  Member 
States have pledged to develop a common return policy on the basis of common standards 
and best practices. An effective Community return policy is a necessary complement to a 
credible  legal  immigration  and  asylum  policy  as  well  as  an  important  component  in  the 
fight against illegal immigration. The efforts of individual Member States regarding return 
management  are  not  only  limited  in  financial  terms,  but  also  in  terms  of  political  impact 
and signal effect; Member States face similar difficulties in implementing return operations 
and  they  can  collectively  be  better  overcome  by  pooling  resources  and  experience. 
Moreover,  Member  States  should  be  encouraged 
to  develop  ‘integrated  return 
management’:  analysing  and  assessing  the  potential  group  of  returnees,  the  legal  and 
logistical  constraints  in  the  Member  State  and  the  situation  in  the  country  of  return,  and 
developing  specific  and  targeted  actions  commensurate  to  the  challenge.  This  should 
contribute  to  reducing,  in  the  EU  without  internal  borders,  secondary  movements  of 
illegally staying third country nationals. 

•  Third, the implementation of a common immigration policy requires that the Community 
provides a credible response to the multidimensional issue of integration of third country 
nationals. The common immigration policy has clear implications for competitiveness and 
the  fulfilment  of  the  Lisbon  objectives.  While  immigration  in  itself  is  not  a  solution  to 
demographic ageing, more sustained immigration flows could increasingly be required to 
meet  the  needs  of  the  EU  labour  market  and  ensure  Europe’s  prosperity.  This  highlights 
the importance of ensuring that an EU migration policy delivers a secure legal status and a 
guaranteed set of rights to assist the integration of those who are admitted, to promote their 
integration into all aspects of society, over and above integration into the labour market. A 
common  approach  concerning  the  rights  and  obligations  of  immigrants  should  be 
developed.  The  Common  Basic  Principles  for  immigration  integration  policy  in  the 
European Union adopted by the Council and the representatives of the governments of the 
Member  States  in  2004,  recognise  that  immigration  is  a  permanent  feature  of  European 
society and that all Member States should maintain and further develop societies in which 
newcomers  feel  welcome,  as  the  failure  of  an  individual  Member  State  to  develop  and 

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implement a successful integration policy for migrants can have in different ways adverse 
implications for other Member States. Accordingly, Member States should be encouraged 
to  develop  and  implement  programmes  and  activities  welcoming  newcomers,  to  promote 
active citizenship for all third country nationals through more civic, cultural, religious and 
political  participation,  to  improve  the  capacity  of  public  and  private  service  providers  to 
respond to their needs and to assist society in adjusting to diversity.  

•  Last,  to  prevent  unnecessary  secondary  movements  in  an  EU  where  only  one  Member 
State  is  responsible  for  examining  a  particular  asylum  claim,  possible  divergences  in  the 
practice  of  reception  and  admission,  should  be  minimized  as  much  as  possible.  An 
equivalent implementation of high quality of the common European asylum policy across 
the  Member  States  must  be  encouraged  through  a  balance  of  efforts  between  Member 
States  in  receiving  and  bearing  the  consequences  of  receiving  refugees  and  displaced 
persons. 

Another  essential  element  of  this  approach  is  that  of  cooperation  with  third  countries.  In 
accordance  with  the  proposed  structure  of  the  financial  framework,  this  external  dimension 
will not be included in the framework programme “Solidarity and management of migration 
flows”,  but  will  be  duly  taken  into  account  under  Heading  4  of  the  proposed  financial 
framework,  through  the  implementation  of  external  aid  instruments  presented  by  the 
Commission in September 2004. 

2.2. 

Structure of the framework programme 

The  framework  programme  will  establish  financial  solidarity  mechanisms  (Funds)  covering 
four areas: 

•  controls  and  surveillance  of  external  borders  (‘integrated  border  management’),  visa 
policy, in complementarity with the European Agency for the Management of Operational 
Cooperation  at  the  External  Borders  of  the  Member  States  of  the  European  Union 
(FRONTEX Agency); 

•  return of third country nationals illegally residing in the EU; 

•  integration of legally residing third country nationals; and  

•  asylum (building upon the existing European Refugee Fund3). 

It  is  clear  that  the  development  and  implementation  of  common  policies,  including 
Community  legislation,  in  each  of  these  four  areas  respond  to  the  need  to  ensure 
complementary but different operational objectives. It implies a dissimilar level and intensity 
of  obligations  for  Member  States  which  must  be  met  by  adequate  financial  support.  It  also 
means  that  each  Member  State  must  put  in  place  and  sustain  measures  at  national  level 
allowing  for  a  proper  fulfilment  of  their  obligations  with  regard  to  each  of  the  four  policy 
areas, even if they are only affected to a limited degree.  

3 

Council  Decision  2004/904/EC  of  2  December  2004  establishing  the  European  Refugee  Fund  for  the 
period 2005-2010 - JO L 381, 28.12.2004, p. 52. 

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Furthermore, these actions have a different legal basis in the Treaties, and cover areas that are 
subject to the provisions of the Protocols relating to the position of Denmark, Ireland and the 
United Kingdom or to the Schengen acquis. 

Therefore, the “solidarity and management of migration flows” framework programme shall 
be made of four separate instruments (establishing four “Funds”) corresponding to each of the 
four policy areas. 

Even though implemented through four different legal instruments, the four Funds constitute a 
coherent  ensemble  both  politically  and  operationally:  each  Fund  reflects  the  objectives  of  a 
policy which will, in  association with the three others, allow the development of an area of 
Freedom. It is the successful implementation of each of the four dimensions that will lead to 
the achievement of the overall objectives. Therefore, the four Funds will operate according to 
common  implementation  and  management  rules,  in  accordance  with  the  same  strategic 
calendar, and be the subject of coordinated evaluation and review processes (see section 3). 

Once  the  Constitutional  Treaty  has  entered  into  force,  the  Commission  may  examine  the 
possibilities  for  further  streamlining  and  simplification  that  could  result  from  a  new  legal 
basis (in particular article III-268). 

The  allocation  of  financial  resources  to  Member  States  within  each  Fund  will  be  based  on 
specific and objective criteria which reflect the situation of the Member State with regard to 
the  obligations  undertaken  on  behalf  of  or  for the  overall  benefit  of  the  Community  for  the 
policy area concerned. These criteria will mostly be of a quantitative nature. In order to take 
into  account  both  the  baseline  situation  of  the  Member  States  and  the  evolution  of  this 
situation, criteria will be as far as possible based on “stock” data and “flows” data: this will 
allow for a reinforcement of available funds in one Member State to support, for example, a 
growing number of persons falling within the target population.  

For this purpose, the instruments foresee the use of Community statistics, and where these are 
not available, national statistics. While some technical difficulties may arise, it is felt that the 
use  of  statistics  in  the  allocation  of  funds  would  have  the  positive  effect  of  increasing  the 
attention paid at national level to the correct and timely provision of data The proposed use of 
these statistics in the allocation of the funds for the period 2007-2013 is feasible, in particular 
because  the  forthcoming  legislation  on  migration  statistics  is  expected  to  result  in  better 
availability and harmonisation of statistics. 

For  the  External  Borders  Fund,  the  possibility  of  a  weighting  mechanism  is  created,  to  be 
based inter alia on the common risk analysis carried out by the FRONTEX Agency. Special 
provisions  are  foreseen  in  order  to  cover  the  specific  additional  costs  linked  to  the 
implementation of the FTD and FRTD scheme in accordance with Council Regulation (EC) 
No 693/2003 and Council Regulation (EC) No 694/2003. 

For  the  European  Refugee,  Integration  and  Return  Funds,  building  on  the  example  of  the 
European  Refugee  Fund,  each  Member  State  will  receive  a  small  fixed  amount  in  order  to 
ensure a minimum level of resources for the implementation of the objectives.  

2.3. 

Complementarity with other instruments and policy measures 

The  framework  programme  constitutes  one  element  of  the  policy  mix  set  up  for  the  further 
development  of  common  asylum,  migration  and  external  border  policies:  it  must  be  closely 

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linked to the implementation and development of other policy tools, in particular legislation. 
Financial solidarity must serve clearly identified objectives and allow for the cofinancing of 
actions that bring a high level of added value to the Community. The use of the Funds must be 
intrinsically  linked  to  the  improvement  of  the  national  situation  with  regard  to  common 
standards, or bring collective benefits at EU level through the implementation of coordinated 
or joint actions. 

The  establishment  and  operation  of  the  framework  programme  will  be  complementary  to 
other  initiatives  and  bodies  set  up  within  the  context  of  common  migration,  asylum  and 
external border policy.  

In particular, the development of large scale IT systems in support of the implementation of 
external border and visa policy (Visa Information System, Schengen Information System) and 
asylum  policy  (EURODAC)  constitute  substantial  contributions  to  Community  solidarity 
through the establishment of cooperation and cost/effective exchange of information between 
the  Member  States.  Although  not  covered  by  the  budget  forecast  under  the  “Solidarity  and 
Management  of  migration  flows”  framework  programme, the development and operation of 
these information systems are long term commitments, and the legal acts establishing them do 
not  contain  provisions  limiting  their  duration.  In  addition  to  the  extension  anticipated  for 
enlargement,  further  developments  of  functionalities  cannot  be  excluded  over  the  period 
2007-2013,  which  will  need  to  be  covered  by  the  budget  forecast  under  Heading  3  of  the 
proposed financial framework. 

The  activities  of  the  FRONTEX  Agency  also  constitute  an  effective  tool  to  enhance 
cooperation through technical and operational assistance, pooling of equipment and resources 
that  can  be  made  available  to  all  participating  States.  The  progressive  development  of  the 
scope and activities of the agency, in particular after the evaluation scheduled for 2007, will 
require  adequate  resources  under  Heading  3  of  the  future  financial  framework.  The 
Commission  services  will  associate  the  FRONTEX  Agency  to  the  programming  and 
evaluation 

Based  on  the  results  of  the  preparatory  action  currently  running,  the  Commission  will 
consider  the  creation  of  a  European  Migration  Observatory,  in  order  to  reinforce  the 
monitoring and analysis of multidimensional aspects of the migration and asylum phenomena. 

Provisions have been made not only to avoid any kind of duplication between Funds, but also 
to  ensure  the  development  of  synergies  wherever  possible.  In  particular,  financing  return 
measures  for  rejected  asylum  seekers  shall  become  ineligible  within  the  framework  of  the 
European  Refugee  Fund  from  the  first  year  of  the  multiannual  programme  starting  on  1st 
January 2008.  

Funding for the Return Fund will only be foreseen from 2008 onwards, taking into account, as 
suggested in the Hague programme, the need to evaluate the results of the preparatory actions 
on return (2005 – 2006) beforehand. 

Particular  attention  has  also  been  given  to  the  issue  of  complementarity  and  synergy  of 
actions  between  the  Integration  Fund  and  the  European  Social  Fund  (ESF),  both  in  the 
definition  of  the  objectives  of  the  Integration  Fund  and  in  its  implementation.  Through  its 
specific  and  innovation  oriented  approach,  the  Integration  Fund  will  indeed  be  able  to 
complement  the  wider objectives of the ESF as  well as to identify  successful  strategies and 
practices that can be further mainstreamed within the ESF. 

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3. 

RATIONALISATION AND SIMPLIFICATION 

3.1. 

Transition with existing instruments 

The  four  Funds  implemented  under  the  “Solidarity  and  Management  of  Migration  Flows” 
framework programme provide a coherent ensemble and fully support to the development of 
common policies in the areas of external border, migration and asylum, in full agreement with 
the  principles  of  solidarity,  added  value,  additionality  and  complementarity.  They  will  take 
over  and  develop  to  their  full  operational  level  the  actions  of  existing  programmes  and 
preparatory  actions  such  as  ARGO,  INTI,  the  preparatory  actions  in  the  area  of  return 
management and the European Refugee Fund (ERF). 

The  second  phase  of  the  ERF  started  on  1st  January  2005  and  ends  in  2010.  In  addition  to 
clarifying the eligibility conditions of the voluntary return strand, the proposal to amend the 
ERF  attached  to  the  Communication  simply  aims  at  putting  its  calendar  and  implementing 
arrangements as regards management and control system in line with those proposed for the 
other  three  instruments  :  its  duration  is  prolonged  until  2013,  and  the  new  provisions  will 
come  into  force  as  of  1st  January  2008,  in  order  to  allow  for  the  full  implementation  of  the 
first  multiannual  programming  cycle  under  the  current  decision,  from  2005  to  2007.  After 
these dates, the programming cycle will be in line with the other three Funds. 

It  should  however  be  anticipated  that  revisions  on  the  substance  of  the  ERF  should  be 
presented  at  a  later  stage  in  2005,  together  with  Communications  by  the  Commission 
concerning in particular:  

•  The Declaration on persons under national resettlement programmes in light of the scope 
of the Council Decision on the ERF II for the period 2005 – 2010 where the Commission is 
invited to present a proposal for a modification of the European Refugee Fund by the end 
of 2005 to take into account the Council Conclusions of 2 November 2004 on improving 
access  to  durable  solutions.  Those  Council  Conclusions  had  asked  the  Commission  to 
come  forward  with  a  proposal  for  an  EU  Resettlement  Scheme.  The  arrangements  for 
funding  or  part-funding  of  resettlement  which  takes  place  under  the  EU  Resettlement 
Scheme, or indeed outside it, will need to be settled. 

•  The  Hague  Programme  calling  for  the  establishment,  in  2005,  of  “appropriate  structures 
involving  the  national  asylum  services  of  the  Member  States  with  a  view  to  facilitating 
practical and collaborative cooperation”. The questions of the inclusion of  these structures 
under  ‘Community  actions’  and  the  options  envisaged  for  the  European  Support  Office 
therefore need to be addressed.  

3.2. 

Common management and control arrangements 

As  the  objectives  of  the  framework  programme  are  to  strengthen  the  implementation  of 
common  policies  at  national  level,  it  will  be  implemented  within  the  framework  of  shared 
management between the Member States and the Commission. This will enable the Member 
States to select the actions in accordance with a thorough assessment of needs and a strategy 
adapted to the local situation, this strategy being agreed in cooperation with the Commission. 
As shared management cannot be applied to third countries, there will be a delegation of tasks 
in decentralised management to the countries associated with the implementation, application 
and development of the Schengen acquis which participate in the External Borders Fund. The 
Community actions and the technical assistance of the Commission, as referred to within the 

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draft  instruments,  will  be  implemented  by  the  Commission  within  the  framework  of  direct 
management. 

The same provisions have been defined for the operation of the four instruments: multiannual 
strategic programming cycles (with two periods defined as 2007-2010 and 2011-2013) on the 
basis  of  guidelines  communicated  by  the  Commission,  annual  allocation  of  resources  and 
operational programming, multiannual evaluations. 

Similarly, the management and control systems of the four Funds are to be aligned, and to that 
end the draft decisions provide for common or shared implementation provisions or structures 
(Committee, national arrangements for management and audit). 

The need for coherence and transparency are the driving forces in the management modalities 
of the respective Funds. Coherence, as the draft instruments lay down the minimal conditions 
applicable to the management, internal control and audit systems as well as the involvement 
of  each  actor.  Transparency,  as  the  results  and  outcome  of  each  part  of  the  instrument  are 
known to the different actors. The four draft decisions also take into account the conclusions 
of  the  evaluations  of  the  programming  and  delivery  mechanism  of  the  Structural  Funds,  in 
order to set up delivery mechanisms that ensure at the same time a concentration of resources 
on key and strategic objectives, a delivery mechanism that ensures effective implementation 
at both national and Community level, and a sound management and control of Community 
funding.  

3.3. 

Evaluation and review 

Evaluation of the implementation, results and impacts of policy instruments must be carried 
out at regular intervals, in order to ensure effectiveness of action. This is particularly crucial 
in the context of the framework programme “Solidarity and management of migration flows”: 

- first, during the years 2005-2006, additional studies will be carried out in order to define the 
priorities of the initial multiannual guidelines under the new programme, as well as establish a 
coherent  and  complete  monitoring  and  evaluation  framework  (including  the  definition  of 
common sets of input, output, result and outcome indicators both quantitative or qualitative) ; 

- second, the results of a first evaluation on the operation of the framework programme to be 
made available in 2010, at the time of the review of the Hague Programme; the results of this 
evaluation will also feedback into the management and operation of the programme ; 

- third, evaluations of the results of the multiannual programmes under the Funds, to be made 
available in 2012, to draw useful lessons in view of their renewal and 2015, to ascertain their 
impact. 

The policy developments and the results of evaluations also require the possibility to review 
the programme, and to adapt it if necessary to new or changing needs and priorities:  

- in 2009, the possibility of reviewing certain aspects of the operation of the Funds, such as 
the financial distribution keys in the areas of integration and external borders, notably, in the 
case of integration, in light of the results of the final evaluation of preparatory actions initiated 
in 2005.  

-  by  the  end  of  2010,  on  the  basis  of  the  first  evaluation,  in  order  to  set  out  the  main 
orientations and priorities on the future of the framework programme. 

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4. 

FINANCIAL RESOURCES 

The  overall  amount  foreseen  for  the  framework  programme  “Solidarity and  management  of 
migration  flows”  is  5.866  million  euro  for  the  period  2007-2013  (in  current  prices).  Within 
this  envelope,  1.184  million  euro  are  foreseen  for  asylum;  759  million  for  the  return  Fund; 
1.771 million euro for integration of third-country nationals; and finally 2.152million euro for 
external  borders  management.  The  amounts  allocated  to  the  Member  States  will  not  be 
transferable from one Fund to another. 

In  addition  to  the  overall  amount  for  the  above  framework  programme,  for  the  FRONTEX 
Agency,  an  indicative  amount  of  285.1  million  euro  is  foreseen  for  the  period  2007-2013, 
while the implementation of large-scale information systems has been estimated at over 900 
million  euro;  finally,  the  possible  setting-up  of  an  European  Migration  Observatory  as  a 
follow-up to current preparatory actions has also been budgeted for, to an indicative amount 
of 62.3 million euro for the same period. 

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ANNEX  

Establishing a framework programme on Solidarity and the Management of Migration 
Flows for the period 2007-2013 

Complementarity with agencies and other instruments  
in the area of Freedom, Security and Justice 

Several  complementary  instruments  are  foreseen  under  the  Financial  Perspectives  to 
contribute to the achievement of the policy objectives set in the area of Justice, Freedom and 
Security: 

–  The  framework  programmes  that  will  replace  the  multitude  of  budget  lines  that  the 

Commission currently manages in this field ; 

–  Community financing of agencies and Community or Union bodies ; 

–  Development and management of related large scale information systems. 

The following agency related to the area of the above framework programme will be covered 
under the new financial perspectives: 

•  European  Agency  for  the  Management  of  Operational  Cooperation  at  the  External 
Borders,  established  by  Council  Regulation  (EC)  No  2007/2004  of  26  October  2004 
establishing  a  European  Agency  for  the  Management  of  Operational  Cooperation  at  the 
External Borders of the Member States of the European Union (OJ L 349, 25.11.2004, p. 
1). 

Other  existing  instruments  will  remain  in  force,  while  not  being  covered  by  the  new 
framework  programme.  These  instruments  relate  to  the  development  and  implementation  of 
large scale IT systems in the areas of asylum, migration and external border policies, and were 
established by legislative acts of the Council and/or European Parliament: 

•  The  EURODAC  system,  established  by  Council  Regulation  (EC)  No  2725/2000  of  11 
December  2000  concerning  the  establishment  of  'Eurodac'  for  the  comparison  of 
fingerprints for the effective application of the Dublin Convention (OJ L 316, 15/12/2000, 
p. 1) and of  Council Regulation (EC) No 343/2003 of 18 February 2003 establishing the 
criteria  and  mechanisms  for  determining  the  Member  State  responsible  for  examining  an 
asylum application lodged in one of the Member States by a third-country national (OJ L 
050 , 25/02/2003 p. 1). 

•  the Visa Information System (VIS), established by Council Decision 2004/512/EC of 8 
June  2004  establishing  the  Visa  Information  System  (VIS)  (OJ  L  213,  15/06/2004  p.  5), 
and for which the Commission has put forward a proposal (COM(2004)835) setting out the 
purpose, the functionalities of and responsibilities for the Visa Information System (VIS), 

•  The Schengen Information System (SIS II), for which the Commission intends to present 
a proposal for a European parliament and Council Regulation by the end of the first quarter 
2005. 

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The development and operation of these information systems are long term commitments, and 
the  legislative  acts  establishing  them  do  not  contain  provisions  limiting  their  duration.  In 
addition to the extension anticipated for enlargement, further developments of functionalities 
cannot be excluded over the period 2007-2013. 

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EXPLANATORY MEMORANDUM 

1. 

INTRODUCTION 

The preparation of the financial perspectives for 2007-2013 has been guided from the outset 
by a policy-led approach, in order to ensure consistency between political objectives and the 
amounts  allocated  to  pursue  them.  In  this  context,  the  establishment  of  an  area  of  freedom, 
security and justice is considered to be one of the main priorities of the European Union for 
the  years  to  come,  to  be  supported  through  substantially  increased  financial  means.  In  its 
Communications « Building our common Future - Policy challenges and Budgetary means of 
the  Enlarged  Union  2007-2013»4  and  « Financial  Perspectives  2007  –  2013 »5,  the 
Commission also underlined the importance of using the revision of the legal instruments for 
the  next  financial  perspectives  to  create  a  significant  movement  towards  greater  simplicity. 
Structuring  its  proposals  around  three  general  and  policy-led  programmes  (“Solidarity  and 
management  of  migration  flows”,  “Fundamental  Rights  and  Justice”,  “Security  and 
safeguarding freedoms”), the Commission sets out a clear framework for the development of 
financial  interventions  of  the  Community  in  support  of  the  three  objectives  of  Justice, 
Freedom and Security. 

The content of these programmes was outlined in a Commission working document6, which 
identified the following key objective for the “Solidarity and management of migration flows” 
general  programme:  to  support  the  principle  of  solidarity  in  managing  people  flows  by 
ensuring  a  fair  share  of  responsibilities  between  Member  States  as  concerns  the  financial 
burden  arising  from  the  introduction  of  an  integrated  management  of  the  Union’s  external 
borders and from the implementation of common policies on asylum and immigration. (..) 

This  solidarity  should  enhance  and  support  the  implementation  of  Community  policy  and 
legislation relating to four complementary dimensions of management of migration flows: 

•  integrated management of external borders, in order to ensure an equivalent and uniform 

level of protection at the external borders; 

•  asylum policy, as is already the case under the European Refugee Fund7 in order to support 
the  development  and  implementation  of  a  common  European  asylum  policy  based  on 
solidarity between Member States and promote a balance in the efforts made by Member 
States in bearing the consequences of receiving refugees and displaced persons; 

•  fight  against  illegal  immigration,  and  in  particular  the  return  of  illegally  resident  third-

country nationals in the EU or persons irregularly migrating towards the EU; 

4 
5 
6 

7 

COM(2004) 101, 10.2.2004 
COM(2004) 487, 14.7.2004 
Communication of Mr Vitorino to the Commission, 28 September 2004 (SEC(2004)1195) "Giving an 
operational dimension to the area of freedom, security and justice: Policy context and orientations for 
future financial interventions”. 
Council Decision 2004/904/EC of 2 December establishing the European Refugee Fund for the period 
2005 to 2010 - OJ L 381, 28.12.2004.. 

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14 

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•  admission  and  integration  of  third  country  nationals,  in  particular  as  regards  their  social, 
civic and cultural integration, in order to enable them to settle and take actively part in all 
aspects of European societies. 

2. 

JUSTIFICATION  OF  THE  ACTION  -  MODIFICATION  TO  THE  EUROPEAN  REFUGEE 
FUND 

The  first  expression  of  this  solidarity  was  the  creation  of  the  ERF  in  20008,  on  the  basis  of 
three years of preparatory actions. The Fund, which was backed by the European Parliament 
and based on a proposal by the Commission, has been instrumental in laying the foundations 
of  collective  action  by  the  Community  for  the  reception  of  asylum-seekers  and  people 
requiring international protection as part of a comprehensive approach. It has also helped to 
secure  agreement  on  the  Directive  on  temporary  protection  in  the  event  of  a  mass  influx  of 
displaced  persons.  The  first  phase  of  legislative  harmonisation  establishing  the  common 
European asylum system is nearing completion, and under the terms of the original decision 
the Council had to review this decision by 31 December 2004 at the latest on the basis of a 
proposal by the Commission. 

A thorough evaluation and extensive consultation of the parties concerned was carried out in 
2003:  mid-term  evaluation  of  ERF  I  completed  in  November  2003,  a  broad-based  review 
conference held on 30-31 October 2003. Building on the results of this evaluation as well as 
on an extended impact assessment9, the Commission adopted on 12 February 2004 a proposal 
for  the  establishment  of  the  ERF  for  a  second  phase  running  from  2005  to  201010.  The 
Decision was adopted by the Council on 2 December 2004. 

The  second  phase  of  the  ERF  contains  many  provisions  and  mechanisms  that  are  now 
proposed for the three other Funds composing the “solidarity and management of migration 
flows” general programme: 

•  more  strategic  programming  of  Fund  operations,  with  the  Commission  being  given  a 
bigger leadership role and account being taken of the legislative framework adopted by the 
Community on asylum policy; 

•  the inclusion  in  the  criteria for distributing funds among the  Member States  not only the 
target  population,  but  also  the  fact  that  the  new  Member  States  in  particular  must  make 
structural investments to guarantee the effectiveness of national asylum systems; 

•  Programming and action lifecycles that yield more useful and viable results through multi-
annual strategies based on a consultation process (between national partners and between 
the Member States and the Commission); 

•  a  reinforcement  of  the  provisions  regarding  shared  management,  backed  up  by  increased 
support  at  Community  level  (a  common  financial  and  administrative  framework  and 

8 

9 
10 

Council Decision 2000/596/EC of 28 September 2000 establishing the European Refugee Fund for the 
period 2000-2004 - OJ L 252, 6.10.200, p.12. 
SEC(2004) 161, 12.2.2004. 
COM(2004) 102, 12.2.2004, proposal for a Council Decision establishing the European Refugee Fund 
for the period 2005-2010. 

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15 

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common  management  tools),  as  a  guarantee  that  the  instrument  is  implemented  in 
accordance with the principle of sound financial management. 

Furthermore,  the  proposal  provided  for  a  gradual  increase  in  the  budget,  more  substantial 
from 2008, as a solid expression of Community solidarity, with a view to reaching significant 
results  and  having  a  strong  impact  not  only  on  target  groups,  but  also  on  the  systems 
themselves. 

In view of the recent evaluation and review of this proposal, as well as of the duration of this 
instrument, the modifications to be made to the ERF within the framework of the adoption of 
the  “Solidarity  and  Management  of  Migration  Flows”  general  programme  under  the  new 
Financial perspectives therefore need to be focused on rationalisation of procedures (to align 
them to those proposed for the three other Funds), duration of implementation (extension until 
2013)  and  complementarity  and  synergy  (in  particular  as  regards  the  actions    under  the 
“Return Fund”). 

2.1. 

Duration of the instrument 

As the current phase of the ERF runs into 2010, it is proposed to prolong its duration until the 
end  of  the  financial  perspectives,  i.e.  2013.  In  operational  terms,  this  will  translate  into  the 
implementation  of  a  third  multiannual  programme  (2011-2013).  However,  as  the  Member 
States  are  currently  beginning  under  ERF  II  the  implementation  of  the  first  strategic 
multiannual programme, which runs from 2005 to the end of 2007, it is proposed that the date 
of  entry  into  force  of  this  proposal  is  at  the  beginning  of  the  first  year  of  the  second 
multiannual programme, that is on 1 January 2008. 

2.2. 

Rationalisation of the management and control systems 

  ERFII  (2005-2010)  already  contains  detailed  provisions  on 

The 
the  operational 
implementation  of  shared  management.  In  order  to  ensure  the  consistency  and  possible 
common arrangements with the management and control procedures of the other three funds 
proposed as part of this general programme, the Commission is proposing to adopt the same 
provisions for all four Funds. 

These  provisions  have  been  defined  taking  into  account  in  particular  the  reform  of  the 
structural funds delivery system11, as well as the orientations set out by the Commission for 
the definition of respective responsibilities of the Commission and the Member States in its 
Communication of 6 September 200412. In order not to complicate the implementation of the 
management  and  control  systems,  it  is  proposed  that  they  also  enter  into  force  after  the 
completion of the first multiannual cycle on 1 January 2008.  

11 

12 

Proposal  for  a  Council  regulation  laying  down  general  provisions  on  the  European  Regional 
Development Fund, the European Social Fund and the Cohesion Fund - COM(2004) 492, 14.7.2004. 
Communication  from  the  Commission  to  the  European  Parliament  and  the  Council  « The  respective 
responsibilities of the Member States and the Commission in the shared management of the Structural 
Funds  and  the  Cohesion  Fund  -  Current  situation  and  outlook  for  the  new  programming  period  after 
2006” - COM(2004) 580, 6.9.2004. 

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16 

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2.3. 

Complementarity and synergy 

The  ERF  was  the  first  Community  financial  instrument  expressing  solidarity  between  the 
Community  and  the  Member  States  dealing  with  the  consequences  of  the  establishment  of 
common  policies  in  the  area  of  external  borders,  and  common  immigration  and  asylum 
policies. With the proposal put forward of the creation of a coherent general programme , the 
ERF  becomes  part  of  an  ensemble  of  measures  aiming  at  creating  a  level-playing-field  at 
European level. 

To this end, this proposal, along with the draft decisions establishing the Fund for integration 
of  legally  staying  third  country  nationals,  the  External  Borders  Fund  and  the  Return  Fund 
provides  for  the  creation  of  mechanisms  ensuring a coherent  approach of the programming, 
implementation and evaluation of the four instruments. It also contains a modification of the 
scope of eligible actions as regards return, in order to prevent any overlap with the proposed 
Return Fund. Financing return measures for rejected asylum seekers should be done under the 
Return  Fund  and  shall  therefore  become  ineligible  within  the  framework  of  the  European 
Refugee Fund from the first year of the multiannual programme starting on 1st January 2008.  

The  reasons  for  this  dividing  line  between  the  two  Funds  are  set  out  in  more  detail  in  the 
extended impact assessment.  

3. 

ADAPTATION TO FURTHER DEVELOPMENTS 

The Commission shall bring forward a proposal revising the substance of the ERF at a later 
stage.  Amendments  would  take  into  account  in  particular  the  Hague  Programme  and  the 
Declaration  on  persons  under  national  resettlement  programmes  in  light  of  the  scope  of  the 
Council Decision on the ERF II for the period 2005 – 2010.  

The amendments would relate to the following issues:  

•  In the Declaration on persons under national resettlement programmes the Commission is 
invited to present a proposal for a modification of the European Refugee Fund by the end 
of 2005 to take into account the Council Conclusions of 2 November 2004 on improving 
access  to  durable  solutions.  Those  Council  Conclusions  had  asked  the  Commission  to 
come  forward  with  a  proposal  for  an  EU  Resettlement  Scheme.  Consequently,  in  a 
proposal for revising the ERF the arrangements for funding or part-funding of resettlement 
which takes place under the EU Resettlement Scheme, or indeed outside it, will need to be 
settled. 

•  The  Hague  Programme  calling  for  the  establishment,  in  2005,  of  “appropriate  structures 
involving  the  national  asylum  services  of  the  Member  States  with  a  view  to  facilitating 
practical and collaborative cooperation”. Consequently, consideration will need to be given 
how to support these structures.  

The  Communications  on  these  aspects  as  well  as  the  proposal  modifying  the  ERF  are 
scheduled for the autumn of 2005. 

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4. 

BUDGETARY IMPLICATIONS 

The financial statement attached to the proposal for the second phase of the ERF in February 
2004  remains  valid,  in  view  of  the  still  significant  number  of  asylum  applications  in  the 
member States. Voluntary return of rejected asylum seekers represents today a small part of 
the actions implemented through the Fund, and therefore it is unlikely that the suppression of 
these  actions  from  the  scope  of  the  Fund  will  have  significant  consequences  in  budgetary 
terms. 

The  prolongation  of  the  Fund  for  the  years  2011-2013  should  remain  in  line  with  the 
estimates made in 2004, taking into account the new priorities and actions that are likely to be 
added by the proposal forecast for the autumn of 2005. The financial allocation for the Fund 
for  2005  and  2006  was  EUR  114,09  million.  Under  the  Financial  Perspectives  proposed  by 
the Commission for 2007-2013 the allocation amounts to EUR 1.184million. For the period 
2008 – 2013 the amount is EUR 1.112,7 million.  

A  specific  amount  must  also  remain  available  as  a  reserve  for  the  implementation  of 
emergency measures. This amount (10 M€ per year) will remain unchanged during the period; 
it is necessary to cover the first few weeks of action in case of a mass influx of refugees, and 
can be after this time complemented by relevant modifications of the normal multiannual and 
annual programmes in the Member States.  

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2005/0046 (COD) 

Proposal for a 

DECISION OF THE EUROPEAN PARLIAMENT AND THE COUNCIL 

establishing the European Refugee Fund for the period 2008-2013 as part of the General 
programme ‘Solidarity and Management of Migration Flows’ 

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION, 

Having  regard  to  the  Treaty  establishing  the  European  Community,  and  in  particular 
Article 63(2)(b) thereof, 

Having regard to the proposal from the Commission13, 

Having regard to the opinion of the European Economic and Social Committee14, 

Having regard to the opinion of the Committee of the Regions15 

Acting in accordance with the procedure laid down in Article 251 of the Treaty16, 

Whereas: 

(1)  With  a  view  to  the  progressive  establishment  of  an  area  of  freedom,  security  and 
justice,  the  Treaty  establishing  the  European  Community  provides  both  for  the 
adoption of measures aimed at ensuring the free movement of persons, in conjunction 
with flanking measures relating to external borders controls, asylum and immigration, 
and for the adoption of measures relating to asylum, immigration and safeguarding the 
rights of third country nationals. 

(2) 

The European Council, at its special meeting in Tampere on 15 and 16 October 1999, 
reaffirmed  its  resolve  to  create  an  area  of  freedom,  security  and  justice.  For  that 
purpose, a common European policy on asylum and migration should aim both at fair 
treatment  of  third  country  nationals  and  better  management  of  migration  flows.  A 
common  policy  on  asylum,  including  a  Common  European  Asylum  System,  is  a 
constituent  part  of  the  European  Union's  objective  of  progressively  establishing  an 
area  of  freedom,  security  and  justice  open  to  those  who,  forced  by  circumstances, 
legitimately seek protection in the European Union. 

(3) 

Implementation  of  this  policy  should  be  based  on  solidarity  between  Member  States 
and  requires  the  existence  of  mechanisms  to  promote  a  balance  of  effort  between 
Member  States  in  receiving  and  bearing  the  consequences  of  receiving  refugees  and 

13 
14 
15 
16 

OJ C … 
OJ C … 
OJ C … 
OJ C… 

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(4) 

(5) 

(6) 

(7) 

(8) 

displaced  persons.  To  that  end,  a  European  Refugee  Fund  was  established  for  the 
period 2000-2004 by Decision 2000/596/EC17. This decision was replaced by Council 
Decision 2004/904/EC of 2 December 2004 establishing the European Refugee Fund 
for  the  period  2005  to  201018.  This  ensured  continued  solidarity  between  Member 
States  in  the  light  of  recently  adopted  Community  legislation  in  the  field  of  asylum, 
taking account of the experience acquired when implementing the Fund for the period 
2000-2004. 

In  light  of  the  Commission  proposals  establishing  the  Fund  for  the  Integration  of 
legally staying third country nationals, the Fund for the return of illegally staying third 
country  nationals  (hereafter  ‘Return  Fund’)  and  the  external  borders  Fund  for  the 
period  2007-2013,  as  part  of  the  general  programme  ‘Solidarity  and  Management  of 
Migration  Flows’,  in  particular  in  view  of  setting  out  common  management,  control 
and evaluation arrangements, a new European Refugee Fund should be established. 

It  is  necessary  to  adapt  the  duration  of  the  Fund  to  the  duration  of  the  multiannual 
financial  framework  as  set  out  in  the  Inter-institutional  agreement  applicable  for  the 
period 2008-2013. 

This instrument is designed to form part of a coherent framework entitled the General 
programme  ‘Solidarity  and  Management  in  Migration  Flows’,  which  aims  at 
addressing  the  issue  of  a  fair  share  of  responsibilities  between  Member  States  as 
concerns  the  financial  burden  arising  from  the  introduction  of  an  integrated 
management of the Union’s external borders and from the implementation of common 
policies on asylum and immigration, as developed in accordance with Title IV of the 
Treaty establishing the European Community.  

It  is  appropriate  to  support  the  efforts  made  by  Member  States  to  grant  appropriate 
reception conditions to refugees and displaced persons and to apply fair and effective 
asylum  procedures  so  as  to  protect  the  rights  of  persons  requiring  international 
protection. 

The  integration  of  refugees  into  the  society  of  the  country  in  which  they  are 
established is one of the objectives of the Geneva Convention of 28 July 1951 relating 
to the Status of Refugees, as supplemented by the New York Protocol of 31 January 
1967.  Such  persons  must  be  enabled  to  share  the  values  set  out  in  the  Charter  of 
Fundamental Rights of the European Union. To this end, there should be support for 
action by Member States to promote their social, economic and cultural integration in 
so  far  as  it  contributes  to  the  economic  and  social  cohesion,  the  maintenance  and 
strengthening  of  which  is  one  of  the  Community’s  fundamental  objectives  provided 
for by Articles 2 and 3(1)(k) of the Treaty.  

(9) 

Practical  support  is  needed  to  create  or  improve  conditions  enabling  refugees  and 
displaced  persons  to  take  an  informed  decision  to  leave  the  territory  of  the  Member 
States and return home, should they so wish, in complementarity with the provisions 
of the European Return Fund. 

17 
18 

OJ L 252, 6.10.2002, p. 12. 
OJ L 381, 28.12.2004. 

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20 

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(10)  A  financial  reserve  should  be  established  for  the  implementation  of  emergency 
measures  to  provide  temporary  protection  in  the  event  of  a  mass  influx  of  refugees 
pursuant to Council Directive 2001/55/EC of 20 July 2001 on minimum standards for 
giving temporary protection in the event of a mass influx of displaced persons and on 
measures  promoting  a  balance  of  efforts  between  Member  States  in  receiving  such 
persons and bearing the consequences thereof 19. 

(11)  The  support  provided  by  the  Fund  will  be  more  efficient  and  better  targeted  if  co-
financing  of  eligible  actions  is  based  on  two  multiannual  programmes  and  on  an 
annual  work  programme  drawn  up  by  each  Member  State  taking  into  account  its 
situation and needs.  

(12) 

(13) 

It is fair to allocate resources proportionally to the burden borne by each MemberState 
through  its  efforts  in  receiving  refugees  and  displaced  persons,  including  refugees 
enjoying international protection within the framework of national programmes.  

In the context of shared management as referred to in Article 53 (1), point (b) of the 
Council  Regulation  (EC,  Euratom)  No  1605/2002  of  25  June  2002  on  the  Financial 
Regulation  applicable  to  the  general  budget  of  the  European  Communities20,  the 
conditions allowing the Commission to exercise its responsibilities for implementation 
of  the  general  budget  of  the  European  Communities  should  be  specified  and  the 
obligations  for  the  cooperation  of  the  Member  States  clarified.  Applying  these 
conditions will enable the Commission to satisfy itself that Member States are using 
the Fund in a lawful and correct manner and in accordance with the principle of sound 
financial management within the meaning of Article 27 of the Financial Regulation. 

(14)  The Commission should establish the indicative breakdown of available commitment 

appropriations using an objective and transparent method. 

(15)  Under  technical  assistance,  the  Fund  should  provide  support  for  evaluations, 
improvement  of  administrative  capacity  linked  to  the  management  of  the  Fund, 
studies,  pilot  projects  and  exchanges  of  experience  intended,  in  particular,  to 
encourage innovative approaches and practices. 

(16)  Member States should adopt adequate measures to guarantee the proper functioning of 
the  management  and  control  system.  To  this  end,  it  is  necessary  to  establish  general 
principles and necessary functions which all programmes shall fulfil.  

(17) 

It is necessary to provide for the designation of a single responsible authority for the 
management  of  the  Fund’s  interventions  in  each  Member  State  and  to  clarify  its 
responsibilities. Designation and the functions of the audit authority should be also be 
foreseen. In addition, in order to guarantee uniform quality standards concerning the 
certification  of  expenditures  before  their  transmission  to  the  Commission  and  to 
clarify the nature and quality of the information on which declarations of expenditure 
are based it is necessary to provide for the designation of the certification authority. 

19 
20 

OJ L 212, 7.8.2001, p. 12. 
OJ L 248, 16.9.2002, p.1. 

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21 

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(18) 

In  accordance  with  the  principles  of  subsidiarity  and  proportionality,  Member  States 
the 
the 
have 
interventions. 

implementation  and  control  of 

the  primary  responsibility  for 

(19)  The obligations on the Member States as regards management and control systems, the 
certification  of  expenditure,  and  the  prevention,  detection  and  correction  of 
irregularities  and  infringements  of  Community  law  should  be  specified  to  guarantee 
efficient and correct implementation of their multiannual and annual programmes. In 
particular, as far as management and control are concerned , it is necessary to establish 
the  modalities  by  which  Member  States  ensure  that  the  systems  are  in  place  and 
function satisfactorily. 

(20)  Without  prejudice  to  the  Commission’s  powers  as  regards  financial  control, 
cooperation  between  the  Member  States  and  the  Commission  in  this  field  should  be 
increased  and  the  criteria  should  be  established  which  allow  the  Commission  to 
determine,  in  the  context  of  its  strategy  of  control  of  national  systems,  the  level  of 
assurance it can obtain from national audit bodies. 

(21)  The  effectiveness  and  impact  of  actions  supported  by  the  Fund  also  depend  on  their 
evaluation.  The  responsibilities  of  the  Member  States  and  the  Commission  in  this 
regard, and arrangements to ensure the reliability of evaluation, should be formalised. 

(22)  Actions should be evaluated with a view to a mid-term review and impact assessment, 
into  project  monitoring 

the  evaluation  process  should  be 

incorporated 

and 
arrangements. 

(23)  This  Decision  establishes  a  financial  framework  for  the  entire  duration  of  the 
programme, which is to be the principal point of reference for the budgetary authority 
within  the  meaning  of  point  33  of  the  interinstitutional  agreement  of  6  May  1999 
between  the  European  Parliament,  the  Council  and  the  Commission  on  budgetary 
discipline and improvement of the budgetary procedure21. 

(24)  Since  the  objective  of  this  Decision,  namely  to  promote  a  balance  of  effort  between 
Member States  in  receiving  refugees  and  displaced  persons,  cannot  be  sufficiently 
achieved by the Member States and can therefore by reason of the scale and effects of 
the action be better achieved at Community level, the Community may adopt measures 
in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty. In 
accordance  with  the  principle  of  proportionality,  as  set  out  in  that  Article,  this 
Decision does not go beyond what is necessary to achieve this objective. 

(25)  The measures necessary for the implementation of this Decision should be adopted in 
accordance  with  Council  Decision  1999/468/EC  of  28  June  1999  laying  down  the 
procedures for the exercise of implementing powers conferred on the Commission.22 

(26) 

In  accordance  with  Articles  1  and  2  of  the  Protocol  on  the  position  of  Denmark, 
annexed to the Treaty on European Union and to the Treaty establishing the European 
Community,  Denmark  is  not  taking  part  in  the  adoption  of  this  Decision  and  is  not 
bound by it nor subject to its application, 

21 
22 

OJ C 172, 18.6.1999, p. 1. 
OJ L 184, 17.7.1999, p. 23. 

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HAVE ADOPTED THIS DECISION: 

CHAPTER I 
SUBJECT-MATTER, OBJECTIVES AND ACTIONS 

Article 1 

Subject matter and scope  

This  decision  establishes  for  the  period  from  1  January  2008  to  31  December  2013  the 
European  Refugee  Fund,  hereinafter  referred  to  as  « The  Fund »,  as  part  of  the  general 
programme "Solidarity and Management of Migration Flows" , in order to contribute to the 
strengthening of the area of Freedom, Security and Justice. 

This  decision  defines  the  objectives  to  which  the  Fund  contributes,  its  implementation,  the 
available  financial  resources  and  the  distribution  criteria  for  the  allocation  of  the  available 
financial resources. . 

It  establishes  the  Fund’s  management  rules,  including  financial  ones  as  well  as  monitoring 
and control mechanisms based on a share of responsibilities between the Commission and the 
Member States. 

Article 2 

General Objectives of the Fund 

1. 

2. 

The general objective of the Fund shall be to support and encourage the efforts made 
by  the  Member States  in  receiving  and  bearing  the  consequences  of  receiving 
refugees  and  displaced  persons,  taking  account  of  Community  legislation  in  these 
matters by co-financing the actions provided for by this Decision. 

The Fund shall contribute to the financing of the technical assistance on the initiative 
of the Member States or the Commission. 

Article 3 

Eligible actions in the Member States 

1. 

The  Fund  shall  support  actions  in  Member  States  relating  to  one  or  more  of  the 
following: 

(a) 

reception conditions and asylum procedures; 

(b) 

(c) 

integration of persons referred to in Article 6 whose stay in the Member State 
is of a lasting and stable nature; 

voluntary  return  of  persons  referred  to  in  Article 6  (1),  (2)  and  (4),  provided 
they have not acquired a new nationality, and of persons referred to in Article 6 

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(3), provided they have not received a negative decision further to their request 
for international protection. 

2. 

As regards reception conditions and asylum procedures, eligible actions shall include 
the following: 

(a) 

accommodation infrastructure or services; 

(b) 

provision of material aid and medical or psychological care; 

(c) 

social assistance, information or help with administrative formalities; 

(d) 

legal aid and language assistance; 

(e) 

(f) 

education, language training and other initiatives which are consistent with the 
status of the person; 

the  provision  of  support  services  such  as  translation  and  training  to  help 
improve  reception  conditions  and  the  efficiency  and  quality  of  asylum 
procedures; 

(g) 

information  for  local  communities  who  will  be  interacting  with  those  being 
received in the host country. 

3. 

As regards integration into Member States' society of persons referred to in Article 6 
and members of their family, eligible actions shall include the following : 

(a) 

(b) 

(c) 

advice  and  assistance  in  areas  such  as  housing,  means  of  subsistence, 
integration into the labour market, medical, psychological and social care; 

actions  enabling  recipients  to  adapt  to  the  society  of  the  Member  State  in 
socio-cultural  terms,  and  to  share  the  values  enshrined  in  the  Charter  of 
Fundamental Rights of the European Union; 

actions  to  promote  durable  and  sustainable  participation  in  civil  and  cultural 
life; 

(d)  measures 

focusing  on  education,  vocational 

training, 

recognition  of 

qualifications and diplomas; 

(e) 

(f) 

actions designed to promote self-empowerment and to enable these persons to 
provide for themselves; 

actions  that  promote  meaningful  contact  and  constructive  dialogue  between 
these  persons  and  the  receiving  society,  including  actions  which  promote  the 
involvement  of  key  partners  such  as  the  general  public,  local  authorities, 
refugee  associations,  voluntary  groups,  social  partners  and  the  broader  civil 
society; 

(g)  measures  to  support  the  acquisition  of  skills  by  these  persons,  including 

language training; 

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24 

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(h) 

actions  that  promote  both  equality  of  access  and  equality  of  outcomes  in 
relation to these persons' dealings with public institutions. 

4. 

As regards actions relating to voluntary return, the following, in particular, shall be 
eligible for support from the Fund: 

(a) 

(b) 

information  and  advisory  services  concerning  voluntary  return  initiatives  or 
programmes; 

information  on  the  situation  in  the  country  or  region  of  origin  or  former 
habitual residence; 

(c) 

general or vocational training and help with reintegration; 

(d) 

(e) 

action by communities of origin resident in the European Union to facilitate the 
voluntary return of the persons referred to in this Decision; 

actions  which  facilitate  the  organisation  and  implementation  of  national 
voluntary return programmes. 

Actions  provided  for  by  paragraph  1  to  4  shall,  in  particular,  promote  the 
implementation of the provisions of the relevant Community legislation in the field 
of the common European asylum system. 

Actions  shall  take  account  of  the  specific  situation  of  vulnerable  persons  such  as 
minors,  unaccompanied  minors,  disabled  people,  elderly  people,  pregnant  women, 
single parents with minor children, and persons who have been subjected to torture, 
rape or other serious forms of psychological, physical or sexual violence. 

Article 4 

Actions of interest to the Community 

At  the  Commission's  initiative,  up  to  7%  of  the  Fund's  available  resources  may  be 
used  to  finance  transnational  actions  or  actions  of  interest  to  the  Community  as  a 
whole (“Community actions”) concerning asylum policy and measures applicable to 
the target groups referred to in Article 6.  

5. 

6. 

1. 

2. 

To be eligible for funding, Community actions shall in particular: 

(a) 

(b) 

further Community cooperation in implementing Community law and 
good practices; 

support the setting-up of transnational cooperation networks and pilot 
projects based on transnational partnerships between bodies located in 
two  or  more  Member  States  designed  to  stimulate  innovation, 
facilitate exchanges of experience and good practice and improve the 
quality of return policy; 

(c) 

support transnational awareness-raising campaigns; 

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25 

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(d) 

(e) 

(f) 

support  studies,  dissemination  and  exchange  of  information  on  best 
practices  and  all  other  aspects  of  the  Fund,  including  on  the  use  of 
state of the art technology; 

support  pilot  projects  and  studies  exploring  the  possibility  of  new 
forms of Community cooperation and Community law in this area;  

support  development  of  statistical  tools,  methods  and  common 
indicators.  

3. 

The annual work programme laying down the priorities for Community actions shall 
be adopted in accordance with the procedure referred to in Article 51(2). 

Article 5 

Emergency Measures 

1. 

In  the  event  of  temporary  protection  mechanisms  within  the  meaning  of  Directive 
2001/55/EC  being  implemented,  the  Fund  shall  also  finance  measures  to  help  the 
Member  States,  such  measures  being  separate  from,  and  in  addition  to,  the  actions 
referred to in Article 3. 

2. 

Eligible emergency measures shall concern the following types of action: 

(a) 

reception and accommodation; 

(b) 

provision of means of subsistence, including food and clothing; 

(c) 

medical, psychological or other assistance; 

(d) 

staff and administration costs linked to the reception of persons concerned and 
implementation of measures; 

(e) 

logistical and transport costs. 

Article 6 

Target Groups 

1. 

For  the  purposes  of  this  Decision  the  target  groups  shall  comprise  the  following 
categories: 

(1) 

any third-country national or stateless person having the status defined by the 
Geneva Convention of 28 July 1951 relating to the Status of Refugees and the 
1967 protocol thereto and who is permitted to reside as refugee in one of the 
Member States; 

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26 

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(2) 

(3) 

(4) 

any  third-country  national  or  stateless  person  enjoying  a  form  of  subsidiary 
protection within the meaning of Council Directive 2004/83/EC23; 

any third-country national or stateless person who has applied for one of the 
forms of protection described in points 1 and 2; 

any  third-country  national  or  stateless  person  enjoying  temporary  protection 
within the meaning of Directive 2001/55/EC. 

2. 

Third  country  national  means  any  person  who  is  not  a  Union  citizen  within  the 
meaning of Article 17(1) of the Treaty. 

CHAPTER II 
PRINCIPLES OF ASSISTANCE 

Article 7 

Complementarity, consistency and compliance 

1. 

2. 

3. 

1. 

2. 

The  Fund  shall  provide  assistance  which  complements  national,  regional  and  local 
actions, integrating into them the priorities of the Community. 

The Commission and the Member States shall ensure that assistance from the Fund 
and the Member States is consistent with the activities, policies and priorities of the 
Community.  This  consistency  shall  be  indicated  in  particular  in  the  multiannual 
programme referred to in Article 19. 

Operations financed by the Fund shall comply with the provisions of the Treaty and 
of acts adopted under them. 

Article 8 

Programming 

The  objectives  of  the  Fund  shall  be  pursued  in  the  framework  of  two  multiannual 
programming  periods  (2008-2010  and  2011-2013).  The  multiannual  programming 
system  shall  include  the  priorities  and  a  process  of  management,  decision  making, 
auditing and certification. 

The multiannual programmes adopted by the Commission shall be implemented by 
means of annual programmes. 

Article 9 

Subsidiary and proportional intervention 

23 

OJ L 304, 30.9.2004, p. 12. 

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27 

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1. 

2. 

1. 

Implementation of multiannual and annual programmes referred to in Articles 19 and 
21 shall be the responsibility of Member States at the appropriate territorial level, in 
accordance  with  the  institutional  system  specific  to  each  Member  State.  This 
responsibility shall be exercised in accordance with this Decision. 

The  means  employed  by  the  Commission  and  the  Member  States  shall  vary 
according to the size of the Community contribution in relation to audit provisions. 
Differentiation  shall  also  apply  to  provisions  on  evaluation  and  to  the  reports  on 
multiannual and annual programmes. 

Article 10 

Implementation methods 

The  Community  budget  allocated  to  the  Fund  shall  be  implemented  in  accordance 
with  Article  53  (1),  point  (b)  of  Council  Regulation  (EC,  Euratom)  No  1605/2002, 
with  the  exception  of  the  Community  Actions  referred  to  in  Article  4  and  the 
technical assistance referred to in Article 16. 

The Member States and the Commission shall ensure compliance with the principle 
of sound financial management.  

2. 

The Commission exercises its responsibility for implementing the general budget of 
the European Communities by: 

a) 

b) 

checking  the  existence  and  proper  functioning  of  management  and  control 
systems in the Member States in accordance with the procedures described in 
Article 32; 

interrupting or suspending all or part of payments in accordance with Articles 
41 and 42 if the national management and control systems fail, and by applying 
any  other  financial  correction  required,  in  accordance  with  the  procedures 
described in Articles 45 and 46. 

Article 11 

Additionality 

1. 

2. 

Contributions from the Fund shall not replace public or equivalent expenditure by a 
Member State.  

The Commission shall, in cooperation with each Member State, verify additionality 
mid-term by 31 December 2012 and ex-post by 31 December 2015. 

Article 12 

Partnership  

28 

EN 

   EN 

 
1. 

Each  Member  State  shall  organise,  in  accordance  with  current  national  rules  and 
practices, a partnership with the authorities and bodies which it designates, namely: 

a) 

b) 

the competent regional, local, urban and other public authorities; 

any  other  appropriate  body  representing  civil  society,  non-governmental 
organisations, including the social partners. 

Each  Member  State  shall  ensure  broad  and  effective  involvement  of  all  the 
appropriate bodies, in accordance with national rules and practices. 

2. 

The  partnership  shall  be  conducted  in  full  compliance  with  the  respective 
institutional, legal and financial jurisdiction of each partner category. 

The partnership shall cover preparation, implementation, monitoring and evaluation 
of the multiannual programmes. 

CHAPTER III 
FINANCIAL FRAMEWORK 

Article 13 

Global resources 

1. 

2. 

3. 

The  financial  reference  amount  for  the  implementation  of  the  Fund  from 
1 January 2008 to 31 December 2013 shall be EUR 1.112,7 million.  

The  annual  appropriations  for  the  Fund  shall  be  authorised  by  the  budgetary 
authority within the limits of the financial perspectives. 

The  Commission  shall  make  indicative  annual  breakdowns  by  Member  States  in 
accordance with the criteria established in Article 14. 

Article 14 

Annual distribution of resources for eligible actions in the Member States 

1. 

Each  Member  State  shall  receive  a  fixed  amount  of  EUR  300.000  from  the  Fund's 
annual allocation.  

This amount shall be fixed at EUR 500.000 per annum for the period 2008-2013 for 
the states which acceded to the European Union on 1 May 2004. 

This amount shall be fixed at EUR 500.000 per annum for Member States which will 
accede to the European Union in the period 2008 – 2013 for the remaining part of the 
period 2008 - 2013 from the year following their accession.  

2. 

The remainder of the available annual resources shall be broken down between the 
Member States as follows:  

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29 

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(a) 

(b) 

30%  in  proportion  to  the  number  of  persons  admitted  in  one  of  the 
categories referred to in Articles 6 (1) and (2) over the previous three 
years; 

70% in proportion to the number of persons referred to in Article 6 (3) 
and (4) registered over the previous three years. 

The reference figures shall be the latest statistics produced by the Statistical Office of 
the European Communities in accordance with Community law on the collection and 
analysis of asylum data. 

Where the statistics referred to in paragraph 3 are not available, Member States shall 
provide the necessary figures. 

Article 15 

Financing structure 

The Fund’s financial contribution shall take the form of grants. 

Actions  supported  by  the  Fund  shall  be  co-financed  by  public  or  private  sources, 
shall be of a non-profit nature and shall not be eligible for funding from other sources 
covered by the general budget of the European Communities. 

Fund  appropriations  shall  be  complementary  to  public  or  equivalent  expenditure 
allocated by Member States to the measures covered by this Decision. 

The Community contribution to supported projects, as regards actions implemented 
in  the  Member  States  under  Article  3  shall  not  exceed  50%  of  the  total  cost  of  a 
specific action. 

This may be increased to 60% for projects addressing specific priorities identified in 
the Commission multiannual guidelines as defined in Article 18. 

This shall be increased to 75% in the Member States covered by the Cohesion Fund. 

As  a  general  rule,  Community  financial  aid  granted  for  actions  supported  by  the 
Fund  shall  be  given  for  a  period  of  no  more  than  three  years,  subject  to  periodic 
progress reports. 

Article 16 

Technical assistance at the initiative of the Commission 

At  the  initiative  of  and/or  on  behalf  of  the  Commission,  the  Fund  may  finance  the 
preparatory measures, monitoring, administrative and technical support measures, as 
well  as  evaluation,  audit  and  inspection  measures  necessary  for  implementing  this 
Decision, within the limits of 0,20% of the Fund’s annual allocation. 

3. 

4. 

1. 

2. 

3. 

4. 

5. 

1. 

2. 

Those actions shall include: 

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30 

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(a) 

studies, evaluations, expert reports and statistics, including those of a 
general nature concerning the operation of the Fund; 

(b)  measures  aimed  at  the  partners,  the  beneficiaries  of  assistance  from 

the Fund and the general public, in particular information measures; 

(c) 

(d) 

the  installation,  operation  and  interconnection  of  computerised 
systems for management, monitoring, inspection and evaluation; 

improvements in evaluation methods and the exchange of information 
on practices in this field. 

Article 17 

Technical assistance of the Member states 

At  the  initiative  of  the  Member  State  in  question,  for  each  annual  programme,  the 
Fund  may  finance  preparatory  measures,  management,  monitoring,  evaluation, 
information and control measures, as well as measures for the reinforcement of the 
administrative capacity for the implementation of the Fund.  

The annual amount set aside for technical assistance may not exceed 4 % of the total 
annual amount of co-financing allocated to the Member State, plus EUR 30 000. 

CHAPTER IV 
PROGRAMMING 

Article 18 

Adoption of strategic guidelines 

For  each  multiannual  programme,  the  Commission  shall  adopt  strategic  guidelines 
setting  out a  framework  for  the  intervention  of  the  Fund,  taking  into  account  the 
progress in development and implementation of Community legislation in the area of 
asylum policy as well as the indicative distribution of the financial resources of the 
Fund for the period of the multiannual programme. 

For each of the objectives of the Fund, those guidelines shall in particular give effect 
to the priorities of the Community with a view to promoting the implementation of 
the Common European Asylum System. 

The Commission shall adopt the strategic guidelines relating to the first multiannual 
programming period (2008-2010) on 31 March 2007 at the latest, and those relating 
to the second multiannual programming period (2011-2013) on 31 March 2010 at the 
latest. 

The strategic guidelines shall be adopted in accordance with the procedure referred 
to in Article 52(2). 

1. 

2. 

1. 

2. 

3. 

4. 

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Article 19 

Preparation and approval of national multiannual programmes 

1. 

Each  Member  State  shall  for  each  programming  period  and  on  the  basis  of  the 
strategic guidelines referred to in Article 18 propose a draft multiannual programme 
which shall include the following elements: 

(a) 

(b) 

(c) 

(d) 

(e) 

a  description  of  the  current  situation  in  the  Member  State  as  regards 
arrangements  for  reception,  asylum  procedures,  integration  and 
voluntary return of the persons covered by Article 6; 

an analysis of requirements in the Member State in question in terms 
of reception, asylum procedures, integration and voluntary return and 
an  indication  of  operational  objectives  designed  to  meet  these 
requirements  during 
the  multiannual 
programme; 

the  period  covered  by 

presentation of an appropriate strategy to achieve these objectives and 
the  priorities  attached  to  their  attainment,  and  a  description  of  the 
actions envisaged to implement these priorities;  

indication  of  whether  this  strategy  is  compatible  with  other  regional, 
national and Community instruments; 

information  on  the  priorities  and  their  specific  targets.  Those  targets 
shall  be  quantified  using  a  limited  number  of  indicators  for 
the 
implementation,  results  and 
proportionality  principle.  The  indicators  must  make  it  possible  to 
measure  the  progress  in  relation  to  the  baseline  situation  and  the 
effectiveness of the targets implementing the priorities;  

into  account 

impact, 

taking 

(f) 

a draft financing plan which sets out, for each priority and each year, 
the Fund’s proposed financial contribution and the overall amount of 
public or private co-financing; 

(g) 

implementing provisions for the multiannual programme, including:  

• 

• 

• 

• 

designation by the Member State of all the entities stipulated in 
Article 25;  

a  description  of  the  implementation,  monitoring,  control  and 
evaluation systems;  

a  definition  of  the  procedures  for  the  mobilisation  and 
circulation  of  financial  flows 
their 
transparency; 

to  ensure 

in  order 

the  provisions  laid  down  to  ensure  that  the  multiannual 
programme is publicised;  

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32 

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2. 

3. 

The Member States shall establish each multiannual programme in close cooperation 
with the partners referred to in Article 12.  

Member  States  shall  submit  their  draft  multiannual  programme  no  later  than  four 
months after the Commission has provided the strategic guidelines for the period in 
question. 

4. 

The Commission shall appraise the proposed multiannual programme in light of: 

(a) 

(b) 

(c) 

(d) 

its  consistency  with  the  objectives  of  the  Fund  and  the  strategic 
guidelines defined in Article 18, 

the relevance, appropriateness and expected results of the strategy and 
operational priority themes proposed by the Member State; 

the compliance of the management and control arrangements set up by 
the Member State for the implementation of the Fund’s interventions 
with the provisions set out in this Decision;  

its  compliance  with  Community 
in  particular  with 
Community  law  aiming  at  ensuring  the  free  movement  of  persons  in 
conjunction with the directly related flanking measures with respect to 
external borders controls, asylum and immigration.  

law  and 

Where the Commission considers that a multiannual programme is inconsistent with 
the  strategic  guidelines  or  does  not  comply  with  the  provisions  of  this  decision 
setting out management and control arrangements, it shall request the Member State 
to revise the proposed programme accordingly. 

The  Commission  shall  adopt  each  multiannual  programme  within  four  months 
following  its  formal  submission,  in  accordance  with  the  procedure  referred  to  in 
Article 52(2).  

Article 20 

Revision of multiannual programmes 

At  the  initiative  of  the  Member  State  in  question  or  the  Commission,  multiannual 
programme  shall  be  re-examined  and,  if  necessary,  revised  for  the  rest  of  the 
programming period in order to take greater or different account of the Community 
priorities, particularly in the light of Council conclusions. Multiannual programmes 
may  be  re-examined  in  the  light  of  evaluations  and  /  or  following  implementation 
difficulties.  

The  Commission  shall  adopt  a  decision  on  the  revision  of  the  multiannual 
programme  as  soon  as  possible  after  the  formal  submission  of  a  request  by  the 
Member State concerned. 

5. 

6. 

1. 

2. 

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33 

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Article 21 

Annual programmes 

The multiannual programmes adopted by the Commission shall be implemented by 
means of annual work programmes. 

The Commission shall provide the Member States, no later than 1 July of each year, 
with an estimate of the amounts to be allocated to them for the following year from 
the total appropriations allocated under the annual budgetary procedure, calculated as 
provided by Article 14. 

The  Member  States  shall  submit  to  the  Commission,  no  later  than  1  November  of 
each  year,  a  draft  annual  programme  for  the  following  year,  established  in 
accordance with the multiannual programme and including :  

(a) 

(b) 

(c) 

the  general  rules  for  selection  of  projects  to  be  financed  under  the 
annual programme; 

a description of the tasks to be carried out by the responsible authority 
when implementing the annual programme; 

the proposed financial breakdown of the Fund’s contribution between 
the  programme’s  various  actions  and  an  indication  of  the  amount 
requested  to  cover  technical  assistance  under  Article  17  for  the 
purpose of implementing the annual programme. 

When examining the Member State’s proposal, the Commission shall take account of 
the  final  amount  of  the  appropriations  allocated  to  the  Fund  under  the  budgetary 
procedure and shall adopt the decision on co-financing from the Fund no later than 1 
March of the year in question. The decision shall indicate the amount allocated to the 
Member State and the period for which the expenditure is eligible. 

Article 22 

Special provisions concerning emergency measures 

Member States shall provide the Commission with a statement of requirements and 
an  implementation  plan  for  the  emergency  measures  provided  for  by  Article  5, 
including  a  description  of  the  planned  measures  and  the  bodies  responsible  for 
implementing them. 

Financial  assistance  from  the  Fund  for  the  emergency  measures  provided  for  by 
Article 5 shall be limited to a period of six months and shall not exceed 80 % of the 
cost of each measure. 

Available resources shall be distributed among the Member States on the basis of the 
number  of  persons  benefiting  from  temporary  protection  in  each  Member  State  as 
referred to in Article 5(1). 

1. 

2. 

3. 

4. 

1. 

2. 

3. 

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CHAPTER V 
MANAGEMENT AND CONTROL SYSTEMS 

Article 23 

Implementation 

The  Commission  shall  be  responsible  for  implementing  this  Decision  and  shall  adopt  such 
implementing rules as may be necessary. 

Article 24 

General Principles in the management and control systems 

The  management  and  control  systems  of  multiannual programmes set  up  by  Member  States 
shall provide for:  

(a) 

(b) 

(c) 

(d) 

(e) 

(f) 

(g) 

a clear  definition of the  functions of the  bodies and / or departments 
concerned  in  management  and  control  and  a  clear  allocation  of 
functions within each body; 

a  clear  separation  of  functions  between  bodies  and  departments 
concerned in management, certification of expenditure and control and 
between those functions within each body; 

adequate resources for each body and / or department to carry out the 
functions  which  have  been  allocated  to  it  throughout  the  period  of 
implementation of actions financed by the Fund; 

effective  internal  control  arrangements  of  the  responsible  authority 
and any delegated authority; 

reliable  accounting,  monitoring  and  financial  reporting  systems  in 
computerised form; 

effective  system  of  reporting  and  monitoring  where  the  performance 
of tasks is delegated; 

detailed  manuals  of  procedures  in  relation  to  the  functions  to  be 
performed; 

(h) 

effective arrangements for the audit of the functioning of the system; 

(i) 

(j) 

systems and procedures to ensure a sufficient audit trail; 

procedures  concerning 
the 
irregularities and the recover of amounts unduly paid.  

reporting  and 

the  monitoring  of 

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Article 25 

Designation of authorities 

1. 

For each multiannual programme the Member State shall designate the following : 

(a) 

(b) 

(c) 

a  responsible  authority :  a  functional  body  of  the  Member  State  or 
national  public  authority  or  body  designated  by  the  Member  State, 
which  shall  be  responsible  for  the  management  of  multi-annual  and 
annual  programmes  supported  by  the  Fund  and  shall  handle  all 
communication with the Commission ; 

a certifying authority: national public authority or body operationally 
independent  of  any  authorising  department  of  the  responsible 
authority,  designated  by  the  Member  State  to  certify  declarations  of 
expenditure  and  applications  for  payment  before  they  are  sent  to  the 
Commission; 

an  audit  authority:  national  public  authority  or  body  operationally 
independent  of  the  responsible  authority  designated  by  the  Member 
State  and  responsible  for  verifying  the  sound  operation  of  the 
management and control system;  

(d) 

where appropriate, a delegated authority; 

(e) 

a compliance assessment body which shall be designated at the time of 
submission to the Commission of each draft multiannual programme. 
The  Commission  may  accept  the  designated  audit  authority  as  the 
compliance assessment body where it has the necessary capacity and 
operational independence. It must carry out its work according to the 
international audit standards. 

2. 

3. 

4. 

1. 

The Member State shall lay down rules governing its relations with those authorities 
and bodies and their relations with the Commission.. 

Subject to Article 24 (b), control and certification functions may be carried out by the 
same body or department. 

The rules for implementing Articles 26 to 30 shall be adopted by the Commission in 
accordance with the procedure referred to in Article 52(2). 

Article 26 

Responsible authority 

The responsible authority may be a body of the Member State itself, a national public 
authority,  as  well  as  a  body  governed  by  the  private  law  of  the  Member State  and 
which  has  a  public-service  mission.  Where  the  Member  State  designates  a 
responsible  authority  which  is  not  a  body  of  the  Member  State  itself,  it  shall  lay 
down  all  the  arrangements  governing  its  relations  with  the  said  authority  and  the 
latter’s relations with the Commission. 

EN 

36 

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2. 

The responsible authority shall meet the following minimum conditions. It shall: 

(a) 

(b) 

(c) 

have  legal  personality,  except  where  it  is  a  functional  body  of  the 
Member State; 

have  the  infrastructure  required  for  easy  communication  with  a  wide 
range  of  users  and  with  the  responsible  bodies  in  the  other  Member 
States and the Commission; 

work  in  an  administrative  context  allowing  it  to  carry  out  its  tasks 
correctly and avoiding any conflict of interest;  

(d) 

be in a position to apply Community fund management rules; 

(e) 

(f) 

have financial and management capacities proportionate to the volume 
of Community funds which it will be called upon to manage;  

have  at 
its  disposal  personnel  with  appropriate  professional 
qualifications  and  language  skills  for  administrative  work  in  an 
international environment.  

3. 

The Member State shall provide the responsible authority with adequate funding so 
that  it  can  carry  out  its  tasks  properly  and  uninterruptedly  throughout  the  period 
2008-2013. 

Article 27 

Tasks of the responsible authority 

1. 

The responsible authority shall have responsibility for efficient, effective and correct 
managing and implementation of the multiannual programme. 

It shall in particular: 

(a) 

(b) 

consult  relevant  partners  (non-governmental  organisations,  local 
authorities, competent international organisations, social partners etc.) 
through the partnership established in Article 12; 

submit  to  the  Commission  proposals  for  multiannual  and  annual 
programmes defined in Articles 19 and 21; 

(c) 

organise and advertise calls for tenders and proposals; 

(d) 

(e) 

organise  selection  and  award  procedures  for  Fund  co-financing  in 
accordance  with  the  principles  of  transparency,  equal  treatment  and 
non-combination of grants; 

receive payments made by the Commission, and make payments to the 
beneficiaries; 

EN 

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(f) 

(g) 

(h) 

(i) 

(j) 

(k) 

(l) 

ensure  consistency  and  complementarity  between  co-financing  under 
the  Fund  and  from  other  relevant  national  and  Community  financial 
instruments; 

verify  the  delivery  of  the  co-financed  products  and  services  and  that 
the  expenditure  declared  for  actions  has  actually  been  incurred  and 
complies with Community and national rules; 

ensure that there is a system for recording and storing in computerised 
form  detailed  accounting  records  of  each  action  under  the  annual 
programmes  and  that  the  data  on  implementation  necessary  for 
financial management, monitoring, control and evaluation is collected; 

that  beneficiaries  and  other  bodies 

ensure 
the 
implementation  of  actions  cofinanced  by  the  Fund  maintain  either  a 
separate  accounting  system  or  an  adequate  accounting  code  for  all 
transactions relating to the operation; 

involved 

in 

ensure that the evaluations of  multiannual programmes referred to in 
Article  49  are  carried  out  within  the  time  limits  laid  down  in  this 
Decision  and  meet  the  quality  standards  agreed  between  the 
Commission and the Member State; 

set up procedures to ensure that all documents regarding expenditure 
and  audits  required  to  ensure  an  adequate  audit  trail  are  held  in 
accordance with the requirements referred to in Article 43; 

ensure  that  the  audit  authority  receives,  for  the  purposes  of  carrying 
out  the  audits  defined  in  Article  29(1)  all  necessary  information  on 
management procedures operated and the projects co-financed by the 
Fund; 

(m) 

ensure that the certifying authority receives all necessary information 
on the procedures and audits carried out in relation to expenditure for 
the purpose of certification; 

(n) 

(o) 

(p) 

draw  up  and  submit  to  the  Commission  reports,  statements  of 
expenditure  certified  by  the  certifying  authority  and  applications  for 
payment ; 

carry out information and advisory activities; and disseminate results 
of supported actions; 

cooperate with the Commission and the responsible authorities in the 
other Member States.  

2. 

The  responsible  authority’s  management  activities  for  projects  implemented  in  the 
Member States can be financed under the technical assistance arrangements referred 
to in Article 17. 

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Article 28 

Delegation of tasks by the responsible authority 

3. 

4. 

Where  all  or  some  of  the  responsible  authority's  tasks  are  delegated  to  a  delegated 
authority, the responsible authority shall define the scope of the tasks delegated, and 
set out detailed procedures for the implementation of the delegated tasks, which shall 
comply with the conditions laid down in Article 26. 

These  procedures  shall  include  supplying  the  responsible  authority  with  regular 
information on the effective performance of the delegated tasks and a description of 
the means employed. 

Article 29 

Certifying authority  

1. 

The certifying authority of a multiannual programme shall: 

(a) 

certify that: 

– 

– 

the statement of expenditure is accurate, results from reliable accounting 
systems and is based on verifiable supporting documents, 

the  expenditure  declared  complies  with  applicable  Community  and 
national  rules  and  has  been  incurred  in  respect  of  actions  selected  in 
accordance with the criteria applicable to the programme and complying 
with Community and national rules; 

(b) 

(c) 

ensure  for  the  purposes  of  certification  that  it  has  received  adequate 
information  from  the  Responsible  Authority  on  the  procedures  and  audits 
carried out in relation to expenditure included in statements of expenditure; 

take account for the purposes of certification of the results of all audits carried 
out by or under the responsibility of the audit authority; 

(d)  maintain  accounting  records  in  computerised  form  of  expenditure  declared  to 

the Commission; 

(e) 

ensure  the  recovery  of  any  Community  financing  found  to  have  been  unduly 
paid  as  a  result  of  irregularities  detected,  together  with  interest  where 
appropriate, keeping an account of amounts recoverable and repaying amounts 
recovered to the Commission, where possible by deducting them from the next 
statement of expenditure. 

2. 

The certifying authority’s activities relating to projects implemented in the Member 
States  can  be  financed  under  the  technical  assistance  arrangements  referred  to  in 
Article 17, provided that the prerogatives of this authority as described in Article 25 
are respected.  

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39 

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Article 30 

Audit authority 

1. 

The audit authority of a multiannual programme shall : 

(a) 

(b) 

(c) 

ensure  that  audits  are  carried  out  in  accordance  with  international 
audit  standards  to  verify  the  effective  operation  of  the  management 
and control system of the multiannual programme; 

ensure  that  audits  are  carried  out  on  actions  on  the  basis  of  an 
appropriate  sample  to  verify  expenditure  declared;  the  sample  shall 
represent at least 10% of the total eligible expenditure for each annual 
programme; 

present  to  the  Commission  within  six  months  of  the  approval  of  the 
multiannual  programme  an  audit  strategy  covering  the  bodies  which 
will perform the audits referred to under points (a) and (b), the method 
to be used, the sampling method for audits on actions supported by the 
Fund  and  the  indicative  planning  of  audits  to  ensure  that  the  main 
beneficiaries  of  co-financing  by  the  Fund  are  audited  and  that  audits 
are spread evenly throughout the programming period. 

Where the designated audit authority under this decision is also the designated audit 
authority  under  Decisions…..,  ……  and  …………  24,  or  where  common  systems 
apply  to  two  or  more  of  these  Funds,  a  single  combined  audit  strategy  may  be 
submitted under point (c). 

The  audit  authority  shall  draft  a  final  report  on  the  implementation  of  the  annual 
programmes as defined in Article 50(2), which shall comprise:  

(a) 

(b) 

(c) 

an annual audit report setting out the findings of the audits carried out 
in  accordance  with  the  audit  strategy  in  respect  of  the  annual 
programme  reporting  any  shortcomings  found  in  the  systems  for  the 
management and control of the programme. 

an  opinion  as  to  whether  the  management  and  control  system  has 
functioned  effectively 
the 
correctness  of  the  statements  of  expenditure  presented  to  the 
Commission  and  the  legality  and  regularity  of  the  underlying 
transactions. 

to  give  a  reasonable  assurance  on 

a  declaration  assessing  the  validity  of  the  application  for  payment  of 
the  final  balance  and  the  legality  and  regularity  of  the  underlying 
transactions covered by the final statement of expenditure. 

Where the audits referred to in paragraph 1 are carried out by a body other than the 
audit authority, the audit authority shall ensure that such bodies have the necessary 

Insert  references  to  decisions  establishing  the  Return  Fund,  the  External  borders  fund  and  the 
integration fund 

2. 

3. 

4. 

24 

EN 

40 

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operational independence and that the work is performed according to internationally 
accepted audit standards. 

The activities of the audit authority or of the body referred to in paragraph 4 relating 
to  projects  implemented  in  the  Member  States  can  be  financed  under  the  technical 
assistance  arrangements  referred  to  in  Article  17,  provided  that  the  prerogatives  of 
this authority as described in Article 25 are respected.  

CHAPTER VI 
CONTROLS  

Article 31 

Responsibilities of the Member States 

Member  States  shall  be  responsible  for  ensuring  sound  financial  management  of 
multiannual  and  annual  programmes  and  the  legality  and  regularity  of  underlying 
transactions. 

They shall ensure that responsible authorities and any delegated authority, certifying 
authorities,  audit  authorities  and  any  other  bodies  concerned  receive  adequate 
guidance on setting up the management and control systems referred to in Articles 24 
to 30 to ensure that Community financing is used efficiently and correctly.  

The Member States shall prevent, detect and correct irregularities. They shall notify 
these to the Commission, and keep the Commission informed of the progress in the 
administrative and legal proceedings. 

When amounts unduly paid to a beneficiary cannot be recovered, the Member State 
is  responsible  for  reimbursing  the  amounts  lost  to  the  budget  of  the  European 
Communities. 

Member States shall be primarily responsible for the financial control of actions and 
shall ensure that management systems and audits are implemented in such a way as 
to  guarantee  that  Community  funds  are  used  properly  and  effectively.  They  shall 
provide the Commission with a description of these systems. 

Member  States  shall  cooperate  with  the  Commission  for  the  collection  of  the 
statistics needed for the implementation of Article 14. 

The detailed rules for implementing paragraphs 1 to 5 shall be adopted in accordance 
with the procedure referred to in Article 52(2). 

5. 

1. 

2. 

3. 

4. 

5. 

6. 

Article 32 

Management and control systems 

1. 

Prior  to  the  adoption  of  a  multiannual  programme,  the  Member  States  shall  ensure 
that  management  and  control  systems  have  been  set  up  in  accordance  with 

EN 

41 

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2. 

3. 

Articles 24  to  30.  They  shall  be  responsible  for  ensuring  that  the  systems  function 
effectively throughout the programming period. 

Member States shall submit to the Commission, together with each draft multiannual 
programme,  a  description  of  the  organisation  and  procedures  of  the  responsible 
authorities,  delegated  authorities  and  certifying  authorities,  and  the  internal  audit 
systems operating in those authorities and bodies, the audit authority, and any other 
bodies carrying out audits under its responsibility. 

Within three months of the submission to the Commission of each draft multiannual 
programme,  Member  States  shall  submit  a  report  established  by  the  compliance 
assessment body setting out the results of an assessment of the systems and giving an 
opinion  on  their  compliance  with  Articles 24  to  30.  In  the  event  that  the  opinion 
contains  reservations, 
their 
seriousness. Member States shall draw up, in agreement with the Commission, a plan 
setting  out  the  corrective  measures  to  be  taken  and  the  timetable  for  their 
implementation. 

the  shortcomings  and 

the  report  shall 

indicate 

4. 

The detailed rules for implementing paragraphs 1 to 3 shall be adopted in accordance 
with the procedure referred to in Article 52(2).  

Article 33 

Responsibilities of the Commission  

1. 

2. 

3. 

4. 

5. 

The  Commission  shall  satisfy  itself  in  accordance  with  the  procedure  laid  down  in 
Article  31  that  Member  States  have  set  up  management  and  control  systems  that 
comply  with  Articles  24  to  30,  and  on  the  basis  of  the  annual  audit  reports  and  its 
own audits that the systems function effectively during the period of implementation 
of the multiannual programmes. 

Without prejudice to audits carried out by Member States, Commission officials or 
authorised Commission representatives may carry out on-the-spot audits to verify the 
effective  operation  of  the  management  and  control  systems,  which  may  include 
audits  on  actions  included  in  the  annual  programmes,  with  a  minimum  of  one 
working  day’s  notice.  Officials  or  authorised  representatives  of  the  Member  State 
concerned may take part in such audits. 

The Commission may require Member States  to carry out an on-the-spot checks to 
verify  the  correct  functioning  of  the  systems  or  the  correctness  of  one  or  more 
transactions.  Commission  officials  or  authorised  Commission  representatives  may 
take part in such audits. 

The  Commission  shall,  in  cooperation  with  the  Member  States,  ensure  that 
appropriate information, publicity and follow-up are provided for actions supported 
by the Fund. 

The  Commission  shall,  in  cooperation  with  the  Member  States,  ensure  that  actions 
are  consistent  with,  and  complementary  to,  other  relevant  Community  policies, 
instruments and initiatives. 

EN 

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Article 34 

Cooperation with the control bodies of the Member States 

1. 

The  Commission  shall  cooperate  with  the  audit  authorities  of  multiannual 
programmes to coordinate their respective control plans and audit methods and shall 
immediately  exchange  the  results  of  audits  carried  out  on  management  and  control 
systems  in  order  to  make  the  best  possible  use  of  control  resources  and  to  avoid 
unjustified duplication of work. 

The  Commission  shall  provide  its  comments  on  the  audit  strategy  presented  under 
Article 30 not later than three months or at the first meeting following its reception. 

2. 

In  determining  its  own  audit  strategy,  the  Commission  shall  identify  those 
multiannual programmes  

(a) 

(b) 

which  comply  with  the  system  established  under  Article 32  without 
reservations or for which reservations have been withdrawn following 
corrective measures; and 

for which the audit strategy of the audit authority under Article 29 is 
satisfactory and where reasonable assurance has been obtained that the 
management and  control systems function effectively on the basis of 
the results of audits by the Commission and the Member State. 

For  those  programmes,  the  Commission  may  inform  the  Member  States  concerned 
that it will rely principally on the opinion of the audit authority as to the correctness, 
legality and regularity of expenditure declared and will carry out its own on-the-spot 
audits only in exceptional circumstances. 

CHAPTER VII 
FINANCIAL MANAGEMENT 

Article 35 

Eligibility – declarations of expenditure 

1. 

2. 

3. 

All declarations of expenditure shall include the amount of expenditure incurred by 
beneficiaries  in  implementing  the  actions  and  the  corresponding  contribution  from 
public or private funds.  

Expenditure  shall  correspond  to  the  payments  effected  by  the  beneficiaries.  It  shall 
be  justified  by  receipted  invoices  or  accounting  documents  of  equivalent  evidential 
value. 

Expenditure  may  be  considered  eligible  for  support  from  the  Fund  only  if  it  is 
actually  paid  no  earlier  than  1  January  of  the  year  referred  to  in  the  Commission 
decision on co-financing indicated in Article 21(4). The co-financed actions must not 
have been completed before the starting date for eligibility. 

EN 

43 

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4. 

The following expenditure shall not be eligible for a contribution from the Fund: 

– 

– 

– 

VAT; 

interest on debt; 

the  purchase  of  land  for  an  amount  exceeding  10%  of  the  total  eligible 
expenditure for the operation concerned; 

– 

housing. 

5. 

The  rules  governing  eligibility  of  expenditure  within  the  framework  of  actions 
implemented co-financed by the Fund in the Member States under Article 3 shall be 
adopted in accordance with the procedure provided for by Article 52(2). 

Article 36 

Wholeness of payment to beneficiaries 

Member  States  shall  satisfy  themselves  that  the  responsible  authority  ensures  that  the 
beneficiaries  receive  the  total  amount  of  the  contribution  from  public  funds  as  quickly  as 
possible. No amounts shall be deducted or withheld, nor any further specific charge or other 
charge  with  equivalent  effect  shall  be  levied  that  would  reduce  these  amounts  for  the 
beneficiaries. 

Article 37 

Use of the euro 

All amounts mentioned in the financing decisions by the Commission, in the  commitments 
and payments made by the Commission as well as the amounts of certified expenditure and 
requests for payment from the Member States shall be expressed and carried out in euro.  

Article 38 

Commitments 

Community budgetary commitments shall be made annually on the basis of the Commission 
decision on co-financing referred to in Article 21(4). 

Article 39 

Payments - Prefinancing 

Payments  by  the  Commission  of  the  contribution  from  the  Funds  shall  be  made  in 
accordance with the budget commitments. 

Payments  shall  take  the  form  of  pre-financing  and  payment  of  the  balance.  They 
shall be made to the responsible authority designated by the Member State. 

44 

   EN 

1. 

2. 

EN 

 
3. 

4. 

5. 

6. 

1 

2. 

3. 

A  pre-financing  payment  representing  50%  of  the  amount  allocated  in  the 
Commission’s  annual  decision  on  co-financing  by  the  Fund  shall  be  made  to  the 
Member State within sixty days following the adoption of the co-financing decision. 

A second pre-financing payment shall be made no more than three months after the 
Commission  has  approved  a  progress  report  on  implementation  of  the  annual 
programme  and  a  certified  declaration  of  expenditure  drawn  up  in  accordance  with 
Articles 29, point (a) and 35 accounting for at least 70% of the amount of the initial 
payment. The amount of the second pre-financing payment made by the Commission 
shall not exceed 50% of the total amount allocated by the co-financing decision or, in 
any event, the balance of the amount of Community funds actually committed by the 
Member State for selected projects under the annual programme minus the first pre-
financing payment. 

Interests  generated  by  pre-financing  payments  shall  be  assigned  to  the  programme 
concerned and must be deducted from the amount of public expenditure declared in 
the final statement of expenditure. 

The  amounts  paid  as  pre-financing  shall  be  cleared  from  the  accounts  when  the 
annual programme is closed. 

Article 40 

Balance payments 

The  Commission  shall  pay  the  balance  provided  it  has  received  the  following 
documents within nine months from the end date of eligibility of costs defined in the 
annual decision on co-financing by the Fund:  

(a) 

(b) 

(c) 

(d) 

a certified declaration of expenditure and a request for payment of the 
balance or declaration of reimbursement duly drawn up in accordance 
with Articles 29, point a) and 35;  

the  final  implementation  report  for  the  annual  programme,  including 
the information set out in Article 51; 

the audit report, opinion and declaration provided for in Article 30(3) ; 

The  payment  of  the  balance  is  subject  to  the  acceptance  of  the  final 
implementation report and of the statement of validity for the request 
for payment of the balance. 

If the responsible authority fail to provide the documents required in paragraph 1 by 
the due date and in an acceptable format, the Commission shall decommit any part of 
the  budget  commitment  of  the  corresponding  annual  programme  that  has  not  been 
used for payment of the pre-financing. 

The automatic cancellation procedure defined in paragraph 2 shall be suspended, for 
the  amount  of  the  projects  concerned,  where  legal  proceedings  or  administrative 
appeal  having  suspensory  effects  are  ongoing  at  Member  State  level  at  the  time  of 
submission of the documents defined in paragraph 1. The Member State shall, in the 

EN 

45 

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partial  final  report  submitted,  give  detailed  information  on  such  projects,  and  send 
reports  on  progress  made  with  regard  to  these  projects  every  6  months.  Within  3 
months  of  the  conclusion  of  the  legal  proceedings  or  administrative  appeal 
procedure, the Member State shall present the documents required in paragraph 1 for 
the projects concerned. 

The  nine  months  period  referred  to  in  paragraph  1  shall  be  interrupted  if  the 
Commission has adopted a decision suspending payments of the co-financing for the 
relevant  annual  programme  in  accordance  with  the  provisions  of  Article  41.  The 
period shall start to run again from the date when the Commission decision referred 
to in Article 42(3) has been notified to the Member State. 

Without prejudice to the provisions of Article 41, the Commission shall, within six 
months  of  receiving  the  documents  referred  to  in  paragraph  1,  inform  the  Member 
State of the amount of expenditure recognised by the Commission as chargeable to 
the  Fund,  and  of  any  financial  corrections  deriving  from  the  difference  between 
declared expenditure and the expenditure recognised. The Member State shall have 
three months to present its comments. 

Within  three  months  of  receiving  the  Member  State’s  comments,  the  Commission 
shall decide on the amount of expenditure recognised as chargeable to the Fund, and 
recover the balance arising from the difference between final recognised expenditure 
and the sums already paid to the Member States.  

Subject to available funding, the Commission shall pay the balance within no more 
than  sixty  days  from  the  date  on  which  it  accepts  the  documents  referred  to  in 
paragraph  one  above.  The  balance  of  the  budgetary  commitment  shall  be 
decommitted within six months following the payment. 

Article 41 

Interruption 

The  payment  deadline  shall  be  interrupted  by  the  authorising  officer  by  delegation 
within  the  meaning  of  Regulation  (EC,  Euratom)  No  1605/2002  for  a  maximum 
period  of  six  months  if  there  are  doubts  as  to  the  proper  functioning  of  the 
management  and  control  systems  or  if  officer  requires  additional  information  from 
the national authorities in the process of monitoring the observations made under the 
annual review, or if s/he suspects that serious irregularities, detected or presumed, are 
present in the expenditure declared. 

The  Commission  shall  inform  the  Member  State  concerned  and  the  responsible 
authority  immediately  of  the  reasons  for  the  interruption.  The  Member  State  shall 
take the necessary steps to correct the situation as soon as possible. 

The maximum period of six months shall be extended for another maximum period 
of six months if it proves necessary to adopt a decision in accordance with Articles 
42 and 45. 

4. 

5. 

6. 

7. 

1. 

2. 

3. 

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Article 42 

Suspension 

1. 

All  or  part  of  the  pre-financing  and  balance  payments  may  be  suspended  by  the 
Commission when: 

(a) 

(b) 

(c) 

there is a serious deficiency in the management and control system of 
the  programme  which  affects  the  reliability  of  the  procedure  for 
certification of payments and for which corrective measures have not 
been taken; or 

expenditure  in  a  certified  statement  of  expenditure  is  linked  to  a 
serious irregularity which has not been corrected; or 

a Member State has not complied with its obligations under Article 31 
and 32. 

2. 

3. 

4. 

The  Commission  may  decide  to  suspend  pre-financing  and  balance  payments  after 
having given the Member State the opportunity to present its observations within a 
period of three months.  

The Commission shall end suspension of pre-financing and balance payments when 
it  considers  that  the  Member  State  has  taken  the  necessary  measures  to  enable  the 
suspension to be lifted.  

If  the  required  measures  are  not  taken  by  the  Member  State,  the  Commission  may 
adopt a decision to reduce the net amount or cancel the Community contribution to 
the annual programme in accordance with Article 46. 

Article 43 

Conservation of documents 

The  responsible  authority  shall  ensure  that  all  the  supporting  documents  regarding 
expenditure  and  audits  on  the  annual  programme  concerned  are  kept  available  for  the 
Commission and the Court of Auditors.  

The documents shall be kept available at least for a period three years following the closure of 
an annual programme, without prejudice to the rules governing State aid. This period shall be 
interrupted either in the case of legal proceedings or at the request of the Commission stating 
the reasons. 

The documents shall be kept either in the form of the originals or in versions certified to be in 
conformity with the originals on commonly accepted data carriers.  

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CHAPTER VIII 
FINANCIAL CORRECTIONS 

Article 44 

Financial corrections established by the Member States 

1. 

2. 

Without prejudice to the Commission's responsibilities for implementing the general 
budget  of  the  European  Communities,  the  Member  States  shall  be  primarily 
responsible  for  investigating  irregularities.  They  shall  act  upon  evidence  of  any 
major change affecting the nature or the conditions for the implementation or control 
of assistance and make the required financial corrections. 

The Member States shall make the financial corrections required in connection with 
the  individual  or  systemic  irregularities  detected  in  actions  or  annual  programmes. 
The corrections made by the Member States shall consist in recovering all or part of 
the  Community  contribution.  The  Member  State  shall  take  into  account  the  nature 
and gravity of the irregularities and the financial loss to the Fund.  

Member  States  shall  include  in  the  annual  report  sent  to  the  Commission  under 
Article  50(2)  a  list  of  cancellation  proceedings  initiated  for  the  annual  programme 
concerned. 

The corrections made by the Member State shall consist in cancelling all or part of 
the Community contribution, and, where the amount is not repaid in the time allowed 
by the relevant Member State, default interest shall be due at the rate provided for by 
Article 47(2).  

3. 

In the case of systemic irregularities the Member State shall extend its enquiries to 
cover all operations liable to be affected. 

Article 45 

Audit of accounts and financial corrections by the Commission 

1. 

Without prejudice to the powers of the Court of Auditors or the checks carried out by 
the Member States in accordance with national laws, regulations and administrative 
provisions,  Commission  officials  or  authorised  Commission  representatives  may 
carry out on-the-spot checks, including sample checks, on the operations financed by 
the Fund and on management and control systems with a minimum of one working 
day’s notice. The Commission shall give notice to the Member State concerned with 
a  view 
the  assistance  necessary.  Officials  or  authorised 
representatives  of the Member State concerned may take part in such checks. 

to  obtaining  all 

The  Commission  may  require  the  Member  State  concerned  to  carry  out  an 
on-the-spot check to verify the correctness of one or more transactions. Commission 
officials or servants may take part in such checks. 

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48 

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2. 

1. 

2. 

3. 

4. 

If,  after  completing  the  necessary  verifications,  the  Commission  concludes  that  a 
Member State is not complying with its obligations under Article 31, it shall suspend 
the pre-financing or final payment in accordance with Article 42. 

Article 46 

Criteria for the corrections 

If the Member State has not made the corrections within the period as provided for in 
Article  42(2)  and  if  no  agreement  has  been  reached,  the  Commission  may  decide 
within three months to cancel all or part of the Community contribution to an annual 
programme when it concludes that:  

(a) 

(b) 

(c) 

there  is  a  serious  deficiency  in  the  management  and  control  system  of  the 
programme which has put at risk the Community contribution already paid to 
the programme; 

expenditure  contained  in  a  certified  statement  of  expenditure  is  irregular  and 
has  not  been  corrected  by  the  Member  State  prior  to  the  opening  of  the 
correction procedure under this paragraph; and 

a Member State has not complied with its obligations under Article 31 prior to 
the opening of the correction procedure under this paragraph. 

The Commission shall decide after having taken into account any comments made by 
the Member State.  

The  Commission  shall  base  its  financial  corrections  on  individual  cases  of 
irregularity  identified,  taking  account  of  the  systemic  nature  of  the  irregularity  to 
determine whether a flat-rate or extrapolated correction should be applied. Where the 
case  of  irregularity  relates  to  a  statement  of  expenditure  for  which  a  positive 
assurance had previously been given in accordance with Article 30(3), point b) in an 
annual  report,  there  will be  a presumption of a systemic problem giving rise to the 
application  of  a  flat-rate  or  extrapolated  correction,  unless  the  Member  State  can 
provide proof within three months to rebut this presumption.  

The Commission shall, when deciding the amount of a correction, take account of the 
importance  of  the  irregularity  and  the  extent  and  financial  implications  of  the 
deficiencies found in the annual programme concerned. 

Where the Commission bases its position on the facts established by auditors other 
than  those  of  its  own  services,  it  shall  draw  its  own  conclusions  regarding  the 
financial  consequences,  after  examining  the  measures  taken  by  the  Member  State 
concerned under Article 32, the reports of notified irregularities and any replies from 
the Member State. 

Article 47 

Repayment 

49 

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1. 

2. 

Any repayment due to be made to the Commission shall be effected before the due 
date indicated in the order for recovery drawn up in accordance with Article 72 of the 
Council  Regulation  (EC,  Euratom)  No  1605/200225.  This  due  date  shall  be  the  last 
day of the second month following the issuing of the order. 

Any  delay  in  effecting  repayment  shall  give  rise  to  interest  on  account  of  late 
payment, starting on the due date and ending on the date of actual payment. The rate 
of such interest shall be the rate applied by the European Central Bank to its principal 
refinancing  operations,  as  published  in  the  C  series  of  the  Official  Journal  of  the 
European Communities, in force on the first calendar day of the month in which the 
due date falls, increased by three and a half percentage points. 

Article 48 

Obligations of Member States 

A financial correction by the Commission shall not prejudice the Member State's obligation to 
pursue recoveries under Article 46. 

CHAPTER IX 
MONITORING, EVALUATION AND REPORTS 

Article 49 

Monitoring and evaluation 

1. 

2. 

3. 

The Commission shall carry out regular monitoring on the Fund in cooperation with 
the Member States. 

The  Fund  shall  be  evaluated  regularly  by  the  Commission  in  partnership  with  the 
Member  States  to  assess  the  relevance,  effectiveness  and  impact  of  actions  in  the 
light of the general objective referred to in Article 2.  

The  Commission  shall  also  look  at  the  complementarity  between  the  actions 
implemented  under  the  Fund  and  those  pursued  under  other  relevant  Community 
policies, instruments and initiatives. 

Article 50 

Reports 

1. 

In each Member State the responsible authority shall take the necessary measures to 
ensure project monitoring and evaluation. 

25 

OJ L 248, 16.9.2002. 

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50 

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2. 

3. 

4. 

1. 

To  that  end,  the  agreements  and  contracts  it  concludes  with  the  organisations 
responsible for the implementation of the actions shall include clauses laying down 
an  obligation  to  submit  regular  and  detailed  reports  on  the  state  of  progress  of 
implementation and completion of the assigned objectives. 

No later than nine months after the eligibility deadline for expenditure laid down in 
the co-financing decision for each annual programme, the responsible authority shall 
submit  a  final  implementation  report  and  a  final  declaration  of  expenditure  to  the 
Commission as provided by Article 35. 

The Member States shall submit to the Commission no later than 30 June 2012 (for 
the period 2008-2010) and 30 June 2015 (for the period 2011-2013) respectively, an 
evaluation report on the results and impact of actions co-financed by the Fund. 

The  Commission  shall  submit  to  the  European  Parliament,  the  Council,  the 
Economic and Social Committee and the Committee of the Regions no later than 31 
December  2012  for  the  period  2008-2010  and  31  December  2015  for  the  period 
2011-2013 respectively, an ex post evaluation report. 

Article 51 

Final annual report 

The  reports  referred  to  in  Article  50(2)  shall  include  the  following  information  in 
order  to  obtain  a  clear  view  of  the  implementation  of  the  annual  and  multiannual 
programmes: 

(a) 

(b) 

financial  and  operational 

the 
programme; 

implementation  of 

the  annual 

the  progress  made  in  implementing  the  multiannual  programme  and 
its  priorities  in  relation  to  their  specific,  verifiable  targets,  with  a 
quantification,  wherever  and  whenever  they  lend  themselves  to 
quantification,  of  the  physical  indicators  and  the  indicators  of 
implementation, results and impact for each priority concerned; 

(c) 

the steps taken by the responsible authority to ensure the quality and 
effectiveness of implementation, in particular: 

– 

– 

monitoring and evaluation measures, including data collection 
arrangements; 

a  summary  of  any  significant  problems  encountered  in 
implementing  the  operational  programme  and  any  measures 
taken; 

– 

the use made of technical assistance. 

(d) 

the  measures  taken  to  provide  information  on  and  make  public  the 
annual and multiannual programmes. 

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2. 

1. 

2. 

3. 

The reports shall be judged acceptable where they contain all the information listed 
in paragraph 1. The Commission shall reach a decision on the content of the annual 
report on implementation submitted by the responsible authority within two months. 
If the Commission does not respond within the time limit laid down, the report shall 
be deemed to be accepted. 

CHAPTER IX 
GENERAL AND FINAL PROVISIONS 

Article 52 

Committee 

The  Commission  shall  be  assisted  by  the  common  Committee  “Solidarity  and 
Management  of  Migration  flows”,  established  by  the  Decision  establishing  the 
External Borders Fund for the period 2007-2013 as part of the General programme 
‘Solidarity  and  Management  of  Migration  Flows’  ../…  (this  Decision  and  the 
decisions ….., …… and ….. )26 (“the “committee”).  

Where  reference  is  made  to  this  paragraph,  Articles  4  and  7  of  Decision 
1999/468/EC shall apply, having regard to the provisions of Article 8 thereof.  

The Committee shall adopt its Rules of Procedure. 

Article 53 

Review 

The  European  Parliament  and  the  Council  shall  review  this  Decision  on  the  basis  of  a 
proposal from the Commission by 30 June 2013 at the latest. 

Article 54 

Transitional provisions 

This Decision shall not affect the continuation or modification, including the total or 
partial  cancellation,  of  assistance  approved  by  the  Commission  on  the  basis  of 
Decision 2004/904/EC, or any other legislation which applies to that assistance on 31 
December 2007. 

When adopting decisions on cofinancing under this Fund,, the Commission shall take 
account of measures adopted on the basis of Decision 2004/904/EC before the entry 
into  force  of  this  Decision  which  have  financial  repercussions  during  the  period 
covered by that cofinancing. 

Insert  references  to  decisions  establishing  the  Return  Fund,  the  External  borders  fund  and  the 
integration fund 

1 

2. 

26 

EN 

52 

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3. 

4. 

5. 

Sums  committed  for  cofinancing  approved  by  the  Commission  between  1 January 
2005  and  31 December  2007  for  which  the  documents  required  for  closure  of  the 
programmes have not been sent to the Commission by the deadline for submitting the 
final  report  shall  be  automatically  decommitted  by  the  Commission  no  later  than 
31 December 2010, giving rise to the repayment of amounts unduly paid. 

Amounts  relating  to  operations  or  programmes  which  have  been  suspended  due  to 
legal  proceedings  or  administrative  appeals  having  suspensory  effect  shall  be 
disregarded in calculating the amount to be automatically decommitted. 

Member  States  shall  submit  to  the  Commission  no  later  that  30  June  2009  an 
evaluation  report  on  the  results  and  impacts  of  actions  cofinanced  by  the  Fund 
concerning the period 2005-2007. 

The  Commission  shall  submit  to  the  European  Parliament,  the  Council,  the 
Economic and Social Committee and the Committee of the Regions no later than 31 
December 2009, an intermediate report on the results achieved and on qualitative and 
quantitative aspects of implementation of the Fund for the period 2005-2007. 

Article 55 

Repeal 

Decision 2004/904/EC is hereby repealed with effect from 1 January 2008. 

Article 56 

Application  

This Decision shall apply from 1 January 2008. 

Article 57 

Addressees 

This Decision is addressed to the Member States. 

Done at Brussels,  

For the European Parliament 
The President 

For the Council 
The President 

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EXPLANATORY MEMORANDUM 

1. 

DEVELOPING SOLIDARITY IN THE AREA OF EXTERNAL BORDERS AND VISA POLICY 

1.1. 

Problem statement and analysis 

Ensuring  that  controls  on  external  borders  are  as  effective  as  possible  in  preventing  illegal 
entry  is  a  precondition  for  the  abolition  of  internal  borders  within  the  Schengen  area.  Once 
someone has entered the EU at a particular point he or she can then move virtually without 
restriction  to  other  Member  States,  irrespective  of  his/her  right  to  reside  (elsewhere)  in  the 
EU.  In  consequence,  every  Member  State  in  the  Schengen  area  has  an  interest  in  the 
effectiveness with which other Member States control the external borders for which they are 
responsible,  since  they  stand  to  be  adversely  affected  through  an  unwanted  influx  of  illegal 
migrants if this task is performed inefficiently. There is, therefore, a compelling argument for 
the adoption of common provisions at EC level in this regard and for establishing some means 
of  ensuring  minimum  standards  in  the  control  of  external  borders,  despite  ultimate 
responsibility remaining with the Member States concerned. This is explicitly recognised in 
the Schengen Convention, which lays down common rules on entry of third-country nationals 
into the EU. As a consequence, Member States with external borders have had to adapt their 
border checks and surveillance to the standards and procedures decided at EU level and will 
continue to have to do so in coming years. 

Comparatively few Member States have land and/or sea borders of any length or geopolitical 
importance  which  require  close  and  detailed  surveillance  -  these  bear  the  brunt  of  the 
responsibility  for  controlling  illegal  immigration  and  for  safeguarding  internal  security  by 
controlling the crossing of external borders of the Schengen area. They also as a result bear a 
disproportionate  share  of  the  costs  involved  not  only  in  preventing  illegal  entry  but  equally 
importantly  of  enabling  those  who  are  authorised  to  do  so  to  enter  without  undue  delay  or 
inconvenience.  

1.2. 

The way forward 

Burden-sharing  between  Member  States  and  the  Union  for  the  management  of  external 
borders  is  one  of  the  five  components  of  the  common  policy  for  the  management  of  the 
external  borders,  as  proposed  by  the  Commission  in  its  Communication  of  7  May  2002 
‘Towards  integrated  management  of  the  external  borders  of  the  Member  States  of  the 
European  Union  (COM  (2002)  233  final)  and  endorsed  by  the  Council  in  its  ‘Plan  of  the 
management of the external borders of the Member States of the European Union’ (Council 
Document 10019/02, 14 June 2002). 

The  European  Council  has,  on  several  occasions,  requested  the  creation  of  a  Fund  which 
supports  the  Member  States  who  endure,  for  the  benefit  of  the  Community,  a  lasting  and 
heavy financial burden in this respect. This is reflected in The Hague programme, adopted by 
the Council in November 2004 which underlines “the need for solidarity and fair sharing of 
responsibility including its financial implications between the Member States”. 

1.3. 

The objectives of the Fund  

The four main policy objectives to which the Fund shall contribute are: 

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54 

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•  to improve the efficiency of controls and thereby the effectiveness of the management and 
protection of external borders in order to reduce illegal entry and increase the security of 
the internal EU area of free movement; 

•  to make it easier and faster for authorised travellers to enter the EU in conformity with the 

Schengen acquis while protecting the EU against illegal entry; 

•  to achieve a uniform application of the EU law by Member States and an overall efficiency 

of national border guards in carrying out their tasks in accordance with EU law; 

•  to  enhance  the  efficiency  of  the  issuing  of  visas  and  the  implementation  of  other  pre-

frontier checks. 

It  is  proposed  that  this  Fund  also  supports  actions  relating  to  the  common  visa  policy.  An 
efficient visa management can be considered as a stage preliminary to external border control 
and  would  therefore  constitute  an  integral  part  of  a  common  integrated  border  management 
system in the EU, as suggested in the Hague Programme. 

Under these objectives will also be incorporated aspects of two existing financial instruments: 
the ‘Schengen Facility’ and the ‘Kaliningrad Facility’. 

•  According to Article 35(1) of the 2003 Act of Accession the ‘Schengen Facility’ has been 
created  to  support  Estonia,  Hungary,  Latvia,  Lithuania,  Poland,  the  Slovak  Republic  and 
Slovenia to finance actions at the new EU external borders for the implementation of the 
Schengen acquis. The Facility ends in 2006.  

•  In  accordance  with  Protocol  no  5  of  the  Lithuanian  Accession  Treaty  on  the  transit  of 
persons  by  land  between  the  region  of  Kaliningrad  and  other  parts  of  the  Russian 
Federation,  Commission  Decision  C(2003)  5213  sets  out  the  implementing  arrangements 
with regard to the Special Kaliningrad Transit Programme 2004 – 2006.  

The  Kaliningrad  Facility  is  replaced  by  specific  provisions  within  the  Fund.  The 
responsibility of the Lithuanian authorities to correctly implement the Community legislation 
facilitating the transit is part of the burden of Lithuania to control the external borders of the 
EU, that Lithuania  is taken up  on behalf of all Member States and it  is therefore better  if a 
contribution  is  established  within  the  framework  of  the  external  borders  instrument  than 
separately.  

1.4. 

The  complementarity  with  the  European  Agency  for  the  Management  of 
Operational Cooperation at the External Borders of the  Member  States  of the 
EU (‘Agency’) 

The  Fund  shall  contribute  to  the  above  four  objectives  in  complementarity  with  the  further 
development of relevant legislation and the work of the Agency.  

The  Agency  provides  the  Commission  and  the  Member  States  with  the  necessary  technical 
support and facilitates the application of existing and future Community measures on external 
borders. Consequently, the Fund shall only support actions by Member States at national level 
which  contribute  to  the  Community  objectives  and  not  actions  relating  to  the  co-operation 
with other Member States in the management of the external borders.  

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55 

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Moreover,  the  resources  set  aside  under  the  Fund  for  actions  of  interest  to  the  Community 
(‘Community actions’) will primarily relate to visa policy (objective no 4 under the Fund), a 
matter which does not fall under the competence of the Agency. 

1.5. 

The scope of the actions and the definition of ‘external borders’ 

As  the  Fund  advocates  solidarity  in  the  implementation  by  Member  States  of  the  Schengen 
provisions  on  external  borders,  Member  States  are  only  eligible  where  they  are  bound  by 
these provisions. 

Article 3(1) of the Act of Accession states that the provisions of the Schengen acquis and the 
acts building upon it or otherwise related to it, listed in Annex I to the Act, will be binding on 
and applicable in the new Member States from the date of accession.27 Provisions and acts not 
referred to in the Annex, while binding on the new Member States from the date of accession, 
will only apply in a new Member State pursuant to a Council decision to that effect taken in 
accordance with the article (Article 3(2) of the Act of Accession). 

This is the two-stage implementation procedure, whereby certain provisions of the Schengen 
acquis  are  binding  and  applicable  from  the  date  of  accession  to  the  Union  whereas  others, 
specifically  those  linked  intrinsically  to  the  removal  of  checks  at  the  internal  borders,  are 
binding  from  the  date  of  accession  but  applicable  in  the  new  Member  States  only  after  the 
Council decision referred to above. The Schengen provisions on external borders (Articles 3 
to 8 of the Schengen Convention and their implementing decisions, in particular the Common 
Manual)  are  listed  in  the  Annex  and  are  therefore  binding  on  and  applicable  to  the  new 
Member States from the date of accession.28 

Therefore,  new  Member  States  are  eligible  for  support  under  this  Fund  as  of  its  entry  into 
force on the 1 January 2007, even if Council Decisions have yet to be taken with respect to 
the application of the Schengen provisions on removing checks on persons for one or more of 
the new Member States concerned. All should be eligible for support under this Fund in order 
to  ensure  as  much  as  possible  continuity  with  the  Schengen  Facility  and  the  Transition 
Facility  as  regards  the  strengthening  of  external  borders  controls.  Bearing  in  mind  the 
consequence  of  the  Council  Decision(s)  in  question,  the  works  to  achieve  the  necessary 
control standards at the external borders of the new Member States should continue and the 
European Union should continue to support this preparation in the interest of the Community. 

This reasoning has the following consequences: 

•  For  the  purpose  of  the  annual  calculation  of  the  length  of  the  external  borders  under  the 
distribution  key,  all  external  borders  with  third  countries  not  associated  with  the 
implementation,  application  and  development  of  the  Schengen  acquis  will  be  counted. 
Moreover,  the  temporary  borders  will  be  counted  but  only  for  the  Member  States  which 
already fully implement the Schengen acquis. Consequently, only the temporary borders of 
Member  States  who  carry  out  border  controls  also  on  behalf  of  other  Member  States  are 
counted. This reflects the current situation, but it must be underlined that it is merely of a 
temporary  nature,  as  the  border  controls  are  to  be  lifted  completely  as  soon  as  possible. 
Indeed, as stated in the Hague Programme: “The European Council urges the Council, the 

27 
28 

OJ L 236, 23.9.2003, p. 33. 
With the exception of Article 5(1)(d), related to the consultation of the Schengen Information System. 

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Commission and the Member States to take all necessary measures to allow the abolition 
of controls at internal borders as soon as possible, provided all requirements to apply the 
Schengen  acquis  have  been  fulfilled  and  after the  Schengen  Information  System  (SIS  II) 
has become operational in 2007. Moreover, to underline further the provisional character 
of the temporary borders and to express the fact that the political priorities should be with 
supporting  the  ‘definitive’  borders,  it  is  proposed  that  the  temporary  borders  will  not  be 
given  the  same  weight  as  the  ‘definitive’  borders.  To  note  that,  by  taking  into  account 
temporary  borders  of  Member  States  fully  implementing  the  Schengen  acquis  until  the 
above-mentioned  Council  Decision(s)  is/are  adopted,  for  the  purpose  of  the  annual 
calculation under this Fund the length of the external land borders may exceed the length 
of the future definitive external borders of the Community. 

•  For  the  purpose  of  determining  actions  eligible  under  the  Fund,  all  actions  at  temporary 
borders  will  be  eligible,  except  when  such  actions  amount  to  a  structural  investment 
incompatible with the objective of the lifting of controls on persons at these borders. This 
means  that  investments  in  construction,  renovation  or  upgrading  of  border  crossing 
infrastructures and related buildings and non-interoperable equipment will not be eligible.  

In  view  of  enhancing  the  cooperation  at  national  level  between  services  charged  with  the 
control  of  persons  and  those  responsible  for  the  control  of  goods  (custom  services)  or  for 
other policies (police cooperation, the fight against illegal immigration), the Fund may cover 
actions  by  Member  States  which  improve  the  capacity  of  border  guards  in  exercising  their 
mission in this respect.  

Complementarity  with  customs  actions  will  also  be  ensured.  Close  cooperation  between  the 
authorities  for  control  of  persons  and  those  responsible  for  control  of  goods  will  be  of  the 
utmost importance to ensure that no gaps are left at the external borders.  

2. 

EVALUATIONS  

The Commission carried out an ex ante evaluation, which is annexed to this proposal. 

3. 

LEGAL BASIS AND RATIONALE OF THE POLICY INSTRUMENT  

3.1. 

Choice of legal basis 

The  proposed  legal  base  for  this  Council  Decision  is  Article  62(2)  because  this  legislation 
involves  “measures  on  the  crossing  of  the  external  borders  of  the  Member  States”  and 
specifically “standards and procedures to be followed by Member Stats in carrying out checks 
on  persons  at  such  borders”  (Article  62(2)(a))  and  “rules  on  visas  for  intended  stays  of  no 
more  than  three  months,  including  (…)  the  procedures  and  conditions  for  issuing  visas  by 
Member States” (Article 62(2)(b) (ii)). 

Because the proposal is based on Title IV of the EC Treaty (Visas, asylum, immigration and 
other  policies  related  to  free  movement  of  persons),  it  must  be  presented  and  adopted  in 
accordance with the protocols on the position of the United Kingdom, Ireland and Denmark, 
annexed to the Treaty of Amsterdam. 

Under  Article  6  of  the  protocol  integrating  the  Schengen  acquis  into  the  framework  of  the 
European  Union  (Schengen  protocol),  Norway  and  Iceland  are  also  associated  with  the 

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57 

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implementation  and  further  development  of  the  Schengen  acquis.  The  consequences  of  the 
various protocols are examined in point 6 below. 

3.2. 

Expressing solidarity in the allocation of the resources  

Without prejudice to the specific calculation in regard to the burden of the Kaliningrad transit 
Scheme,  the  resources  will  be  allocated  to  the  Member  States  on  the  basis  of  a  distribution 
key defining in general the relative burden of Member States in relation to integrated border 
management and the common visa policy. 

When expressing solidarity between Member States in this area the following should be borne 
in mind: 

•  The fact that a basic minimum work load exists regarding the control and surveillance of 
external  borders  and  the  common  visa  policy  for  each  Member  State,  based  on  a  set  of 
constant  elements,  namely  the  length  of  the  external  land  borders,  the  length  of  the  sea 
borders, the number of authorized border crossing points (land, air, sea) and the number of 
consular offices; 

•  The  fact  that  for  each  Member  State,  more  variable  factors  such  as  those  relating  to 
migratory  flows,  determine  the  actual  daily  ‘work  load’  of  the  authorities,  namely  the 
number  of  persons  crossing  the  external  borders  (land,  air,  sea);  the  number  of  third 
country nationals refused entry, the number of apprehended people and the number of visa 
applications (visas issued and visas refused). 

That’s why it is proposed that the distribution key will consist of two components: one related 
to the constant elements and one to more variable elements. The available resources would be 
broken down between the Member States as follows: 

•  40 % in proportion to the constant elements and 

•  60% in proportion to the variable elements. 

It  is  proposed  to  introduce  the  possibility  of  weighing  the  constant  elements  into  the  legal 
base and in this regard to consult the FRONTEX Agency before decisions are taken. 

Since the relevant data are those linked with people’s flows and visas and variation of these 
flows  are  likely  to  occur,  there  must  be  an  annual  calculation.  The  combination  of  such 
criteria  for  the  distribution  of  funds  will  ensure  that  evolutions  (relating  for  example  to 
changes  in  migratory  pressure  at  certain  border  crossing  points,  changes  of  routes  of  illegal 
migration) are duly taken into account, allowing corrective action to be taken with the support 
of the Fund. 

From  the  calculations  on  the  basis  of  the  distribution  key  are  excluded  the  resources  made 
available for the purpose of the Kaliningrad Transit Scheme. These resources are calculated 
on the basis of the foregone fees and the additional cost resulting from the Scheme. 

3.3. 

Actions defined within the Fund 

In  view  of  the  general  objectives  of  the  Fund  of  contributing  to  the  implementation  of 
effective  control  and  surveillance  of  our  external  borders  through  the  implementation  of 
financial  solidarity  between  the  Community  and  the  Member  States,  the  Commission 

EN 

58 

   EN 

 
proposes to implement the Fund mainly through shared management with the Member States 
and  through  decentralised  management  with  countries  associated  with  the  implementation, 
application  and  development  of  the  Schengen  acquis  (see  point  6).  This  will  allow  for  a 
financial support targeted in accordance with the specific situation and needs of each Member 
State and associated country. 

Furthermore, to ensure the use of funds in the most efficient way, the proposal contains very 
detailed provisions as regards the operational objectives to be achieved as well as the types of 
actions identified as contributing to these objectives. 

3.4. 

Programming, financial management and control systems 

In accordance with the need to rationalise and harmonise management  and  control  systems, 
the provisions of this proposal for a decision are aligned with the provisions proposed for the 
three other Funds under the general programme on “Solidarity and Management of Migration 
Flows”.  Programming  is  organised  on  a  multiannual  level,  with  two  programming  periods: 
2007-2010  and  2011-2013,  with  annual  programmes  implementing  the  multiannual 
programmes. 

4. 

SUBSIDIARITY AND PROPORTIONALITY 

Subsidiarity 

The  fundamental  principle  remains  that  of  Member  States’  responsibility  for  control  and 
surveillance  of  their  borders.  With  a  view  to  the  implementation  of  a  ‘common  integrated 
border  management  system’,  the  Fund  explicitly  supports  the  tasks  performed  by  Member 
States  also  on  behalf  of  all  Schengen  Member  States.  The  actions  to  be  supported  must 
therefore clearly be identified, linked to objective conditions in individual states and bringing 
added value to the Community as a whole. 

Proportionality 

The  decision  will  make  it  possible  to  provide  financial  support  from  the  Fund  to  a  list  of 
actions  which  contribute  operationally  to  a  series  of  identified  specific  objectives,  while 
leaving the Member States to select the actions and the way in which they are to be carried 
out  under  schemes  agreed  in  conjunction  with  the  Commission.  The  use  of  Community 
appropriations  must  also  be  subject  to  clear  and  uniform  rules  contained  in  a  Council 
decision, which is the appropriate instrument for implementing Community programmes. 

5. 

BUDGETARY IMPLICATIONS 

The  financial  allocation  for  the  Fund  under  the  Financial  Perspectives  proposed  by  the 
Commission for the 2007-2013 period is EUR 2.152 million. 

6. 

CONSEQUENCES OF THE VARIOUS PROTOCOLS ANNEXED TO THE TREATIES  

United Kingdom and Ireland 

EN 

59 

   EN 

 
According  to  Article  4  and  5  of  the  Protocol  integrating  the  Schengen  acquis  into  the 
framework  of  the  European  Union,  “Ireland  and  the  United  Kingdom  of  Great  Britain  and 
Northern  Ireland,  which  are  not  bound  by  the  Schengen  acquis,  may  at  any  time  request  to 
take part in some or all of the provisions of the acquis”. 

This proposal constitutes a development of provisions of the Schengen acquis, in which the 
United  Kingdom  and  Ireland  do  not  take  part,  in  accordance  with  Council  Decision 
2000/365/EC  of  29 May 200029  and  the  subsequent  Council  Decision  200/926/EC  of  22 
December  200430  concerning  the  request  of  the  United  Kingdom  of  Great  Britain  and 
Northern Ireland,  and  Council  Decision  2002/192/EC  of  28 February 2002  concerning 
Ireland's  request  to  take  part  in  some  of  the  provisions  of  the  Schengen  acquis.  The 
United Kingdom and Ireland are therefore not taking part in its adoption and are not bound by 
it or subject to its application. 

Denmark 

By the Protocol annexed to the Amsterdam Treaty on the position of Denmark, Denmark does 
not  take  part  in  the  adoption  by  the  Council  of  measures  pursuant  to  Title  IV  of  the  EC 
Treaty, with the exception of “measures determining the third countries whose nationals must 
be  in  possession  of  visas  when  crossing  the  external  borders,  or  measures  relating  to  a 
uniform format for visas” (former Article 100c of the EC Treaty). 

As this proposal constitutes a development of the Schengen acquis and following Article 5 of 
the Protocol, “Denmark shall decide within a period of 6 months after the Council has decided 
on a proposal or initiative to build upon the Schengen acquis under the provisions of Title IV 
of the Treaty establishing the European Community, whether it will implement this decision 
in its national law”. 

Norway and Iceland 

In  accordance  with  Article  6  first  indent  of  the  Schengen  Protocol,  an  agreement  has  been 
signed on 18 May 1999 between the Council, Norway and Iceland in order to associate those 
two  countries  with  the  implementation,  application  and  development  of  the  Schengen 
acquis31. 

Article  1  of  this  agreement  stipulates  that  Norway  and  Iceland  are  associated  with  the 
activities of the EC and the EU in the areas covered by the provisions referred to in Annexes 
A (provisions of the Schengen acquis) and B (provisions of acts of the European Community, 
which  have  replaced  corresponding  provisions  of,  or  adopted  pursuant  to,  the  Schengen 
Convention) of the agreement as well as by those which will follow from them. 

According to Article 2 of the agreement, the provisions of all acts or measures taken by the 
European  Union  amending  or  building  upon  the  integrated  Schengen  acquis  (Annex  A,  B) 
shall be implemented and applied by Norway and Iceland. 

The  present  proposal  builds  upon  the  Schengen  acquis  as  defined  in  Annex  A  of  the 
agreement. 

29 
30 
31 

OJ L 131, 1.6.2000, p. 43. 
OJ L 395, 31.12.2004, p. 70. 
OJ L 176, 10.7.99, p. 35 

EN 

60 

   EN 

 
                                                 
As a consequence its has to be discussed in the "Mixed Committee" as provided for in Article 
4  of  the  Agreement  to  give  the  possibility  to  Norway  and  Iceland  "to  explain  the  problems 
they  encounter  in  respect  of"  the  measure  and  "to  express  themselves  on  any  questions 
concerning the development of provisions of concern to them or the implementation thereof". 

Switzerland 

As  regards  Switzerland,  this  proposal  constitutes  a  development  of  the  provisions  of  the 
Schengen  acquis  within  the  meaning  of  the  Agreement  signed  by  the  European  Union,  the 
European  Community  and  the  Swiss  Confederation  on  the  latter's  association  with  the 
implementation,  application  and  development  of  the  Schengen  acquis  which  fall  within  the 
area referred to in Article 4(1) of Council decision 2004/860/EC on the signing, on behalf of 
the  European  Community,  and  on  the  provisional  application  of  certain  provisions,  of  that 
Agreement32. 

The Agreement with Switzerland, signed on 26.10.2004, provides for provisional application 
of  certain  provisions  upon  signature,  in  particular  the  participation  of  Switzerland  in  the 
Mixed Committee dealing with the development of the Schengen acquis. 

32 

OJ L 370, 17.12.2004, p. 78. 

EN 

61 

   EN 

 
                                                 
2005/0047 (COD) 

Proposal for a 

DECISION OF THE EUROPEAN PARLIAMENT AND THE COUNCIL 

establishing the External Borders Fund for the period 2007-2013 as part of the general 
programme ‘Solidarity and Management of Migration Flows’ 

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION, 

Having  regard  to  the  Treaty  establishing  the  European  Community,  and  in  particular 
Article 62, paragraph 2 thereof, 

Having regard to the proposal from the Commission33, 

Having regard to the opinion of the European Economic and Social Committee34, 

Having regard to the opinion of the Committee of the Regions35 

Acting in accordance with the procedure laid down in Article 251 of the Treaty36, 

Whereas: 

(1)  While  each  Member  State  contributes  to  a  high  and  uniform  level  of  control  on 
persons  and  surveillance  of  the  external  borders  of  the  European  Union  within  the 
framework of common rules,some Member States face a heavier burden than others. 

(2) 

(3) 

The  difference  of  the  burden  is  explained  by  the  different  situations  prevailing  in 
Member  States  as  regards  the  geography  of  the  external  border,  the  number  of 
authorised and operative border crossing points, the level of migratory pressure, both 
legal  and  illegal,  the  risks  and  threats  encountered  and  finally  the  workload  of  the 
national  services  regarding  the  examination  of  visas  applications  and  the  issuing  of 
visas. 

Burden-sharing between Member States and the Union for the management of external 
borders is one of the five components of the common policy for the management of 
the external borders, as proposed by the Commission in its Communication of 7 May 
2002 ‘Towards integrated management of the external borders of the Member States 
of the European Union37 and endorsed by the Council in its ‘Plan of the management 
of the external borders of the Member States of the European Union’38. 

33 
34 
35 
36 
37 
38 

OJ C … 
OJ C … 
OJ C … 
OJ… 
COM(2002) 23. 
Council Document 10019/02, 14 June 2002.  

EN 

62 

   EN 

 
                                                 
(4)  While the Council Regulation (EC) No 2007/2004 of 26 October 2004 establishing a 
European  Agency  for  the  Management  of  Operational  Cooperation  at  the  External 
Borders of the Member States of the European Union39 (hereafter referred to as “the 
Agency”)constitutes  an  important  step  towards  the  progressive  development  of  the 
operational  dimension  of  the  common  integrated  border  management  system,  the 
implementation of effective and common standards for control and surveillance of the 
external  borders  calls  for  a  Community  financial  solidarity  mechanism  in  order  to 
support  the  Member  States  who  endure,  for  the  benefit  of  the  Community,  a  lasting 
and heavy financial burden. 

(5) 

(6) 

The  External  Borders  Fund  (hereafter  referred  to  as  “the  Fund”)  should  express 
solidarity  through  financial  assistance  to  those  Member  States  who  apply  the 
Schengen provisions on external borders. 

Such financial assistance should be modulated in such a way to be at the same time a 
bridge  with  the  past  financial  contributions  of  the  European  Union  to  the  Member 
States who at the time of entry into force of this Decision do not yet apply all parts of 
the  provisions  of  the  Schengen  acquis,  without,  however,  constituting  a  mere 
continuation  of  the  actions  funded  previously  from  other  sources  covered  by  the 
general  budget  of  the  European  Union.  In  such  cases,  the  Fund  should  assist  those 
Member  States  preparing  for  full  participation  which,  in  the  spirit  of  the  Hague 
Programme, should happen as soon as possible. 

(7)  Moreover, the Fund should take into account specific situations, such as the transit by 
land  of  third  country  nationals  who  must  necessarily  cross  the  territory  of  one  or 
several Member States in order to travel between two parts of their own country which 
are not geographically contiguous, not only in the own interest of the Member State(s) 
concerned  but  of  all  Member  States  which  have  abolished  checks  at  their  internal 
borders. In such cases, the actions to be financed should be exhaustively defined and 
the allocations of resources should be determined on the basis of a factual assessment 
of the needs in relation to these actions. 

(8) 

(9) 

The  Fund  should  include  support  for  national  measures  and  co-operation  between 
Member States in the area of visa policy and other pre-frontier activities, taking place 
in a stage, which is preliminary to external border controls. An efficient management 
of activities organised by the consular services of the Member States in third countries 
is in the interest of the common visa policy as part of a multi-layered system aimed at 
facilitating legitimate travel and tackling illegal immigration for the European Union 
and constitutes an integral part of the common integrated border management system. 

Objective  criteria  should  be  established  to  allocate  the  funds  to  the  Member  States. 
These criteria should take into account constant elements which determine the actual 
starting point of a Member State as regards its obligations pursuant to the provisions of 
the  Schengen  acquis,  and  more  variable  elements,  which  express  the  work  load  of 
national authorities. Certain constant elements, could, however be weighted, inter alia 
to take into account the risks and threats at external borders, the relative work load at 
consular offices or the size of the passenger flows at authorized border crossing points. 
Here, the Agency could be requested to provide assistance.  

39 

OJ L 349, 25.11.2004, p. 1. 

EN 

63 

   EN 

 
                                                 
(10) 

In  view  of  the  mission  of  the  Agency  to  assist  Member  States  in  implementing  the 
operational  aspects  of  external  border  management  and  in  order  to  develop 
complementarity between its mission and the responsibilities of the Member States for 
the  control  and  surveillance  of  external  borders,  the  Agency  should  be  consulted  by 
the  Commission  on  draft  multiannual  programmes  submitted  by  the  Member  States 
and on the strategic guidelines prepared by the Commission. 

(11)  Moreover, the Commission may request the Agency to provide input in the assessment 
by  the  Commission  of  the  impact  of  the  Fund  on  the  development  of  the  policy  and 
legislation on external border control, the synergies between the Fund and the tasks of 
the Agency, as well as the appropriateness of the criteria to allocate the funds between 
the  Member  States  in  light  of  the  objectives  pursued  by  the  European  Union  in  this 
area.  

(12)  This instrument is designed to form part of a coherent framework entitled the General 
programme  ‘Solidarity  and  Management  in  Migration  Flows’,  which  aims  at 
addressing  the  issue  of  a  fair  share  of  responsibilities  between  Member  States  as 
concerns  the  financial  burden  arising  from  the  introduction  of  an  integrated 
management of the Union’s external borders and from the implementation of common 
policies on asylum and immigration, as developed in accordance with Title IV of the 
Treaty establishing the European Community.  

(13)  The  participation  in  this  instrument  by  a  Member  State  should  not  coincide  with  its 
participation  in  a  future  temporary  instrument  designed  to  help  beneficiary  Member 
States to finance actions at new external borders of the Union for the implementation 
of the Schengen acquis and external border control. 

(14)  The support provided by the Fund would be more efficient and better targeted if co-
financing  of  eligible  actions  was  based  on  strategic  multiannual  programmes  and  on 
related annual work programmes drawn up by each Member State in cooperation with 
the Commission. 

(15)  On  the  basis  of  the  strategic  guidelines  adopted  by  the  Commission,  each  Member 
State  should  prepare  a  multiannual  programming  document  taking  into  account  its 
situation and needs and setting out its development strategy, which is negotiated and 
decided  by  the  Commission,  and  constitutes  the  framework  for  preparing  the  annual 
programmes. 

(16)  Multiannual programming should be directed towards achieving the Funds’ objectives 
by  ensuring  the  availability  of  the  necessary  financial  resources  and  the  consistency 
and continuity of joint action by the Community and the Member States. 

(17)  Multiannual programming should ensure coordination of the Fund with other financial 

instruments.  

(18) 

In accordance with the implementation methods as referred to in Article 53(1), point 
(b) of the Council Regulation (EC, Euratom), No 1605/2002 of 25 June 2002 on the 
the  European 
Financial  Regulation  applicable 

the  general  budget  of 

to 

EN 

64 

   EN 

 
the  conditions  allowing 
implementation  of 

Communities40, 
its 
the  European 
responsibilities  for 
Communities  should  be  specified  and  the  obligations  for  the  cooperation  of  the 
Member  States  clarified.  Applying  these  conditions  will  enable  the  Commission  to 
satisfy itself that Member States are using the Fund in a lawful and correct manner and 
in accordance with the principle of sound financial management within the meaning of 
Article 27 of the Financial Regulation. 

the  Commission 
the  general  budget  of 

to  exercise 

(19)  The Commission should establish the indicative breakdown of available commitment 

appropriations using an objective and transparent method. 

(20)  Under  technical  assistance,  the  Fund  should  provide  support  for  evaluations, 
improvement  of  administrative  capacity  linked  to  the  management  of  the  Fund, 
studies,  pilot  projects  and  exchanges  of  experience  intended,  in  particular,  to 
encourage innovative approaches and practices. 

(21)  Member States should adopt adequate measures to guarantee the proper functioning of 
the  management  and  control  system.  To  this  end,  it  is  necessary  to  establish  the 
general principles and necessary functions which all programmes shall fulfil. 

(22) 

(23) 

It is necessary to provide for the designation of a single responsible authority in each 
Member  State  for  the  management  of  the  Fund’s  interventions  and  to  clarify  its 
responsibilities.  Designation  and  the  functions  of  the  audit  authority  should  be  also 
foreseen. In addition, in order to guarantee uniform quality standards concerning the 
certification  of  expenditures  before  their  transmission  to  the  Commission  and  to 
clarify the nature and quality of the information on which declarations of expenditure 
are based it is necessary to provide for the designation of the certification authority. 

In  accordance  with  the  principles  of  subsidiarity  and  proportionality,  Member  States 
have 
the 
the 
interventions. 

implementation  and  control  of 

the  primary  responsibility  for 

(24)  The obligations on the Member States as regards management and control systems, the 
certification  of  expenditure,  and  the  prevention,  detection  and  correction  of 
irregularities  and  infringements  of  Community  law  should  be  specified  to  guarantee 
the efficient and correct implementation of their multiannual and annual programmes. 
In  particular,  as  far  as  management  and  control  are  concerned,  it  is  necessary  to 
establish the modalities by which Member States ensure that the systems are in place 
and function satisfactorily. 

(25)  Without  prejudice  to  the  Commission’s  powers  as  regards  financial  control, 
cooperation  between  the  Member  States  and  the  Commission  in  this  field  should  be 
increased  and  the  criteria  should  be  established  which  allow  the  Commission  to 
determine,  in  the  context  of  its  strategy  of  control  of  national  systems,  the  level  of 
assurance it can obtain from national audit bodies. 

40 

OJ L 248, 16.9.2002, p. 1. 

EN 

65 

   EN 

 
                                                 
(26)  The  effectiveness  and  impact  of  actions  supported  by  the  Fund  also  depend  on  their 
evaluation.  The  responsibilities  of  the  Member  States  and  the  Commission  in  this 
regard, and arrangements to ensure the reliability of evaluation, should be formalised. 

(27)  Actions should be evaluated with a view to a mid-term review and impact assessment, 
into  project  monitoring 

the  evaluation  process  should  be 

incorporated 

and 
arrangements. 

(28)  This  Decision  establishes  a  financial  framework  for  the  entire  duration  of  the 
programme, which is to be the principal point of reference for the budgetary authority 
within  the  meaning  of  point  33  of  the  interinstitutional  agreement  of  6  May  1999 
between  the  European  Parliament,  the  Council  and  the  Commission  on  budgetary 
discipline and improvement of the budgetary procedure.41 

(29)  Since  the  objectives  of  this  Decision,  namely  to  support  the  establishment  of  a 
common  integrated  border  management  system  and  the  management  of  activities 
organised  by  consular  services  in  third  countries,  cannot  be  sufficiently  achieved  by 
the Member States and can therefore by reason of the scale and effects of the action be 
better  achieved  at  Community  level,  the  Community  may  adopt  measures  in 
accordance  with  the principle of subsidiarity as set out in Article 5 of  the Treaty. In 
accordance  with  the  principle  of  proportionality,  as  set  out  in  that  Article,  this 
Decision does not go beyond what is necessary to achieve this objective. 

(30)  The measures necessary for the implementation of this Decision should be adopted in 
accordance  with  Council  Decision  1999/468/EC  of  28  June  1999  laying  down  the 
procedures for the exercise of implementing powers conferred on the Commission.42 

(31)  As  regards  Iceland  and  Norway,  this  Decision  constitutes  a  development  of  the 
Schengen  acquis  within  the  meaning  of  the  Agreement  concluded  by  the  Council  of 
the  European  Union  and  the  Republic  of  Iceland  and  the  Kingdom  of  Norway 
concerning  the  association  of  those  two  States  with  the  implementation,  application 
and  development  of  the  Schengen  acquis,  which  fall  within  the  area  referred  to  in 
Article  1,  Point  A  and  B  of  Council  Decision  1999/437/  ECon  certain  arrangements 
for the application of the Agreement43.  

(32)  As  regards Switzerland, this Decision constitutes a development of the provisions of 
the  Schengen  acquis  within  the  meaning  of  the  Agreement  signed  by  the  European 
Union,  the  European  Community  and  the  Swiss  Confederation  on  the  latter's 
association  with  the  implementation,  application  and  development  of  the  Schengen 
acquis which fall in the area referred to in Article 1(A) of Decision 1999/437/EC read 
in conjunction with Article 4(1) of Council Decision 2004/860/EC on the signing, on 
behalf  of  the  European  Community,  and  on  the  provisional  application  of  certain 
provisions of the Agreement44. 

41 
42 
43 
44 

OJ C 172, 18.6.1999, p. 1. 
OJ L 184, 17.7.1999, p. 23. 
OJ L 176, 10.7.1999, p. 31. 
OJ L 370, 17.12.2004. p. 78. 

EN 

66 

   EN 

 
                                                 
(33) 

(34) 

In order to determine the supplementary rules necessary for the implementation of this 
instrument, an agreement should be concluded between the Community and the above-
mentioned associated states.  

In  accordance  with  Articles  1  and  2  of  the  Protocol  on  the  position  of  Denmark, 
annexed  to  the  Treaty  on  European  Union  and  the  Treaty  establishing  the  European 
Community,  Denmark  is  not  taking  part  in  the  adoption  of  this  Decision  and  is  not 
bound  by  it  or  subject  to  its  application.  Given  that  this  Decision  builds  upon  the 
Schengen  acquis  under  the  provisions  of  Title  IV  of  Part  Three  of  the  Treaty 
establishing the European Community, Denmark should, in accordance with Article 5 
of  the  said  Protocol,  decide  within  a  period  of  six  months  after  the  Council  has 
adopted this Decision whether it will implement it in its national law or not. 

(35)  This Decision constitutes a development of the provisions of the Schengen acquis in 
which  the  United  Kingdom  does  not  take  part,  in  accordance  with  Council  Decision 
2000/365/EC  of 29 May 2000  and the subsequent Council Decision 2004/926/EC of 
22 December 2004 concerning the request of the United Kingdom of Great Britain and 
Northern Ireland to take part in some of the provisions of the Schengen acquis45. The 
United Kingdom is therefore not taking part in its adoption and is not bound by it or 
subject to its application. 

(36)  This Decision constitutes a development of the provisions of the Schengen acquis in 
which Ireland does not take part, in accordance with Council Decision 2002/192/EC of 
28 February 2002 concerning Ireland’s request to take part in some of the provisions 
of the Schengen acquis46. Ireland is therefore not taking part in its adoption and is not 
bound by it or subject to its application.  

HAVE ADOPTED THIS DECISION: 

CHAPTER I 
SUBJECT MATTER, OBJECTIVES AND ACTIONS 

Article 1 

Subject matter and scope  

This  decision  establishes  for  the  period  from  1  January  2007  to  31  December  2013  the 
European  External  Borders  Fund,  hereinafter  referred  to  as  « The  Fund »,  as  part  of  the 
General programme "Solidarity and Management of Migration Flows", in order to contribute 
to the strengthening of the area of Freedom, Security and Justice. 

This  decision  defines  the  objectives  to  which  the  Fund  contributes,  its  implementation,  the 
available  financial  resources  and  the  distribution  criteria  for  the  allocation  of  the  available 
financial resources. 

45 
46 

OJ L 131, 1.6.2000, p. 43. 
OJ L 64, 7.3.2002, p. 20. 

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It establishes the Fund’s management rules, including financial ones, monitoring and control 
mechanisms  based  on  a  share  of  responsibilities  between  the  Commission  and  the  Member 
States. 

Article 2 

Definitions 

For the purpose of this Decision: 

(a) 

‘external  borders’  means  the  external  borders  of  the  Member  States, 
whether they are temporary or not; 

(b) 

‘temporary borders’ means  

(c) 

(d) 

– 

– 

fully 
the  common  border  between  a  Member  State 
implementing the Schengen acquis and a Member State bound 
to apply the Schengen acquis in full, in conformity with its Act 
of  Accession,  but  for  which  the  Council  Decision  authorising 
them to fully apply that acquis has not entered into force; 

the  common  border  between  two  Member  States  bound  to 
apply the Schengen acquis in full, in conformity with its Act of 
Accession,  but  for  which  the  Council  Decision  authorising 
them to fully apply that acquis has not entered into force; 

‘Agency’  means  the  European  Agency  for  the  Management  of 
Operational Cooperation at the External Borders of the Member States 
of the European Union as established by Council Regulation (EC) No 
2007/2004; 

integrated  border  management  system’  means 

‘common 
the 
development  and  implementation  by  the  competent  authorities  of  a 
Member  State  of  a  coherent  approach  to  the  allocation  of  human 
resources, equipment and technology at their disposal for the uniform 
and systematic application of the rules of the European Union in view 
of  providing  a  high  level  of  external  border  security  through  control 
and surveillance tasks. The approach shall be in accordance with the 
rules  of  the  European  Union  and  based  on  a  systematic  gathering  of 
intelligence  with  respect  to  situations  on  the  ground  before,  at  and 
behind the external borders of a Member State, taking into account the 
common risk analysis, as established by the Agency. 

Article 3 

General Objectives 

1. 

The Fund shall contribute to the following objectives:  

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(a) 

(b) 

(c) 

(d) 

implementation  in  the  Member  States  of  the  common  integrated 
border  management  system  for  the  control  and  surveillance  of  the 
external borders; 

efficient  management  of  the  flows  of  persons  at  the  external  borders 
by the Member States, in order to ensure, on the one hand, a high level 
of  protection  at  the  external  borders  for  the  internal  security  and,  on 
the  other,  a  smooth  crossing  of  the  external  borders  by  bona  fide 
travellers in conformity with the Schengen acquis; 

uniform application of the law of the European Union by the Member 
States and overall efficiency of national border guards in the carrying 
out of their tasks in accordance with the law of the European Union at 
the external borders; 

improvement  of  the  management  of  activities  organised  by  the 
consular services of the Member States in third countries and the co-
operation between Member States thereof. 

2. 

The Fund shall contribute to the financing of the technical assistance on the initiative 
of the Member States or the Commission. 

Article 4 

Specific objectives 

1. 

As regards the objective laid down in Article 3(1), point (a) the Fund shall support 
the following specific objectives: 

(a) 

(b) 

(c) 

(d) 

(e) 

Implementation  of  the  recommendations,  operational  standards  and 
best practices, as defined by the Agency;  

Development  and  application  of  the  measures  necessary  to  improve 
surveillance systems between authorised border crossing points; 

Introduction  of  measures  or  development  of  effective  systems 
enabling  a  methodical  gathering  of  intelligence  with  respect  to  the 
evolving  situation  on  the  ground  before,  at  and  behind  the  external 
borders; 

Ensuring adequate registration of the number of persons crossing at all 
types of external borders (land, air, sea); 

Introduction  or  upgrading  of  a  reliable  and  high  quality  system  of 
collection  of  statistical  and  administrative  data  with  respect  to  the 
categories  of  travellers,  the  number  and  nature  of  checks  and 
surveillance measures at the different types of external borders, based 
on registration and other sources for data collection;  

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(f) 

(g) 

(h) 

(i) 

Setting  up  of  an  effective,  structural,  strategic  and  operational 
coordination  between  all  the  national  authorities  operating  at  border 
crossing points; 

Improvement of the capacity and the qualifications of national border 
guards in executing their surveillance and control tasks;  

Improvement  of  the  information  exchange  at  national  level  between 
authorities  responsible  for  external  borders  management  and  other 
relevant, competent authorities; 

Promotion  of  the  quality  management  standards  for  each  activity 
executed at the external borders.  

2. 

As regards the objective laid down in Article 3(1), point (b) the Fund shall support 
the following specific objectives: 

(a) 

(b) 

(c) 

(d) 

Except for temporary borders, setting up of the systematic controls of 
persons  on  entry  and  exit  at  border  crossing  points,  in  particular 
through new working methods, logistical measures and state of the art 
technology;. 

Promotion  of  the  use  of  technology  and  specialised  training  for  the 
staff responsible for its effective exploitation; 

Promotion  of  the  exchange  of  information  and  improvement  of 
training  on  forged  travel  documents,  including  the  development  of 
common tools and practices for detection of such documents; 

Promotion  of  efficient,  real  time  consultation  of  data  at  border 
crossing points through the use of large scale IT systems, such as SIS 
and  VIS,  and  an  effective  exchange  of  information  between  all  the 
border crossing points along the external borders in real time; 

(e) 

Ensuring  the  rapid  and  smart  implementation  at  operational  and 
technical level of risk analysis results produced by the Agency. 

3. 

As regards the objective laid down in Article 3(1), point (c) the Fund shall support 
the following specific objectives: 

(a) 

(b) 

Gradual  establishment  in  each  Member  State  of  the  uniform 
education, training and qualifications of the border guards, particularly 
by  implementing  the  common  core  curriculum  for  training  as 
developed by the Agency and by supplementing in a coherent way the 
activities of the Agency in this field;. 

Support  and  increase  of  the  exchange  and  secondment  of  border 
guards between Member States, in accordance with the guidelines and 
activities of the Agency in this area; 

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(c) 

(d) 

(e) 

(f) 

Promotion  of  the  use  of  similar  or  equivalent  state  of  art  technology 
along  the  external  borders,  whenever  this  is  indispensable  for  the 
correct, effective or uniform respect of the rules. 

Promotion  of  the  capacity  of  national  authorities  to  apply  the  same 
procedures  and  to  take  uniform,  rapid  and  high  quality  decisions  on 
visa issues as well as on the right to enter; 

Enhancing  and  improving  of  the  conditions  in  detention  areas  in 
airports and sea ports; 

Upgrading of the security at the premises of border crossing points to 
secure  safety  of  border  guards  and  the  protection  of  equipment, 
surveillance systems and means of transport. 

4. 

As regards the objective laid down in Article 3(1), point (d) the Fund shall support 
the following specific objectives: 

(a) 

(b) 

(c) 

(d) 

(e) 

(f) 

(g) 

(h) 

Reinforcement  of  the  operational  capacity  of  the  network  of  the 
immigration  liaison  officers  and  promote  a  more  effective  co-
operation through the network between the Member States’ services. 

Introduction  of  measures  with  respect  to  flights  likely  to  result  in 
illegal arrivals at the external borders of the Member States; 

Promotion of a more effective cooperation with carriers in the airports 
of the countries of departure, including, inter alia, a uniform training 
of the carriers’ staff on the travel documents; 

Promotion  of  co-operation  between  Member  States  in  enhancing  the 
capacity of consular services to investigate visa applications; 

Promotion of common investigative practices, uniform administrative 
procedures  and  decisions  on  visa  by  the  consular  services  of  a 
Member State located in different third countries; 

Promotion  of  progress  towards  a  systematic  and  regular  cooperation 
between  the  consular  and  other  services  of  different  Member  States, 
including pooling of resources and means for visa issuance, exchange 
of 
investigations  concerning  visa 
applications  and  the  development  of  a  common  visa  application 
centre; 

surveys  and 

information, 

Promotion  of  national  initiatives  aiming  at  common  investigative 
practices, uniform administrative procedures and decision making on 
visa issuing by the consular services of different Member States; 

Development  of  common  consular  offices  according  to  the  policy 
evolution in this field. 

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Article 5 

Eligible actions in the Member States 

1. 

The  Fund  shall  support  actions  in  the  Member  States  relating  to  the  objectives 
defined in Article 4 (1) to (4) and in particular the following:  

(a) 

(b) 

(c) 

Border  crossing  infrastructures  and  related  buildings,  such  as  border 
stations,  helicopter  landing  places  or  lanes  or  booths  for  the  queuing 
of vehicles and persons at border crossing points; 

Infrastructures and buildings required for surveillance between border 
crossing points;  

Operating  equipment,  such  as  laboratory  equipment,  document 
examination instruments detection tools, mobile or fixed terminals for 
consulting  SIS  and  national  systems,  terminals  for  reception  of 
satellite signals and others; 

(d)  Means  of  transport  for  the  surveillance  of  external  borders,  such  as 
vehicles,  vessels,  helicopters,  and  light  aircrafts,  specially  equipped 
with  electronic  equipment  for  the  surveillance  of  the  border  and  the 
detection of persons in trucks;  

(e) 

Equipment  for  real  time  exchange  of  information  between  relevant 
authorities; 

(f) 

ICT systems;  

(g) 

Programmes  for  the  detachment  and  exchange  between  Member 
States  of  staff  such  as  border  guards,  immigration  officers  and 
consular officers 

(h) 

Training and education of staff in relevant authorities;  

(i) 

(j) 

(k) 

Investments in the development, testing and instalment of state of the 
art technology; 

Studies and pilot projects implementing recommendations, operational 
standards and best practices, as defined by the Agency;  

Studies  and  pilot  projects  designed  to  stimulate  innovation,  facilitate 
exchanges of experience and good practice and improve the quality of 
the management of activities organised by the consular services of the 
Member States in third countries. 

2. 

The Fund shall not support actions te with respect to temporary borders when such 
actions  amount  to  a  structural  investment,  incompatible  with  the  objective  of  the 
lifting of controls on persons at these borders, in particular as mentioned in point a) 
and b) of paragraph 1. 

.  

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1. 

2. 

3. 

1. 

Article 6 

The Kaliningrad Facility Scheme  

The Fund shall support foregone fees from transit visas and additional costs incurred 
in implementing the FTD and FRTD scheme in accordance with Council Regulation 
(EC) No 693/200347 and Council Regulation (EC) No 694/200348. 

For  the  purpose  of  paragraph  1,  additional  costs  means  cost  which  result  directly 
from  the  specific  requirements  of  implementing  the  operation  of  a  special  transit 
scheme and which are generated as a result of issuing of transit or other visas. 

The following types of additional cost shall be eligible for financing: 

(a) 

Investment of infrastructures 

(b) 

Training of border guards and rail staff 

(c) 

Additional  operational  cost,  including  the  salaries  for  the  staff 
specifically implementing the operation of a special transit scheme. 

The foregone fees provided for in paragraph 1 shall be calculated on the basis of the 
level  of  fees  for  transit  visas  established  in  Annex  12  to  the  Common  Consular 
Instructions on visas. 

Article7 

Actions of interest to the Community 

At the Commission’s initiative, up to 2% of the Fund’s available resources may be 
used  to  finance  transnational  actions  or  actions  of  interest  to  the  Community  as  a 
whole  (‘Community  actions’)  concerning  the  general  objective  of  contributing  to 
enhancement  of  the  activities  organised  by  the  consular  services  of  the  Member 
States in third countries and the co-operation between Member States thereof and the 
objective  of  promoting  the  progressive  inclusion  of  the  customs,  veterinary,  phyto-
sanitary controls in integrated border management activities according to the policy 
evolution in this field.  

2. 

To be eligible for funding, Community actions shall in particular: 

(a) 

(b) 

Further Community cooperation in implementing Community law and 
good practices; 

Support the setting-up of transnational cooperation networks and pilot 
projects based on transnational partnerships between consular services 
located  in  two  or  more  Member  States  designed  to  stimulate 
innovation, facilitate exchange of experience and good practice; 

47 
48 

OJ L 99, 17.4.2003, p. 8. 
OJ L 99, 17.4.2003, p. 15. 

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(c) 

(d) 

(e) 

Support studies, dissemination and exchange of information, including 
on  the  use  of  state  of  art  technology,  on  best  practices  and  all  other 
aspects of the general objective of contributing to enhancement of the 
activities organised by the consular services of the Member States in 
third countries and the co-operation between Member States thereof; 

Support projects and studies exploring the possibility of new forms of 
Community cooperation and Community law in this area; 

Support  the  development  of  statistical  tools,  methods  and  common 
indicators. 

3. 

The annual work programme laying down the priorities for Community actions shall 
be adopted in accordance with the procedure referred to in Article 52(2). 

CHAPTER II  
PRINCIPLES OF ASSISTANCE 

Article 8 

Complementarity, consistency and compliance 

1. 

2. 

3. 

1. 

2. 

The  Fund  shall  provide  assistance  which  complements  national,  regional  and  local 
actions, integrating into them the priorities of the Community. 

The Commission and the Member States shall ensure that assistance from the Fund 
and the Member States is consistent with the activities, policies and priorities of the 
Community.  This  consistency  shall  be  indicated  in  particular  in  the  multiannual 
programme referred to in Article 20. 

Operations financed by the Fund shall comply with the provisions of the Treaty and 
of acts adopted under them. 

Article 9 

Programming 

The  objectives  of  the  Fund  shall  be  pursued  in  the  framework  of  two  multiannual 
programming  periods  (2007-2010  and  2011-2013).  The  multiannual  programming 
system  shall  include  the  priorities  and  a  process  of  management,  decision  making, 
auditing and certification. 

The multiannual programmes adopted by the Commission shall be implemented by 
means of annual programmes. 

Article 10 

Subsidiary and proportional intervention 

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1. 

2. 

Implementation of multiannual and annual programmes referred to in Articles 20 and 
22 shall be the responsibility of Member States at the appropriate territorial level, in 
accordance  with  the  institutional  system  specific  to  each  Member  State.  This 
responsibility shall be exercised in accordance with this Decision. 

The  means  employed  by  the  Commission  and  the  Member  States  shall  vary 
according to the size of the Community contribution in relation to audit provisions. 
Differentiation  shall  also  apply  to  provisions  on  evaluation  and  to  the  reports  on 
multiannual and annual programmes. 

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Article 11 

Implementation methods 

1. 

The  Community  budget  allocated  to  the  Fund  shall  be  implemented,  in  accordance 
with  Article  53,  paragraph  1,  point  (b)  of  Council  Regulation  (EC,  Euratom)  No 
1605/200249,  with  the  exception  of  the  Community  Actions  referred  to  in  Article  7 
and the technical assistance referred to in Article 17.  

The Member States and the Commission shall ensure compliance with the principle 
of sound financial management. 

2. 

The Commission exercises its responsibility for implementing the general budget of 
the European Communities by: 

(a) 

(b) 

checking  the  existence  and  proper  functioning  of  management  and 
control  systems  in  the  Member  States  in  accordance  with  the 
procedures described in Article 32; 

interrupting or suspending all or part of payments in accordance with 
Articles  41  and  42  if  the  national  management  and  control  systems 
fail,  and  by  applying  any  other  financial  correction  required,  in 
accordance with the procedures described in Articles 45 and 46. 

Countries  associated  with  the  implementation,  application  and  development  of  the 
Schengen  acquis  shall  participate  in  the  Fund  in  accordance  with  the  provisions  of 
this decision.  

Arrangements shall be concluded which shall specify supplementary rules necessary 
for  such  participation,  including  provisions  ensuring  the  protection  of  the 
Community's financial interests and the power of audit of the Court of Auditors. 

Article 12 

Additionality 

Contributions from the Fund shall not replace public or equivalent expenditure by a 
Member State.  

The Commission shall, in cooperation with each Member State, verify additionality 
mid-term by 31 December 2012 and ex-post by 31 December 2015. 

3. 

4. 

1. 

2. 

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OJ L 248, 16.9.2002, p. 1. 

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Article 13 

Partnership  

1. 

Each  Member  State  shall  organise,  in  accordance  with  current  national  rules  and 
practices, a partnership with the authorities and bodies which it designates, namely: 

(a) 

the competent regional, local, urban and other public authorities; 

(b) 

any  other  appropriate  body 
governmental organisations, including the social partners. 

representing  civil  society,  non-

Each  Member  State  shall  ensure  broad  and  effective  involvement  of  all  the 
appropriate bodies, in accordance with national rules and practices. 

The  partnership  shall  be  conducted  in  full  compliance  with  the  respective 
institutional, legal and financial jurisdiction of each partner category. 

The partnership shall cover preparation, implementation, monitoring and evaluation 
of the multiannual programmes. 

CHAPTER III 
FINANCIAL FRAMEWORK 

Article 14 

Global resources 

The  financial  reference  amount  for  the  implementation  of  the  Fund  from 
1 January 2007 to 31 December 2013 shall be EUR 2.152 million.  

The  annual  appropriations  for  the  Fund  shall  be  authorised  by  the  budgetary 
authority within the limits of the financial perspectives. 

The  Commission  shall  make  indicative  annual  breakdowns  by  Member  States  in 
accordance with the criteria established in Article 15. 

2. 

3. 

4. 

1. 

2. 

3. 

Article 15 

Annual distribution of resources for eligible actions in the Member States 

1. 

The available annual resources shall be broken down between the Member States as 
follows:  

(a) 

40% in proportion to objective factors defining the starting position of 
Member States as regards border management and the management of 
visa policy at consular offices over the last year; and 

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(b) 

60%  in  proportion  to  the  total  number  of  persons  affected  and 
decisions  taken  by  Member  States  applying  the  law  of  the  European 
Union  as  regards  border  management  and  the  management  of  visa 
policy at consular offices over the last year. 

2. 

The component under paragraph 1 (a) shall take into account the following factors: 
the length of the external land borders, the length of the external maritime borders, 
the number of authorized border crossing points and the number of consular offices.  

3. 

These factors should be weighed inter alia according to  

–  the nature of the external borders and the concomitant degree of difficulty to carry 

out surveillance;  

–  the size of the passenger flows at authorized border crossing points, affecting the 

ability to ensure an efficient management of flows; 

–  the number of visa applications at consular offices; 

–  the  level  of  risk  and  threats encountered  at  external borders, taking into account 
the risk analyses carried out by the Agency on the basis of a common integrated 
risk analysis model; 

–  the specific situation of particular areas facing a high level of illegal immigration 

pressure. 

With respect to the length of the external land borders as referred to in paragraph 2, 
the  calculation  shall  not  take  into  account  temporary  borders,  except  for  the 
temporary  borders  of  the  Member  States  fully  implementing  the  Schengen  acquis. 
However, for these temporary borders a 65% weighting shall be applied in relation to 
the other external land borders.  

The  component  under  paragraph  1(b)  shall  take  into  account  the  following  factors: 
the  number  of  persons  crossing  authorised  border  crossing  points,  the  number  of 
third  country  nationals  refused  entry  at  the  external  borders,  the  number  of 
apprehended people and the number of visa applications.  

The reference figures for passenger flows and the number of third country nationals 
refused entry at the border by Member States are the latest statistics produced by the 
Statistical Office of the European Communities in accordance with Community law.  

Where the statistics referred to in paragraph 6 are not available, Member States shall 
provide the necessary figures. 

A  weighting  of  the  constant  factors  shall  be  adopted  in  accordance  with  the 
procedure referred to in Article 52(2). 

The allocation of resources referred to in paragraph 1 shall not include the resources 
allocated  for  the  purpose  of  Article  6.  These  resources  shall  not  exceed  15  million 
EUR  and  the  actions  concerned  shall  not  exceed  75%  of  the  total  cost  referred  to 
under Article 6(3).  

4. 

5. 

6. 

7 

8. 

9. 

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Article 16 

Financing structure 

1. 

2. 

3. 

4. 

5. 

1. 

The Fund’s financial contribution shall take the form of grants. 

Actions  supported  by  the  Fund  shall  be  co-financed  by  public  or  private  sources, 
shall be of a non-profit nature and shall not be eligible for funding from other sources 
covered by the general budget of the European Communities. 

Fund  appropriations  shall  be  complementary  to  public  or  equivalent  expenditure 
allocated by Member States to the measures covered by this Decision. 

The Community contribution to supported projects, as regards actions implemented 
in  the  Member  States  under  Article  4  shall  not  exceed  50%  of  the  total  cost  of  a 
specific action. 

This may be increased to 60% for projects addressing specific priorities identified in 
the Commission multiannual guidelines as defined in Article 18. 

This shall be increased to 75% in the Member States covered by the Cohesion Fund.  

As  a  general  rule,  Community  financial  aid  granted  for  actions  supported  by  the 
Fund  shall  be  given  for  a  period  of  no  more  than  three  years,  subject  to  periodic 
progress reports. 

Article 17 

Technical assistance at the initiative of the Commission 

At  the  initiative  of  and/or  on  behalf  of  the  Commission,  the  Fund  may  finance  the 
preparatory measures, monitoring, administrative and technical support measures, as 
well  as  evaluation,  audit  and  inspection  measures  necessary  for  implementing  this 
Decision, within the limits of 0,20% of the Fund’s annual allocation. 

2. 

Those actions shall include: 

(a) 

studies, evaluations, expert reports and statistics, including those of a 
general nature concerning the operation of the Fund; 

(b)  measures  aimed  at  the  partners,  the  beneficiaries  of  assistance  from 

the Fund and the general public, in particular information measures; 

(c) 

(d) 

the  installation,  operation  and  interconnection  of  computerised 
systems for management, monitoring, inspection and evaluation; 

improvements in evaluation methods and the exchange of information 
on practices in this field. 

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Article 18 

Technical assistance of the Member states 

At  the  initiative  of  the  Member  State  in  question,  for  each  annual  programme,  the 
Fund  may  finance  preparatory  measures,  management,  monitoring,  evaluation, 
information and control measures, as well as measures for the reinforcement of the 
administrative capacity for the implementation of the Fund. . 

The annual amount set aside for technical assistance may not exceed 4 % of the total 
annual amount of co-financing allocated to the Member State, plus EUR 30 000. 

CHAPTER IV  
PROGRAMMING 

Article 19 

Adoption of strategic guidelines 

For  each  multiannual  programme,  the  Commission  shall  adopt  strategic  guidelines 
setting  out  a  framework  for  the  intervention  of  the  Fund,  taking  into  account  the 
progress in development and implementation of Community legislation in the area of 
external borders and visa policy as well as the indicative distribution of the financial 
resources of the Fund for the period of the multiannual programme. 

For the general objectives referred to in Article 3, paragraph 1, under a) to c) of this 
Decision,  those  guidelines  shall  in  particular  give  effect  to  the  priorities  of  the 
Community  with  a  view  to  the  further  gradual  establishment  of  the  common 
integrated border management system for external borders and the strengthening of 
controls at and surveillance of the external borders of the Union; 

For  the  general  objective  referred  to  in  Article  3,  paragraph  1,  under  d)  of  this 
Decision,  those  guidelines  shall  in  particular  give  effect  to  the  priorities  of  the 
Community  with  a  view  to  the  further  development  of  the  common  visa  policy  as 
part  of  a  multi-layered  system  aimed  at  facilitating  legitimate  travel  and  tackling 
illegal immigration through the enhancement of handling practices at local consular 
missions. 

The Commission shall adopt the strategic guidelines relating to the first multiannual 
programme  (2007-2010)  at  the  latest  on  31  March  2006,  and  those  relating  to  the 
second multiannual programming period (2011-2013) at the latest on 31 March 2010. 

The strategic guidelines shall be adopted in accordance with the procedure referred 
to in Article 52(2). 

1. 

2. 

1. 

2. 

3. 

4. 

5. 

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Article 20 

Preparation and approval of national multiannual programmes 

1. 

Each Member State shall for each programming period, on the basis of the strategic 
guidelines  referred  to  in  Article  19  propose  a  draft  multiannual  programme  which 
shall include the following elements: 

(a) 

(b) 

(c) 

(d) 

(e) 

a  description  of  the  current  situation  in  the  Member  State  as  regards 
the  infrastructure,  equipments,  means  of  transport,  ICT  systems  and 
arrangements  for  the  training  and  education  of  staff  at  the  service  of 
respectively the border authorities and consular authorities;  

an analysis of requirements in the Member State in question as regards 
infrastructure,  equipments,  means  of  transport,  ICT  systems  and 
arrangements  for  the  training  and  education  of  staff  at  the  service  of 
respectively  the  border  authorities  and  consular  authorities  and  an 
to  meet 
indication  of  operational  objectives  designed 
these 
the  multiannual 
the  period  covered  by 
requirements  during 
programme; 

a  presentation  of  an  appropriate  strategy  to  achieve  these  objectives 
and  the  priority  attached  to  their  attainment,  and  a  description  of  the 
actions envisaged to implement these priorities; 

an  indication  of  whether  this  strategy  is  compatible  with  other 
regional, national and Community instruments; 

information  on  the  priorities  and  their  specific  targets.  Those  targets 
shall  be  quantified  using  a  limited  number  of  indicators  for 
implementation,  results  and 
the 
proportionality  principle.  The  indicators  must  make  it  possible  to 
measure  the  progress  in  relation  to  the  baseline  situation  and  the 
effectiveness of the targets implementing the priorities; 

into  account 

impact, 

taking 

(f) 

a draft financing plan which sets out, for each priority and each year, 
the Fund’s proposed financial contribution and the overall amount of 
public or private co-financing; 

(g) 

implementing provisions for the multiannual programme, including: 

– 

– 

– 

designation by the Member State of all the entities defined in 
Article 25; 

a  description  of  the  implementation,  monitoring,  control  and 
evaluation systems; 

a  definition  of  the  procedures  for  the  mobilisation  and 
their 
circulation  of  financial  flows 
transparency; 

to  ensure 

in  order 

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2. 

3. 

4. 

5. 

6. 

1. 

2. 

– 

the  provisions  laid  down  to  ensure  that  the  multiannual 
programme is publicised. 

The Member States shall establish each multiannual programme in close cooperation 
with the partners referred to in Article 13.  

Member  States  shall  submit  their  draft  multiannual  programme  no  later  than  four 
months after the Commission has provided the strategic guidelines for the period in 
question. 

The Commission shall appraise the proposed multiannual programme in light of the 
following: 

(a) 

(b) 

(c) 

(d) 

its  consistency  with  the  objectives  of  the  Fund  and  the  strategic 
guidelines defined in Article 19, 

the relevance, appropriateness and expected results of the strategy and 
operational priority themes proposed by the Member State; 

the compliance of the management and control systems set up by the 
Member State for the implementation of the Fund’s interventions with 
the provisions set out in this Decision;  

in  particular  with 
its  compliance  with  Community 
Community  law  aiming  at  ensuring  the  free  movement  of  persons  in 
conjunction with the directly related flanking measures with respect to 
external borders controls, asylum and immigration.  

law  and 

Where the Commission considers that a multiannual programme is inconsistent with 
the  strategic  guidelines  or  does  not  comply  with  the  provisions  of  this  decision 
setting  out  management  and  control  systems,  it  shall  request  the  Member  State  to 
revise the proposed programme accordingly. 

The  Commission  shall  adopt  each  multiannual  programme  within  four  months 
following  its  formal  submission,  in  accordance  with  the  procedure  referred  to  in 
article 52(2). 

Article 21 

Revision of multiannual programmes 

At the initiative of the Member State in question or the Commission, the multiannual 
programme  shall  be  re-examined  and,  if  necessary,  revised  for  the  rest  of  the 
programming period in order to take greater or different account of the Community 
priorities, particularly in the light of Council conclusions. Multiannual programmes 
may  be  re-examined  in  the  light  of  evaluations  and  /  or  following  implementation 
difficulties. 

The  Commission  shall  adopt  a  decision  on  the  revision  of  the  multiannual 
programme as soon as possible after the formal submission of formal submission of a 
request by the Member State concerned. 

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Article 22 

Annual programmes 

1. 

2. 

3. 

4. 

The multiannual programmes adopted by the Commission shall be implemented by 
means of annual work programmes. 

The Commission shall provide Member States, no later than 1 July of each year, with 
an estimate  of the amounts to be allocated to them for the following  year from  the 
total  appropriations  allocated  under  the  annual  budgetary  procedure,  calculated  as 
provided by Article 15. 

Member  States  shall  submit  to  the  Commission,  no  later  than  1  November  of  each 
year,  a  draft  annual  programme  for  the  following  year,  established  in  accordance 
with the multiannual programme and including:  

(a) 

(b) 

(c) 

the  general  rules  for  selection  of  projects  to  be  financed  under  the 
annual programme; 

a description of the tasks to be carried out by the responsible authority 
when implementing the annual programme; 

the proposed financial breakdown of the Fund’s contribution between 
the  programme’s  various  actions  and  an  indication  of  the  amount 
requested to cover technical assistance under Article18 for the purpose 
of implementing the annual programme. 

When examining the Member State’s proposal, the Commission shall take account of 
the  final  amount  of  the  appropriations  allocated  to  the  Fund  under  the  budgetary 
procedure and shall adopt the decision on co-financing from the Fund no later than 1 
March of the year in question. The decision shall indicate the amount allocated to the 
Member State and the period for which the expenditure is eligible. The Commission 
shall communicate to the Agency the approved national annual programmes. 

CHAPTER V 
MANAGEMENT AND CONTROL SYSTEMS 

Article 23 

Implementation 

The  Commission  shall  be  responsible  for  implementing  this  Decision  and  shall  adopt  such 
implementing rules as may be necessary. 

Article 24 

General Principles in the management and control systems 

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The  management  and  control  systems  of  multiannual programmes set  up  by  Member  States 
shall provide for:  

(a) 

(b) 

(c) 

(d) 

(e) 

(f) 

(g) 

a clear  definition of the  functions of the  bodies and / or departments 
concerned  in  management  and  control  and  a  clear  allocation  of 
functions within each body; 

a  clear  separation  of  functions  between  bodies  concerned 
in 
management,  certification  of  expenditure  and  control  and  between 
those functions within each body; 

adequate resources for each body and / or department to carry out the 
functions  which  have  been  allocated  to  it  throughout  the  period  of 
implementation of actions financed by the Fund; 

effective  internal  control  arrangements  of  the  responsible  authority 
and any delegated authority; 

reliable  accounting,  monitoring  and  financial  reporting  systems  in 
computerised form; 

an  effective  system  of  reporting  and  monitoring  where 
performance of tasks is delegated; 

the 

detailed  manuals  of  procedures  in  relation  to  the  functions  to  be 
performed; 

(h) 

effective arrangements for the audit of the functioning of the system; 

(i) 

(j) 

systems and procedures to ensure a sufficient audit trail; 

the 
procedures  concerning 
irregularities and the recovery of amounts unduly paid. 

reporting  and 

the  monitoring  of 

Article 25 

Designation of authorities  

1. 

For each multiannual programme the Member State shall designate the following: 

(a) 

(b) 

a  responsible  authority :  a  functional  body  of  the  Member  State  or 
national  public  authority  or  body  designated  by  the  Member  State, 
which  shall  be  responsible  for  the  management  of  multi-annual  and 
annual  programmes  supported  by  the  Fund  and  shall  handle  all 
communication with the Commission; 

a certifying authority: national public authority or body operationally 
independent  of  any  authorising  department  of  the  responsible 
authority,  designated  by  the  Member  State  to  certify  declarations  of 
expenditure  and  applications  for  payment  before  they  are  sent  to  the 
Commission; 

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(c) 

an  audit  authority:  national  public  authority  or  body  operationally 
independent  of  the  responsible  authority  designated  by  the  Member 
State  and  responsible  for  verifying  the  sound  operation  of  the 
management and control system. 

(d) 

where appropriate, a delegated authority; 

(e) 

a compliance assessment body which shall be designated at the time of 
the  submission  to  the  Commission  of  each  draft  multiannual 
programme.  The  Commission  may  accept  the  designated  audit 
authority  as  the  compliance  assessment  body  where  it  has  the 
necessary capacity and operational independence. It must carry out its 
work according to international audit standards. 

The Member State shall lay down rules governing its relations with those authorities 
and bodies and their relations with the Commission. 

Subject to Article 24, point b), control and certification functions may be carried out 
by the same body or department. 

The rules for implementing Articles 26 to 30 shall be adopted by the Commission in 
accordance with the procedure referred to in Article 52(2). 

Article 26 

Responsible authority 

The responsible authority may be a body of the Member State itself, a national public 
authority,  as  well  as  a  body  governed  by  the  private  law  of  the  Member State  and 
which  has  a  public-service  mission.  Where  the  Member  State  designates  a 
responsible  authority  which  is  not  a  body  of  the  Member  State  itself,  it  shall  lay 
down  all  the  arrangements  governing  its  relations  with  the  said  authority  and  the 
latter’s relations with the Commission. 

2. 

3. 

4. 

1. 

2. 

The body designated as the responsible authority shall meet the following minimum 
conditions. It shall: 

(a) 

(b) 

(c) 

have  legal  personality,  except  where  it  is  a  functional  body  of  the 
Member State; 

have  the  infrastructure  required  for  easy  communication  with  a  wide 
range  of  users  and  with  the  responsible  bodies  in  the  other  Member 
States and the Commission; 

work  in  an  administrative  context  allowing  it  to  carry  out  its  tasks 
correctly and avoiding any conflict of interest;  

(d) 

be in a position to apply Community fund management rules; 

(e) 

have financial and management capacities proportionate to the volume 
of Community funds which it will be called upon to manage;  

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(f) 

have  at 
its  disposal  personnel  with  appropriate  professional 
qualifications  and  language  skills  for  administrative  work  in  an 
international environment. 

3. 

The Member State shall provide the responsible authority with adequate funding so 
that  it  can  carry  out  its  tasks  properly  and  uninterruptedly  throughout  the  period 
2007-2013. 

Article 27 

Tasks of the responsible authority  

1. 

The responsible authority shall have responsiblility for efficient, effective and correct 
managing and implementation of the multiannual programme. It shall in particular: 

(a) 

(b) 

consult  relevant  partners  (non-governmental  organisations,  local 
authorities, competent international organisations, social partners etc.) 
through the partnership mechanism established in Article 13; 

submit  to  the  Commission  the  proposals  for  multiannual  and  annual 
programmes defined in Articles 20 and 22; 

(c) 

organise and advertise calls for tenders and proposals; 

(d) 

(e) 

(f) 

(g) 

(h) 

(i) 

organise  selection  and  award  procedures  for  Fund  co-financing  in 
accordance  with  the  principles  of  transparency,  equal  treatment  and 
non-combination of grants; 

receive the payments made by the Commission, and make payments to 
the beneficiaries; 

ensure  consistency  and  complementarity  between  co-financing  under 
the  Fund  and  from  other  relevant  national  and  Community  financial 
instruments; 

verify  the  delivery  of  the  co-financed  products  and  services  and  that 
the  expenditure  declared  for  actions  has  actually  been  incurred  and 
complies with Community and national rules; 

ensure that there is a system for recording and storing in computerised 
form  detailed  accounting  records  of  each  action  under  the  annual 
programmes  and  that  the  data  on  implementation  necessary  for 
financial management, monitoring, control and evaluation is collected; 

that  beneficiaries  and  other  bodies 

ensure 
the 
implementation  of  actions  cofinanced  by  the  Fund  maintain  either  a 
separate  accounting  system  or  an  adequate  accounting  code  for  all 
transactions relating to the operation; 

involved 

in 

(j) 

ensure that the evaluations of  multiannual programmes referred to in 
Article  48  are  carried  out  within  the  time  limits  laid  down  in  this 

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Decision  and  meet  the  quality  standards  agreed  between  the 
Commission and the Member State; 

(k) 

(l) 

set up procedures to ensure that all documents regarding expenditure 
and  audits  required  to  ensure  an  adequate  audit  trail  are  held  in 
accordance with the requirements referred to in Article 43; 

ensure  that  the  audit  authority  receives,  for  the  purposes  of  carrying 
out  the  audits  defined  in  Article  30,  paragraph  1  all  necessary 
information on management procedures operated and the projects co-
financed by the Fund; 

(m) 

ensure that the certifying authority receives all necessary information 
on the procedures and audits carried out in relation to expenditure for 
the purpose of certification; 

(n) 

(o) 

(p) 

draw  up  and  submit  to  the  Commission  reports,  statements  of 
expenditure  certified  by  the  certifying  authority  and  applications  for 
payment; 

carry  out  information  and  advisory  activities;  and  dissemination  of 
results of supported actions; 

cooperate with the Commission and the responsible authorities in the 
other Member States. 

2. 

1. 

2. 

The  responsible  authority’s  management  activities  for  projects  implemented  in  the 
Member States can be financed under the technical assistance arrangements referred 
to in Article 18. 

Article 28 

Delegation of task by the Responsible Authority 

Where  all  or  some  of  the  responsible  authority’s  tasks  are  delegated  to  a  delegated 
authority,  the  responsible  authority  shall  define  precisely  the  scope  of  the  tasks 
delegated,  and  set  out  detailed  procedures  for  the  implementation  of  the  delegated 
tasks, which shall comply with the conditions laid down in Article 26 above. 

These  procedures  shall  include  supplying  the  responsible  authority  with  regular 
information on the effective performance of the delegated tasks and a description of 
the means employed. 

Article 29 

Certifying Authority  

1. 

The certifying authority of a multiannual programme shall: 

(a) 

certify that: 

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– 

– 

the  statement  of  expenditure  is  accurate,  results  from  reliable 
accounting  systems  and  is  based  on  verifiable  supporting 
documents, 

the expenditure declared complies with applicable Community 
and national rules  and has  been incurred in respect of actions 
selected  in  accordance  with  the  criteria  applicable  to  the 
programme  and  complying  with  Community  and  national 
rules; 

(b) 

ensure  for  the  purposes  of  certification  that  it  has  received  adequate 
information  from  the  responsible  authority  on  the  procedures  and 
audits carried out in relation to expenditure included in statements of 
expenditure; 

(c) 

take account for the purposes of certification of the results of all audits 
carried out by or under the responsibility of the audit authority; 

(d)  maintain  accounting  records  in  computerised  form  of  expenditure 

declared to the Commission; 

(e) 

ensure the recovery of any Community financing found to have been 
unduly paid as a result of irregularities detected, together with interest 
where  appropriate,  keeping  an  account  of  amounts  recoverable  and 
repaying  amounts  recovered  to  the  Commission,  where  possible  by 
deducting them from the next statement of expenditure. 

2. 

The certifying authority’s activities relating to projects implemented in the Member 
States  can  be  financed  under  the  technical  assistance  arrangements  referred  to  in 
Article 18, provided that the prerogatives of this authority as described in Article 25 
are respected. 

Article 30 

Audit Authority 

1. 

The audit authority of a multiannual programme shall : 

(a) 

(b) 

(c) 

ensure  that  audits  are  carried  out  in  accordance  with  international 
audit  standards  to  verify  the  effective  operation  of  the  management 
and control system of the multiannual programme; 

ensure  that  audits  are  carried  out  on  actions  on  the  basis  of  an 
appropriate  sample  to  verify  expenditure  declared;  the  sample  shall 
represent at least 10% of the total eligible expenditure for each annual 
programme; 

present  to  the  Commission  within  six  months  of  the  approval  of  the 
multiannual  programme  an  audit  strategy  covering  the  bodies  which 
will perform the audits referred to under subparagraphs a) and b), the 
method  to  be  used,  the  sampling  method  for  audits  on  actions 

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supported by the Fund and the indicative planning of audits to ensure 
that the main beneficiaries of cofinancing by the Fund are audited and 
that audits are spread evenly throughout the programming period; 

Where the designated audit authority under this decision is also the designated audit 
authority  under  Decisions…..,  ……  and  …………  50,  or  where  common  systems 
apply  to  two  or  more  of  these  Funds,  a  single  combined  audit  strategy  may  be 
submitted under point c). 

The  audit  authority  shall  draft  a  final  report  on  the  implementation  of  the  annual 
programmes as defined in Article 50(2), which shall comprise:  

(a) 

(b) 

(c) 

an annual audit report setting out the findings of the audits carried out 
in  accordance  with  the  audit  strategy  in  respect  of  the  annual 
programme  reporting  any  shortcomings  found  in  the  systems  for  the 
management and control of the programme. 

an  opinion  as  to  whether  the  management  and  control  system  has 
operated effectively to give a reasonable assurance on the correctness 
of the statements of expenditure presented to the Commission and the 
legality and regularity of the underlying transactions. 

a  declaration  assessing  the  validity  of  the  application  for  payment  of 
the  final  balance  and  the  legality  and  regularity  of  the  underlying 
transactions covered by the final statement of expenditure. 

Where the audits referred to in paragraph 1 are carried out by a body other than the 
audit authority, the audit authority shall ensure that such bodies have the necessary 
operational independence and that the work is performed to internationally accepted 
audit standards. 

The activities of the audit authority or of the body referred to in paragraph 4 relating 
to  projects  implemented  in  the  Member  States  can  be  financed  under  the  technical 
assistance  arrangements  referred  to  in  Article  18,  provided  that  the  prerogatives  of 
this authority as described in Article 25 are respected.  

CHAPTER VI 
CONTROLS  

Article 31 

Responsibilities of the Member States 

Member  States  shall  be  responsible  for  ensuring  sound  financial  management  of 
multiannual  and  annual  programmes  and  the  legality  and  regularity  of  underlying 
transactions. 

Insert references to decisions establishing the ERF, the Integration Fund and the return fund. 

2. 

3. 

4. 

5. 

1. 

50 

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2. 

3. 

4. 

5. 

6. 

1. 

2. 

3. 

They shall ensure that responsible authorities and any delegated authority, certifying 
authorities,  audit  authorities  and  any  other  bodies  concerned  receive  adequate 
guidance on setting up the management and control systems referred to in Articles 24 
to 30 to ensure that Community financing is used efficiently and correctly.  

Member States shall prevent, detect and correct irregularities. They shall notify these 
to  the  Commission,  and  keep  the  Commission  informed  of  the  progress  in  the 
administrative and legal proceedings. 

When amounts unduly paid to a beneficiary cannot be recovered, the Member State 
is  responsible  for  reimbursing  the  amounts  lost  to  the  budget  of  the  European 
Communities. 

Member  States  shall  be  primarily  responsible  for  financial  control  of  actions  and 
shall ensure that management systems and audits are implemented in such a way as 
to  guarantee  that  Community  funds  are  used  properly  and  effectively.  They  shall 
provide the Commission with a description of these systems.  

Member  States  shall  cooperate  with  the  Commission  for  the  collection  of  the 
statistics needed for the implementation of Article 15. 

The  detailed  rules  for  implementing  paragraphs  1,  to  5  shall  be  adopted  in 
accordance with the procedure referred to in Article 52(2). 

Article 32 

Management and control systems 

Prior  to  the  adoption  of  a  multiannual  programme,  the  Member  States  shall  ensure 
that management and control systems for operational programmes have been set up 
in accordance with Articles 24 to 30. They shall be responsible for ensuring that the 
systems function effectively throughout the programming period. 

Member  States  shall  submit  to  the  Commission,  together  with  each  draft  annual 
multiannual  programme,  a  description  of  the  systems,  covering  in  particular  the 
organisation and procedures of the responsible authorities, delegated authorities and 
certifying  authorities,  and  the  internal  audit  systems  operating  in  those  authorities 
and  bodies,  the  audit  authority,  and  any  other  bodies  carrying  out  audits  under  its 
responsibility. 

Within three months of the submission to the Commission of each draft multiannual 
programme, the Member States shall submit a report established by the compliance 
assessment body setting out the results of an assessment of the systems and giving an 
opinion  on  their  compliance  with  Articles 24  to  30.  In  the  event  that  the  opinion 
contains  reservations, 
their 
seriousness. The Member States shall draw up, in agreement with the Commission, a 
plan  setting  out  the  corrective  measures  to  be  taken  and  the  timetable  for  their 
implementation. 

the  shortcomings  and 

the  report  shall 

indicate 

4. 

The detailed rules for implementing paragraphs 1 to 3 shall be adopted in accordance 
with the procedure referred to in Article 52(2). 

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1. 

2. 

3. 

4. 

5. 

1. 

Article 33 

Responsibilities of the Commission  

The  Commission  shall  satisfy  itself  in  accordance  with  the  procedure  laid  down  in 
Article 30 that the Member States have set up management and control systems that 
comply  with  Articles  24  to  30,  and  on  the  basis  of  the  annual  audit  reports  and  its 
own audits that the systems function effectively during the period of implementation 
of the multiannual programmes. 

Without prejudice to audits carried out by Member States, Commission officials or 
authorised Commission representatives may carry out on-the-spot audits to verify the 
effective  operation  of  the  management  and  control  systems,  which  may  include 
audits  on  actions  included  in  the  annual  programmes,  with  a  minimum  of  one 
working  day’s  notice.  Officials  or  authorised  representatives  of  the  Member  State 
concerned may take part in such audits. 

The Commission may require a Member State to carry out an on-the-spot check to 
verify  the  correct  functioning  of  the  systems  or  the  correctness  of  one  or  more 
transactions.  Commission  officials  or  authorised  Commission  representatives  may 
take part in such audits. 

The  Commission  shall,  in  cooperation  with  the  Member  States,  ensure  that 
appropriate information, publicity and follow-up are provided for actions supported 
by the Fund. 

The  Commission  shall,  in  cooperation  with  the  Member  States,  ensure  that  actions 
are  consistent  with,  and  complementary  to,  other  relevant  Community  policies, 
instruments and initiatives. 

Article 34 

Cooperation with the control bodies of the Member States 

The  Commission  shall  cooperate  with  the  audit  authorities  of  multiannual 
programmes to coordinate their respective control plans and audit methods and shall 
immediately  exchange  the  results  of  audits  carried  out  on  management  and  control 
systems  in  order  to  make  the  best  possible  use  of  control  resources  and  to  avoid 
unjustified duplication of work. 

The  Commission  shall  provide  its  comments  on  the  audit  strategy  presented  under 
Article 30 not later than three months or at the first meeting following its reception. 

2. 

In  determining  its  own  audit  strategy,  the  Commission  shall  identify  those 
multiannual programmes  

(a) 

which  comply  with  the  system  established  under  Article 32  without 
reservations or for which reservations have been withdrawn following 
corrective measures; and  

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(b) 

for which the audit strategy of the audit authority under Article 30 is 
satisfactory and where reasonable assurance has been obtained that the 
management and control systems  function effectively on the basis of 
the results of audits by the Commission and the Member State. 

For  those  programmes,  the  Commission  may  inform  the  Member  States  concerned 
that it will rely principally on the opinion of the audit authority as to the correctness, 
legality and regularity of expenditure declared and will carry out its own on-the-spot 
audits only in exceptional circumstances. 

CHAPTER VI 
FINANCIAL MANAGEMENT  

Article 35 

Eligibility – declarations of expenditure 

All declarations of expenditure shall include the amount of expenditure incurred by 
beneficiaries  in  implementing  the  actions  and  the  corresponding  contribution  from 
public or private funds.  

Expenditure  shall  correspond  to  the  payments  effected  by  the  beneficiaries.  It  shall 
be  justified  by  receipted  invoices  or  accounting  documents  of  equivalent  probative 
value. 

Expenditure  may  be  considered  eligible  for  support  from  the  Fund  only  if  it  is 
actually  paid  no  earlier  than  1  January  of  the  year  referred  to  in  the  Commission 
decision on co-financing indicated in Article 22(4). The co-financed actions must not 
have been completed before the starting date for eligibility. 

3. 

1. 

2. 

3. 

4. 

The following expenditure shall not be eligible for a contribution from the Fund: 

– 

– 

– 

VAT; 

interest on debt; 

the  purchase  of  land  for  an  amount  exceeding  10%  of  the  total  eligible 
expenditure for the operation concerned; 

– 

housing.  

5. 

The  rules  governing  eligibility  of  expenditure  within  the  framework  of  actions 
implemented co-financed by the Fund in the Member States under Article 4 shall be 
adopted in accordance with the procedure provided for in Article 52(2). 

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Article 36 

Wholeness of payment to beneficiaries 

Member  States  shall  satisfy  themselves  that  the  responsible  authority  ensures  that  the 
beneficiaries  receive  the  total  amount  of  the  contribution  from  public  funds  as  quickly  as 
possible. No amounts shall be deducted or withheld, nor any further specific charge or other 
charge  with  equivalent  effect  shall  be  levied  that  would  reduce  these  amounts  for  the 
beneficiaries. 

Article 37 

Use of the euro 

All  amounts  mentioned  in  the  financing  decisions  by  the  Commission,  in  the  commitments 
and payments made by the Commission as well as the amounts of certified expenditure and 
requests for payment from the Member States shall be expressed and carried out in euro.  

Article 38 

Commitments 

Community budgetary commitments shall be made annually on the basis of the Commission 
decision on co-financing referred to in Article 22(4). 

Article 39 

Payments - Prefinancing 

1. 

2. 

3. 

4. 

Payments  by  the  Commission  of  the  contribution  from  the  Funds  shall  be  made  in 
accordance with the budget commitments. 

Payments  shall  take  the  form  of  pre-financing  and  payment  of  the  balance.  They 
shall be made to the responsible authority designated by the Member State. 

A  pre-financing  payment  representing  50%  of  the  amount  allocated  in  the 
Commission’s  annual  decision  on  co-financing  by  the  Fund  shall  be  made  to  the 
Member State within sixty days following the adoption of the co-financing decision. 

A second pre-financing payment shall be made no more than three months after the 
Commission  has  approved  a  progress  report  on  implementation  of  the  annual 
programme  and  a  certified  declaration  of  expenditure  drawn  up  in  accordance  with 
Articles 29, point a) and 35, accounting for at least 70% of the amount of the initial 
payment. The amount of the second pre-financing payment made by the Commission 
shall not exceed 50% of the total amount allocated by the co-financing decision or, in 
any event, the balance of the amount of Community funds actually committed by the 
Member State for selected projects under the annual programme minus the first pre-
financing payment. 

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5. 

6. 

1. 

2. 

3. 

4. 

5. 

Interests  generated  by  pre-financing  payments  shall  be  assigned  to  the  programme 
concerned and must be deducted from the amount of public expenditure declared in 
the final statement of expenditure. 

The  amounts  paid  as  pre-financing  shall  be  cleared  from  the  accounts  when  the 
annual programme is closed. 

Article 40 

Balance payments 

The  Commission  shall  pay  the  balance  provided  it  has  received  the  following 
documents within nine months from the end date of eligibility of costs defined in the 
annual decision on co-financing by the Fund:  

(a) 

(b) 

a certified declaration of expenditure and a request for payment of the 
balance or declaration of reimbursement duly drawn up in accordance 
with Articles 29, point a) and 35; 

the  final  implementation  report  for  the  annual  programme,  including 
the information set out in Article 51; 

(c) 

the audit report, opinion and declaration provided for in Article 30(2); 

The payment of the balance is subject to the acceptance of the final implementation 
report and of the statement of validity for the request for payment of the balance. 

If the responsible authority fails to provide the documents required in paragraph 1 by 
the due date and in an acceptable format, the Commission shall decommit any part of 
the  budget  commitment  of  the  corresponding  annual  programme  that  has  not  been 
used for payment of the pre-financing. 

The automatic cancellation procedure defined in paragraph 2 shall be suspended, for 
the  amount  of  the  projects  concerned,  where  legal  proceedings  or  administrative 
appeal  having  suspensory  effects  are  ongoing  at  Member  State  level  at  the  time  of 
submission of the documents defined in paragraph 1. The Member State shall, in the 
partial  final  report  submitted,  give  detailed  information  on  such  projects,  and  send 
reports  on  progress  made  with  regard  to  these  projects  every  6  months.  Within  3 
months  of  the  conclusion  of  the  legal  proceedings  or  administrative  appeal 
procedure, the Member State shall present the documents required in paragraph 1 for 
the projects concerned. 

The  nine  months  period  referred  to  in  paragraph  1  shall  be  interrupted  if  the 
Commission has adopted a decision suspending payments of the co-financing for the 
relevant  annual  programme  in  accordance  with  the  provisions  of  Article  40.  The 
period shall start to run again from the date when the Commission decision referred 
to in Article 42(3) has been notified to the Member State. 

Without prejudice to the provisions of Article 41, the Commission shall, within six 
months  of  receiving  the  documents  referred  to  in  paragraph  1,  inform  the  Member 
State of the amount of expenditure recognised by the Commission as chargeable to 

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6. 

7. 

1. 

the  Fund,  and  of  any  financial  corrections  deriving  from  the  difference  between 
declared expenditure and the expenditure recognised. The Member State shall have 
three months to present its comments. 

Within  three  months  of  receiving  the  Member  State’s  comments,  the  Commission 
shall decide on the amount of expenditure recognised as chargeable to the Fund, and 
recover the balance arising from the difference between final recognised expenditure 
and the sums already paid to the Member States. 

Subject to available funding, the Commission shall pay the balance within no more 
than  sixty  days  from  the  date  on  which  it  accepts  the  documents  referred  to  in 
paragraph  one  above.  The  balance  of  the  budgetary  commitment  shall  be 
decommitted six months following the payment. 

Article 41 

Interruption 

The  payment  deadline  shall  be  interrupted  by  the  authorising  officer  by  delegation 
within  the  meaning  of  Regulation  (EC,  Euratom)  No  1605/2002  for  a  maximum 
period  of  six  months  if  there  are  doubts  as  to  the  proper  functioning  of  the 
management  and  control  systems  or  if  the  authorising  officer  requires  additional 
information  from  the  national  authorities  in  the  process  of  monitoring  the 
observations  made  under  the  annual  review,  or  if  s/he  suspects  that  serious 
irregularities, detected or presumed, are included in the expenditure declared. 

The  Commission  shall  inform  the  Member  State  concerned  and  the  responsible 
authority  immediately  of  the  reasons  for  the  interruption.  The  Member  State  shall 
take the necessary steps to correct the situation as soon as possible. 

2. 

The maximum period of six months shall be extended for another maximum period 
of six months if it proves necessary to adopt a decision in accordance with Articles 
42 and 45. 

Article 42 

Suspension 

1. 

All  or  part  of  the  pre-financing  and  balance  payments  may  be  suspended  by  the 
Commission when: 

(a) 

there is a serious deficiency in the management and control system of 
the  programme  which  affects  the  reliability  of  the  procedure  for 
certification of payments and for which corrective measures have not 
been taken; or 

(b) 

expenditure  in  a  certified  statement  of  expenditure  is  linked  to  a 
serious irregularity which has not been corrected; or 

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(c) 

a Member State has not complied with its obligations under Article 31 
and 32. 

2. 

3. 

4. 

The  Commission  may  decide  to  suspend  pre-financing  and  balance  payments  after 
having given the Member State the opportunity to present its observations within a 
period of three months.  

The Commission shall end suspension of pre-financing and balance payments when 
it  considers  that  the  Member  State  has  taken  the  necessary  measures  to  enable  the 
suspension to be lifted.  

If  the  required  measures  are  not  taken  by  the  Member  State,  the  Commission  may 
adopt a decision to reduce the net amount or cancel the Community contribution to 
the annual programme in accordance with Article 46. 

Article 43 

Conservation of documents 

The  responsible  authority  shall  ensure  that  all  the  supporting  documents  regarding 
expenditure  and  audits  on  the  annual  programme  concerned  are  kept  available  for  the 
Commission and the Court of Auditors.  

The documents shall be kept available at least for a period three years following the closure of 
an annual programme, without prejudice to the rules governing State aid. This period shall be 
interrupted either in the case of legal proceedings or at the request of the Commission stating 
the reasons 

The documents shall be kept either in the form of the originals or in versions certified to be in 
conformity with the originals on commonly accepted data carriers. 

This period shall be interrupted either in the case of legal proceedings or at the request of the 
Commission stating the reasons. 

CHAPTER VIII 
FINANCIAL CORRECTIONS 

Article 44 

Financial corrections established by the Member States 

1. 

2. 

Without prejudice to the Commission's responsibilities for implementing the general 
budget of the European Communities, the Member States shall be take responsibility 
in the first instance for investigating irregularities. They shall act upon evidence of 
any  major  change  affecting  the  nature  or  the  conditions  for  the  implementation  or 
control of assistance and making the required financial corrections.  

The Member States shall make the financial corrections required in connection with 
the  individual  or  systemic  irregularities  detected  in  actions  or  annual  programmes. 

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The corrections made by the Member States shall consist in recovering all or part of 
the  Community  contribution.  The  Member  State  shall  take  into  account  the  nature 
and gravity of the irregularities and the financial loss to the Fund. 

Member  States  shall  include  in  the  annual  report  sent  to  the  Commission  under 
Article  50(2)  a  list  of  cancellation  proceedings  initiated  for  the  annual  programme 
concerned. 

The corrections made by the Member State shall consist in cancelling all or part of 
the Community contribution, and, where the amount is not repaid in the time allowed 
by the relevant Member State, default interest shall be due at the rate provided for by 
Article 47(2). 

3. 

In the case of systemic irregularities the Member State shall extend its enquiries to 
cover all operations liable to be affected. 

1. 

2. 

3. 

1. 

Article 45 

Audit of accounts and financial corrections by the Commission 

Without prejudice to the powers of the Court of Auditors or the checks carried out by 
the Member States in accordance with national laws, regulations and administrative 
provisions,  Commission  officials  or  authorised  Commission  representativesmay 
carry out on the spot checks, including sample checks, on the operations financed by 
the Fund and on management and control systems with a minimum of one working 
day’s notice. The Commission shall give notice to the Member State concerned with 
the  assistance  necessary.  Officials  or  authorised 
a  view 
representatives of the Member State concerned may take part in such checks. 

to  obtaining  all 

The  Commission  may  require  the  Member  State  concerned  to  carry  out  an  on  the 
spot  check  to  verify  the  correctness  of  one  or  more  transactions.  Commission 
officials or authorised Commission representatives may take part in such checks. 

If,  after  completing  the  necessary  verifications,  the  Commission  concludes  that  a 
Member State  is  not  complying  with  its  obligations  under  Articles  31,  it  shall 
suspend the pre-financing or final payment in accordance with Article 42. 

Article 46 

Criteria for the corrections 

If the Member State has not made the corrections within the period as provided for in 
Article  42(2)  and  if  no  agreement  has  been  reached,  the  Commission  may  decide 
within three months to cancel all or part of the Community contribution to an annual 
programme when it concludes that:  

(a) 

there is a serious deficiency in the management and control system of 
the  programme  which  has  put  at  risk  the  Community  contribution 
already paid to the programme; 

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(b) 

(c) 

(d) 

expenditure  contained  in  a  certified  statement  of  expenditure  is 
irregular and has not been corrected by the Member State prior to the 
opening of the correction procedure under this paragraph; and 

a Member State has not complied with its obligations under Article 31 
prior to the opening of the correction procedure under this paragraph. 

The  Commission  shall  decide  after  having  taken  into  account  any 
comments made by the Member State. 

The  Commission  shall  base  its  financial  corrections  on  individual  cases  of 
irregularity  identified,  taking  account  of  the  systemic  nature  of  the  irregularity  to 
determine whether a flat-rate or extrapolated correction should be applied. Where the 
case  of  irregularity  relates  to  a  statement  of  expenditure  for  which  a  positive 
assurance had previously been given in accordance with the Article 30(3) point b) in 
an annual report, there will be a presumption of a systemic problem giving rise to the 
application  of  a  flat-rate  or  extrapolated  correction,  unless  the  Member  State  can 
provide proof within three months to rebut this presumption. 

The Commission shall, when deciding the amount of a correction, take account of the 
importance  of  the  irregularity  and  the  extent  and  financial  implications  of  the 
deficiencies found in the annual programme concerned. 

Where the Commission bases its position on the facts established by auditors other 
than  those  of  its  own  services,  it  shall  draw  its  own  conclusions  regarding  the 
financial  consequences,  after  examining  the  measures  taken  by  the  Member  State 
concerned under Article 32, the reports of notified irregularities and any replies from 
the Member State. 

Article 47 

Repayment 

Any repayment due to be made to the Commission shall be effected before the due 
date indicated in the order for recovery drawn up in accordance with Article 72 of the 
Council  Regulation  (EC,  Euratom)  No  1605/200251.  This  due  date  shall  be  the  last 
day of the second month following the issuing of the order. 

Any  delay  in  effecting  repayment  shall  give  rise  to  interest  on  account  of  late 
payment, starting on the due date and ending on the date of actual payment. The rate 
of such interest shall be the rate applied by the European Central Bank to its principal 
refinancing  operations,  as  published  in  the  C  series  of  the  Official  Journal  of  the 
European Communities, in force on the first calendar day of the month in which the 
due date falls, increased by three and a half percentage points. 

2. 

3. 

4. 

1. 

2. 

51 

OJ L 248, 16.12.2002. 

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Article 48 

Obligations of Member States 

A financial correction by the Commission shall not prejudice the Member State's obligation to 
pursue recoveries under Article 46. 

CHAPTER IX 
MONITORING, EVALUATION AND REPORTS 

Article 49 

Monitoring and evaluation 

1. 

2. 

3. 

The Commission shall carry out regular monitoring on the Fund in cooperation with 
the Member States. 

The  Fund  shall  be  evaluated  regularly  by  the  Commission  in  partnership  with  the 
Member  States  to  assess  the  relevance,  effectiveness  and  impact  of  actions  in  the 
light of the objectives referred to in Article 3. It shall also look at complementarity 
between  the  actions  implemented  under  the  Fund  and  those  pursued  under  other 
relevant Community policies, instruments and initiatives. 

The  Commission  shall  assess  by  December  2011  the  impact  of  the  Fund  on  the 
development  of  the  policy  and  legislation  on  external  border  control,  assess  the 
synergies  between  the  Fund  and  the  tasks  of  the  Agency  as  well  as  the 
appropriateness of the criteria established to allocate the funds between the Member 
States in light of the objectives pursued by the European Union in this area.  

Article 50 

Reports 

1. 

In each Member State the responsible authority shall take the necessary measures to 
ensure project monitoring and evaluation. 

To  that  end,  the  agreements  and  contracts  it  concludes  with  the  organisations 
responsible for the implementation of the actions shall include clauses laying down 
an  obligation  to  submit  regular  and  detailed  reports  on  the  state  of  progress  of 
implementation and completion of the assigned objectives. 

2. 

No later than nine months after the eligibility deadline for expenditure laid down in 
the co-financing decision for each annual programme, the responsible authority shall 
submit  a  final  implementation  report  and  a  final  declaration  of  expenditure  to  the 
Commission as provided by Article 35. 

3. 

The Member States shall submit to the Commission: 

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(a) 

(b) 

no  later  that  30  June  2010,  an  evaluation  report  on  the  implementation  of 
actions co-financed by the Fund. 

no later than 30 June 2012 (for the period 2007-2010) and 30 June 2015 (for 
the  period  2011-2013)  respectively,  an  evaluation  report  on  the  results  and 
impact of actions co-financed by the Fund. 

4. 

The Commission shall submit to the European Parliament, the Council, the European 
Economic and Social Committee and the Committee of the Regions: 

(a) 

(b) 

(c) 

no later than 30 June 2009, a report on the application of the criteria set out in 
article  14  for  the  annual  breakdown  of  resources  between  member  States; 
together with proposals for amendments if deemed necessary; 

no later than 31 December 2010, an intermediate report on the results achieved 
and  on  qualitative  and  quantitative  aspects  of  implementation  of  the  Fund, 
together with a proposal on the Fund’s future development; 

no later than 31 December 2012 (for the period 2007-2010) and 31 December 
2015 (for the period 2011-2013) respectively, an ex post evaluation report. 

Article 51 

Final annual report 

1. 

The  reports  referred  to  in  Article  50(2)  shall  include  the  following  information  in 
order  to  obtain  a  clear  view  of  the  implementation  of  the  annual  and  multiannual 
programmes: 

(a) 

(b) 

financial  and  operational 

the 
programme; 

implementation  of 

the  annual 

the  progress  made  in  implementing  the  multiannual  programme  and 
its  priorities  in  relation  to  their  specific,  verifiable  targets,  with  a 
quantification,  wherever  and  whenever  they  lend  themselves  to 
quantification,  of  the  physical  indicators  and  the  indicators  of 
implementation, results and impact for each priority concerned; 

(c) 

the steps taken by the Responsible Authority to ensure the quality and 
effectiveness of implementation, in particular: 

– 

– 

monitoring and evaluation measures, including data collection 
arrangements; 

a  summary  of  any  significant  problems  encountered  in 
implementing  the  operational  programme  and  any  measures 
taken; 

– 

the use made of technical assistance. 

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(d) 

the  measures  taken  to  provide  information  on  and  make  public  the 
annual and multiannual programmes 

The reports shall be judged acceptable where they contain all the information listed 
in paragraph 1. The Commission shall reach a decision on the content of the annual 
report on implementation submitted by the responsible a-uthority within two months. 
If the Commission does not respond within the time limit laid down, the report shall 
be  deemed  to  be  accepted.  The  Commission  shall  communicate  to  the  Agency  the 
approved implementation reports. 

CHAPTER X 

GENERAL AND FINAL PROVISIONS  

Article 52 

Committee 

The  Commission  shall  be  assisted  by  the  common  Committee  “Solidarity  and 
this  Decision  52  (“the 
Management  of  Migration  Flows”,  established  by 
“committee”). 

Where  reference  is  made  to  this  paragraph,  Articles  4  and  7  of  Decision 
1999/468/EC shall apply, having regard to the provisions of Article 8 thereof. 

The Committee shall adopt its Rules of Procedure. 

2. 

1. 

2. 

3. 

Article 53 

Review 

The  European  Parliament  and  the  Council  shall  review  this  Decision  on  the  basis  of  a 
proposal from the Commission by 30 June 2013 at the latest. 

This Decision shall apply from 1 January 2007. 

Article 54 

Article 55 

Addressees 

This Decision is addressed to the Member States. 

52 

Insert references to decisions establishing the ERF, the Integration Fund fund and the return fund. 

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Done at Brussels,  

For the European Parliament 
The President 

For the Council 
The President 

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EXPLANATORY MEMORANDUM 

1. 

DEVELOPING  SOLIDARITY  IN  THE  AREA  OF  INTEGRATION  OF  THIRD  COUNTRY 
NATIONALS  

1.1. 

Problem statement and analysis 

Migration from third countries into the EU is a daily reality in each Member State. While the 
relative  share  of  third  country  nationals  varies  considerably  in  Member  States,  all  are 
confronted with the phenomenon of increasing ethnic, cultural and linguistic diversity in their 
societies and the need to manage ‘intercultural relationships’.  

As  confirmed  by  the  First  Annual  Report  on  Migration  and  Integration53,  immigration 
continues to play an important role in the economic and social development of the European 
Union.  In  the  context  of  an  ageing  and  shrinking  working-age  population,  increased 
immigration flows are likely and increasingly necessary to meet the need of the enlarged EU. 
Europe must prepare for this. 

The successful integration of immigrants is both a matter of social cohesion and a prerequisite 
for economic efficiency. In the context of a relaunched Lisbon agenda, it is crucial to ensure 
integration of both established and future immigrants.  

The  importance  of  stronger  policies  to  promote  the  integration  of  third  country  nationals  in 
the  EU  is  clearly  reflected  in  the  Hague  Programme.  Legislation  safeguarding  the  rights  of 
long-term  residents,  legislation  on  family  reunification  and  legislation  on  combating 
discrimination,  racism  and  xenophobia,  have  all  been  agreed  upon  and  are  now  transposed 
into national law or shortly will be. These directives constitute the backbone of EU integration 
policy.  

Third  country  nationals  have  specific  integration  needs,  different  from  the  needs  ofother 
disadvantaged  groups,  quite  simply  because  they  are  very  often  newcomers  to  the  host 
society.  Third-country  nationals  may  often  not  be  familiar  with  European  values,  and  may 
have  limited  knowledge  of  the  language  of  the  host  community  and  of  ways  of  doing 
everyday  things.  Equally  importantly,  they  sometimes  do  not  have  the  same  rights  and 
obligations as EU nationals. Indeed, third-country nationals may be liable to severe sanctions, 
in  some  cases  involving  a  withdrawal  of  the  right  to  abode,  if  they  do  not  comply  with 
regulations relating to them or do not follow specified procedures. 

1.2. 

The way forward 

The  common  basic  principles  adopted  by  the  Council  and  the  representatives  of  the 
governments of  the Member States at the  JLS Council  on 19  November 2004 underline the 
need for a holistic approach to integration. It is stated that not only within Member States but 
also  at  the  European  level,  steps  are  needed  to  ensure  that  the  focus  on  integration  is  a 
mainstream consideration in policy formulation and implementation, while at the same time 
specific policies for integrating third-country nationals are being developed.  

53 

COM(2004) 508, 16.7.2004. 

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The  principles  underline  that  “the  failure  of  one  individual  Member  State  can  have  adverse 
implications for other Member States and the European Union” and that it is in the interest of 
all Member States to pursue effective integration strategies.  

The Commission initiated pilot projects on integration (INTI) in 2002. These initiatives were 
limited by the limited margin available under Heading 3 of the financial perspectives running 
until  the  end  of  2006.  Given  that  the  projects  have  been  very  successful,  the  Commission 
launched  the  idea  of  an  ‘Integration  Fund’  at  an  inter-ministerial  conference  on  Integration 
during the Dutch Presidency. 

1.3. 

The objectives of the Fund  

In accordance with the common basic principles, the six main policy objectives to which the 
Fund shall contribute are:  

1. 

2. 

3. 

4. 

5. 

6. 

Facilitation  of  the  organization  and  implementation  of  admission  procedures  for 
migrants, by strengthening their integration component and anticipating the needs of 
third-country nationals; 

Contribution to the organisation and implementation of introduction programmes and 
activities  for  third  country  nationals,  by  way  of  capacity  building,  policy 
development and implementation (common basic principle No 4); 

Increase of civic, cultural and political participation of third country nationals in the 
host  society,  in  order  to  promote  their  active  citizenship  and  recognition  of 
fundamental values; (common basic principle No 7) 

Strengthening of the capacity of Member States’ public and private service providers 
to  interact  with  third  country  nationals  and  their  organizations  and  to  answer  in  a 
better way the needs of different groups of third country nationals; 

Strengthening  of  the  ability  of  the  host  society  to  adjust  to  increasing  diversity  by 
targeting integration actions at the host population (common basic principle No 1) 

Increase  of  the  capacity  of  Member  States  to  develop,  monitor  and  evaluate 
integration policies. 

Besides a solidarity mechanism, the Fund also provides for a policy framework to support the 
exchange  of  experiences,  cooperation  and  best  practices  between  Member  States,  on  the 
initiative  of  the  Commission  (“Community  actions”),  in  particular  in  order  to  continue  the 
encouragement of a more structured policy development as initiated by INTI.  

1.4. 

Complementarity with the European Social Fund  

The  Communication  of  14  July  2004  on  the  Financial  Perspectives  stressed  that  "the 
implementation of a common immigration policy also requires that the Community provides a 
credible response to the multidimensional issue of integration of third country nationals. This 
implies that a greater emphasis be placed on increased participation of migrants within the 
activities of the European Social Fund (…). For those actions not covered by the ESF, such as 
participation in civic and political life, respect for diversity and civic citizenship, or measures 
addressed  to  asylum  seekers,  including  networking,  benchmarking  and  the  development  of 

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indicators  in  these  areas,  the  funding  will  be  provided  under  heading  3"  of  the  financial 
perspectives.  

In  order  to  develop  this  response,  the  Commission  put  forward  its  proposal  for  a  revised 
European  Social  Fund  (hereafter  referred  to  as  ESF)  on  14  July  2004.  In  this  proposal  it  is 
stated that it should support specific actions to strengthen the social inclusion of migrants and 
increase  their  participation  in  employment,  including  guidance  and  language  training  and 
validation of competences acquired abroad, as well as promoting diversity in the workplace 
and the combat against discrimination. Moreover, the European Employment Strategy and the 
Social Inclusion Process also provides for specific objectives for the integration of migrants 
into the labour market and in accessing basic rights, services and resources. Finally, the anti-
discrimination directives in place since 2000 set a legal framework to ensure that any form of 
racism and discrimination of third country nationals is prohibited. 

This  instrument  is  meant  to  support  complementary  activities  related  to  the  integration  of 
third-country nationals, which are not covered by the ESF. It is targeted to addressing specific 
needs  in  the  area  of  integration  arising  from  the  development  of  the  common  immigration 
policy.  

By creating a separate instrument which is targeted at third-country nationals and linked with 
solidarity  on  the  basis  of  the  relative  share  of  third  country  nationals  present  in  Member 
States,  certain  specific  challenges  identified  with  respect  to  immigrants’  lack  of  integration 
are addressed. In particular, the instrument would affect third-country nationals’ opportunities 
to meet integration requirements by their host country, provide access to comprehensive civic 
orientation courses, and ensure that immigrants have the opportunity to integrate into aspects 
of  society  other  than  the  labour  market,  in  particular  for  those  not  working  or  allowed  to 
work. This reflect the thinking in the Common Basic Principle no 4 where the Council calls 
for  introduction  programmes  that  focus  on  putting  together  the  most  appropriate  toolkit  to 
start the integration process. Pursuing such programmes will allow immigrants to quickly find 
a place in the key domains of work, housing, education, and health, and help start the longer-
term process of normative adaptation to the new society. 

The reasons why this instrument complements the ESF are further developed in the extended 
impact assessment. 

The  Commission’s  Communication  on  Migration,  Integration  and  Employment  and  the 
Annual  Report  on  Migration  and  Integration  highlighted  the  fact  that  a  mainstreaming 
approach can not stand alone to ensure successful integration into all aspects of society and to 
create  a  social  cohesive  society  in  which  immigrants  feel  they  belong.  An  instrument 
specifically targeted at third-country nationals and addressing their special needs is imperative 
to complement the efforts under the ESF in this respect.  

To ensure consistency between this instrument and the ESF, mechanisms have been devised 
to  prevent  overlaps  both  at  EU  level  and  at  national  level,  including  obligations  of  the 
implementing national authorities to coordinate their programming for the respective funds. 

2. 

EVALUATIONS  

The Commission carried out an ex ante evaluation, which is annexed to this proposal. 

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3. 

LEGAL BASIS AND RATIONALE OF THE POLICY INSTRUMENT  

3.1. 

Choice of legal basis 

The  proposed  legal  basis  for  this  Council  Decision  is  Article  63,  paragraph  3  because  this 
legislation involves “measures on immigration policy” within the area of “conditions of entry 
and residence, and standards on procedures for the issue by Member States of long-term visas 
and residence permits, including those for the purpose of family reunion” (Article 62(3)(a). 

Because the proposal is based on Title IV of the EC Treaty (Visas, asylum, immigration and 
other  policies  related  to  free  movement  of  persons),  it  must  be  presented  and  adopted  in 
accordance with the protocols on the position of the United Kingdom, Ireland and Denmark, 
annexed to the Treaty of Amsterdam. The United Kingdom and Ireland have the possibility to 
opt in this measure. Denmark will not take part  in  the  adoption  of  this  Decision,  and  is  not 
bound by it or subject to its application. 

Expressing solidarity in the allocation of the resources 

First, to express that many Member States (and in particular the new Member States) would 
need  to  make  some  structural  investments  to  successfully  integrate  third  country  nationals, 
Member States will be allocated a fixed amount each year. This amount will be higher for the 
period  2007  -  2013  for  the  states  which  acceded  to  the  European  Union  on  1 May 2004. 
Moreover, this amount will also be higher for Member States which accede to the European 
Union in the period 2007 – 2013 for the duration of the period 2007 - 2013 from the year after 
their accession. 

Second, to express the notion of solidarity, the bulk of the allocations to the Member States 
would be determined on the basis of a distribution key defining the relative share of Member 
States in relation to third country nationals legally staying within the EU. The distribution key 
would consist of two components: one relating to stock data and the other to flow data of third 
country  nationals.  For  the  first  component  the  average  will  be  taken  of  the  total  number  of 
third  country  nationals  legally  present  in  the  Member  State  over  a  period  of  three  years  in 
order to smooth out any accidental, non representative increases or decreases. For the second 
component of the total number of third country nationals who have obtained an authorisation 
to stay legally on the territory of the Member States (either under national or Community law) 
in  the  last  three  years  will  be  added  up.  This  total  would  then  roughly  correspond  to  the 
number of persons likely to benefit from integration measures for newcomers, assuming that 
introduction programmes and other ‘welcome’ activities may occur after the year in which the 
persons were admitted and may involve a series of courses taking place over a period of one 
or two years. 

Since  the  Commission  proposes  that  the  Fund  focuses  mainly  on  third  country  nationals 
having  recently  arrived  and  been  admitted  by  a  Member  State  to  reside  in  its  territory 
(‘newcomers’), the second component would be the most important one and would therefore 
be weighed more than the first (60%). The purpose is to direct the Fund to support for those 
Member States which have only recently started to welcome migrants or to those which are 
likely to become immigration countries in the period covered by these financial perspectives. 
The emphasis on newcomers should be reviewed. 

The  combination  of  such  criteria  for  the  distribution  of  funds  will  ensure  that  evolutions 
(relating for example to changes in immigration policies) are duly taken into account in the 

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financial  allocation  method,  allowing  corrective  action  to  be  taken  with  the  support  of  the 
Fund. 

For  the  flows  component,  certain  categories  of  third  country  nationals  have  to  be  excluded 
from the calculation method, such as students, researchers and seasonal workers and persons 
receiving a change of status or an extension of stay previously granted.  

Both for the stock and the flows components, refugees and other beneficiaries of international 
protection  are  excluded  as  they  are  covered  by  the  European  Refugee  Fund.  On  the  other 
hand,  persons  receiving  a  humanitarian  residence  permit  (for  instance  for  medical  reasons) 
can be included as they are not covered by the ERF. 

This  is  without  prejudice  to  the  possibility  of  Member  States  to  direct  funding  to  actions 
which would (also) cover students, researchers and seasonal workers. 

3.2. 

Actions defined within the Fund 

In view of the general objectives of the Fund of contributing to the implementation of national 
integration  policies  in  accordance  with  the  Common  Basic  Principles,  the  Commission 
proposes to implement the Fund mainly through shared management with the Member States. 
This will allow for a financial support targeted in accordance with the specific situation and 
needs of each Member State.  

Furthermore, to ensure the use of funds in the most efficient way, the proposal contains very 
detailed provisions as regards the operational objectives to be achieved as well as the types of 
actions identified as contributing to these objectives. 

3.3. 

Programming 

Programming is organised on a multiannual level, with two programming periods: 2007-2010 
and 2011-2013.  

The programming is based on a two-step approach: 

Multiannual programming (political level): on the basis of the strategic guidelines adopted by 
the  Commission,  and  taking  into  accounts  an  analysis  of  its  shortcomings  and  needs,  each 
Member  State  will  prepare  a  national  multiannual  programme  containing  priorities  and  a 
strategy  for  action,  which  will  be  negotiated  with  the  Commission  and  constitute  the 
framework for preparing the operation  

Annual  programming  (operational  level):  on  the  basis  of  the  agreed  strategy  and  of  the 
allocation  of  resources  resulting  from  the  application  of  strictly  defined  criteria,  the 
Commission  would  adopt  an  annual  programme  for  each  Member  State.  The  annual 
programmes would be defined at an operational level. 

3.4. 

Financial management and control 

Within  the  framework  of  shared  management,  one  of  the  key  objectives  of  the  future 
regulatory package for the 2007-2013 programming period is to clearly delimit on the basis of 
experience gained from the current body of law, the framework, the nature, and the division 
of responsibility between the different actors concerned by the execution of the Community 
budget. 

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3.5.  Management and control systems 

The draft Decision increases the coherence and transparency of the overall architecture of the 
management and control systems of the Fund: 

•  The coherence, as it is clearly defined that the same minimum conditions are applicable to 
the control and audit systems at all levels of the process, as well as the respective tasks and 
obligations of the different actors; 

•  The  transparency,  as  it  is  necessary  that  the  different  actors  concerned  by  the  controls 
become  aware  of  the  results  of  the  controls  of  each  part,  in  order  to  improve  efficiency, 
efficacy and the overall balance of the system. 

The  draft  Decision  defines  a  common  basis  of  a  minimum  set  of  conditions  which  any 
management  and  internal  control  system  concerned  by  the  management  of  the  Fund  shall 
comply with. To this end, the Member States shall provide an assurance in relation with the 
management and control systems: 

•  At  the  beginning  of  each  multiannual  period,  via  the  opinion  on  the  system  by  an 

independent audit body;  

•  Each year, via the opinion of the audit authority supported by an annual control report and 
an  assurance  on  the  final  statement  of  expenditure  attached  to  the  final  report  of 
implementation of annual programmes. 

The principle  of additionality – i.e. EU  resources should add to rather than replace national 
resources - will remain a key principle. Member States are responsible for ensuring that the 
principle of additionality applies within the Fund. 

The draft Decision proposes the setting up of a procedure of interruption and suspension of 
payments  in  case  of  serious  problems  at  the  moment  of  the  presentation  of  the  request  for 
payment. 

4. 

SUBSIDIARITY AND PROPORTIONALITY 

Subsidiarity 

The fundamental principle remains that of Member States’ responsibility for the development 
and  implementation  of  integration  strategies.  However,  national  efforts  to  implement 
‘common basic principles’ can be supported by a Fund in view of the implications of  these 
policies  for  the  other  Member  States.  The  actions  to  be  supported  must  therefore  clearly  be 
identified, linked to objective conditions in individual states and bringing added value to the 
Community as a whole. 

Proportionality 

The  decision  will  make  it  possible  to  provide  financial  support  from  the  Fund  to  a  list  of 
actions  which  contribute  operationally  to  a  series  of  identified  specific  objectives,  while 
leaving the Member States to select the actions and the way in which they are to be carried 
out  under  schemes  agreed  in  conjunction  with  the  Commission.  The  use  of  Community 

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appropriations  must  also  be  subject  to  clear  and  uniform  rules  contained  in  a  Council 
decision, which is the appropriate instrument for implementing Community programmes. 

5. 

BUDGETARY IMPLICATIONS 

The  financial  allocation  for  the  Fund  under  the  Financial  Perspectives  proposed  by  the 
Commission for the 2007-2013 period is EUR 1.771million. 

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2005/0048 (CNS) 

Proposal for a 

COUNCIL DECISION 

establishing the European Fund for the Integration of Third-country nationals for the 
period 2007-2013 as part of the General programme ‘Solidarity and Management of 
Migration Flows’ 

THE COUNCIL OF THE EUROPEAN UNION, 

Having regard to the Treaty establishing the European Community, and in particular Article 
63(3)(a) thereof, 

Having regard to the proposal from the Commission54, 

Having regard to the opinion of the European Parliament55, 

Having regard to the opinion of the European Economic and Social Committee56, 

Having regard to the opinion of the Committee of the Regions57 

Whereas: 

(1)  With  a  view  to  the  progressive  establishment  of  an  area  of  freedom,  security  and 
justice,  the  Treaty  establishing  the  European  Community  provides  both  for  the 
adoption of measures aimed at ensuring the free movement of persons, in conjunction 
with flanking measures relating to external borders controls, asylum and immigration, 
and for the adoption of measures relating to asylum, immigration and safeguarding the 
rights of third country nationals. 

(2) 

The European Council, at its special meeting in Tampere on 15 and 16 October 1999, 
stated  that  the  European  Union  must  ensure  fair  treatment  of  third  country  nationals 
who  are  legally  on  the  territory  of  its  Member  States.  A  more  vigorous  integration 
policy should aim at granting them rights and obligations comparable to those of EU 
citizens.  It  should  also  enhance  non-discrimination  in  economic,  social  and  cultural 
life and develop measures against racism and xenophobia. 

(3) 

The  integration  of  third  country  nationals  in  the  Member  States  is  a  key  element  in 
promoting economic and social cohesion, a fundamental objective of the Community 
stated in the Treaty. 

54 
55 
56 
57 

OJ C … 
OJ C … 
OJ C … 
OJ C … 

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(4) 

(5) 

(6) 

(7) 

(8) 

(9) 

(10) 

In  the  Hague  Programme  of  4-5  November  2004,  the  European  Council  underlines 
that to achieve the objective of stability and cohesion within Member States’ societies 
it is essential to develop effective policies. It calls for greater coordination of national 
integration  policies  on  the  basis  of  a  common  framework  and  invites  the  Member 
States,  the  Council  and  the  Commission  to  promote  the  structural  exchange  of 
experience and information on integration. 

As  requested  in  the  Hague  Programme,  the  Council  of  the  European  Union  and  the 
representatives of the governments of the Member States established on 19 November 
2004  ‘Common  Basic  Principles  for  immigrant  integration  policy  in  the  European 
Union’.  The  Common  Basic  Principles  assist  Member  States  in  formulating 
integration  policies  by  offering  them  a  thoughtful  guide  of  basic  principles  against 
which they can judge and assess their own efforts. 

The  Common  basic  principles  are  complementary  and  in  full  synergy  with  existing 
legislative frameworks, including those relating to gender equality, non discrimination 
and social inclusion, the European Convention on Human Rights and the Community 
instruments containing integration provisions, such as the Council Directives framing 
a  common  immigration  policy  on  the  basis  of  the  Treaty  establishing  the  European 
Community, and in particular points 3 and 4 of Article 63 thereof. 

The Council of 14 October 2002 stresses in its Conclusions on Integration that newly 
arrived immigrants should have quick and appropriate access to information on their 
host  society  and  language  courses  should  be  established  in  accordance  with  national 
law. The Council also finds it important that the national systems encourage an active 
participation of third country nationals in Community life and on the labour market in 
accordance with national law. Integration policies of Member States imply concerted 
action by governments, regional and local authorities, migrant and non governmental 
organisations, social partners and civil society. 

The  failure  of  an  individual  Member  State  to  develop  and  implement  integration 
policies can have in different ways adverse implications for other Member States and 
the European Union. 

To  underpin  this  programming  in  the  area  of  integration,  the  budgetary  Authority 
entered  specific  appropriations  in  the  general  budgets  of  the  European  Union  from 
2003 to 2005 for the financing of preparatory actions in the field of integration. 

In accordance with the 2002 Conclusions on integration, the Commission proposed, in 
its  Communication  on  the  financial  perspectives  of  14  July  2004,  that  a  greater 
emphasis be placed on increased participation of migrants within the activities of the 
European Social Fund (hereafter ESF). In its proposal for the ESF for the period 2007-
2013,  the  Commission  stated  that  it  should  support  specific  action  to  strengthen  the 
social  integration  of  migrants  and  increase  their  participation  in  employment, 
including  guidance  and  language  training  and  validation  of  competences  acquired 
abroad,  as  well  as  promoting  diversity  in  the  workplace  and  the  combat  against 
discrimination. 

(11)  Moreover,  in  light  of  the  preparatory  actions,  and  referring  to  the  Commission 
Communications  on  immigration,  integration  and  employment  and  the  First  annual 
report  on  Migration  and  Integration,  it  is  considered  necessary  to  endow  the 

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Community  from  2007  with  a  specific  instrument  designed  to  contribute  to  the 
national efforts of Member States to develop and implement integration policies which 
enable  third-country  nationals  of  different  cultural,  religious,  linguistic  and  ethnic 
backgrounds  to  settle  and  take  actively  part  in  all  aspects  of  European  societies,  in 
accordance with the Common Basic Principles and in complement with the ESF. 

(12)  To ensure the consistency of the Community’s response to integration of third country 
nationals,  actions 
instrument  should  be  specific  and 
this 
complementary  to  actions  financed  under  the  ESF.  In  this  context,  specific  joint 
programming arrangements to ensure the consistency of the Community’s response to 
integration  of  third  country  nationals  through  the  ESF  and  this  instrument  will  be 
developed. 

financed  under 

(13)  Bearing in mind that this instrument and the ESF are under shared management with 
Member  States,  arrangements  should  also  be  made  at  national  level  to  ensure 
consistency in implementation. For that purpose, the authorities of the Member States 
responsible for the implementation of this instrument should be required to establish 
cooperation  and  coordination  mechanisms  with  the  authorities  designated  by  the 
Member States for managing the implementation of the ESF and to ensure that actions 
under this Fund should be specific and complementary to actions financed under the 
ESF. 

(14)  This instrument is designed to form part of a coherent framework entitled the General 
programme  ‘Solidarity  and  Management  in  Migration  Flows’,  which  aims  at 
addressing  the  issue  of  a  fair  share  of  responsibilities  between  Member  States  as 
concerns  the  financial  burden  arising  from  the  introduction  of  an  integrated 
management of the Union’s external borders and from the implementation of common 
policies on asylum and immigration, as developed in accordance with Title IV of the 
Treaty establishing the European Community. 

(15)  The  support  provided  by  the  Fund  will  be  more  efficient  and  better  targeted  if  co-
financing  of  eligible  actions  is  based  on  strategic  multiannual  programmes  and  on 
related annual work programmes drawn up by each Member State in cooperation with 
the Commission. 

(16)  On  the  basis  of  the  strategic  guidelines  adopted  by  the  Commission,  each  Member 
State  should  prepare  a  multiannual  programming  document  taking  into  account  its 
situation and needs and setting out its development strategy, which is negotiated with 
the  Commission  and  decided  by  the  Commission,  and  constitutes  the  framework  for 
preparing the annual programmes. 

(17)  Multiannual  programming  shall  be  directed  towards  achieving  the  Funds’  objectives 
by  ensuring  the  availability  of  the  necessary  financial  resources  and  the  consistency 
and continuity of joint action by the Community and the Member States. 

(18) 

In  addition  to  the  specific  arrangements  made  to  ensure  consistency  with  the  ESF, 
programming should ensure coordination of the Fund with the other existing financial 
instruments,  such  as  the  European  Refugee  Fund,  the  External  Borders  Fund,  the 
European Return Fund and the PROGRESS programme. 

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(19) 

In  the  context  of  shared  management  as  referred  to  in  Article  53(1),  point  b),  of  
Council  Regulation  (EC,  Euratom)  No  1605/2002  of  25  June  2002  on  the  Financial 
Regulation  applicable  to  the  general  budget  of  the  European  Communities58,  the 
conditions allowing the Commission to exercise its responsibilities for implementation 
of  the  general  budget  of  the  European  Communities  should  be  specified  and  the 
obligations  for  the  cooperation  on  the  Member  States  clarified.  Applying  these 
conditions will enable the Commission to satisfy itself that Member States are utilising 
the Fund in a lawful and correct manner and in accordance with the principle of sound 
financial management within the meaning of Article 27 of the Financial Regulation. 

(20) 

In  order  to  ensure  a  genuine  impact,  contributions  from  the  Fund  may  not  replace 
public expenditure by the Member States under the terms of this Decision. 

(21)  Objective  criteria  should  be  established  to  allocate  the  funds  to  the  Member  States. 
These  criteria  should  take  into  account  the  total  amount  of  third  country  nationals 
legally  staying  in  Member  States  and  the  total  new  admission  of  third  country 
nationals over a given reference period. Emphasis should be put on new admissions, to 
express  in  particular  the  need  for  support  to  those  Member  States  which  have  only 
recently  started  to  welcome  migrants  or  to  those  which  are  likely  to  become 
immigration  countries  in  the  period  covered  by  these  financial  perspectives.  The 
criteria should be reviewed. 

(22)  Under  technical  assistance,  this  instrument  should  provide  support  for  evaluations, 
improvement  of  administrative  capacity  linked  to  the  management  of  the  Fund, 
studies,  pilot  projects  and  exchanges  of  experience  intended,  in  particular,  to 
encourage innovative approaches and practices. 

(23)  Member States should adopt adequate measures to guarantee the proper functioning of 
management  and  control  system.  To  this  end,  it  is  necessary  to  establish  the  general 
principles  and  the  necessary  functions  which  the  systems  of  all  programmes  shall 
fulfil. 

(24) 

(25) 

It is necessary to provide for the designation of a single responsible authority in each 
Member  State  for  the  management  of  the  Fund’s  interventions  and  to  clarify  its 
responsibilities.  Designation  and  functions  of  the  audit  authority  should  be  also 
foreseen. In addition, in order to guarantee uniform quality standards concerning the 
certification  of  expenditures  before  their  transmission  to  the  Commission  and  to 
clarify the nature and quality of the information on which declarations of expenditure 
are based, it is necessary to provide for the designation of the certification authority. 

In  accordance  with  the  principles  of  subsidiarity  and  proportionality,  Member  States 
the 
the 
have 
interventions. 

implementation  and  control  of 

the  primary  responsibility  for 

(26)  The obligations on the Member States as regards management and control systems, the 
certification  of  expenditure,  and  the  prevention,  detection  and  correction  of 
irregularities  and  infringements  of  Community  law  should  be  specified  to  guarantee 
the efficient and correct implementation of their multiannual and annual programmes. 

58 

OJ L 248,16.9.2002, p. 1. 

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In  particular,  as  far  as  the  management  and  control  are  concerned,  it  is  necessary  to 
establish the modalities by which Member States ensure that the systems are in place 
and function satisfactorily. 

(27)  Without  prejudice  to  the  Commission’s  powers  as  regards  financial  control, 
cooperation  between  the  Member  States  and  the  Commission  in  this  field  should  be 
increased  and  the  criteria  should  be  established  which  allow  the  Commission  to 
determine,  in  the  context  of  its  strategy  of  control  of  national  systems,  the  level  of 
assurance it can obtain from national audit bodies. 

(28) 

In  addition  to  the  suspension  of  payments  where  shortcomings  are  detected  in  the 
management and  control  systems,  there should be measures allowing the authorising 
officer  by  delegation  to  suspend  payments  where  there  are  doubts  about  the  sound 
operation of these systems or for the Commission to make a deduction from payments 
if  the  Member  State  concerned  has  not  implemented  all  remaining  measures  in  a 
corrective plan of action. 

(29)  The effectiveness and impact of actions supported by this instrument also depend on 
their evaluation. The responsibilities of the Member States and the Commission in this 
regard, and arrangements to ensure the reliability of evaluation, should be formalised. 

(30)  Actions should be evaluated with a view to a mid-term review and impact assessment, 
into  project  monitoring 

the  evaluation  process  should  be 

incorporated 

and 
arrangements. 

(31)  This  Decision  establishes  a  financial  framework  for  the  entire  duration  of  the 
programme, which is to be the principal point of reference for the budgetary authority 
within  the  meaning  of  point  33  of  the  interinstitutional  agreement  of  6  May  1999 
between the European Parliament, the Council and the Commission on the budgetary 
discipline and improvement of the budgetary procedure59.  

(32)  Since the objectives of the proposed action, namely to promote the integration of third 
country nationals in the host societies of Member States within the framework of the 
Common Basic Principles, cannot be sufficiently achieved by the Member States and 
can therefore, by reason of the scale and effects of the action, be better achieved by the 
Community, the Community may adopt measures, in accordance with the principle of 
subsidiarity as  set out in  Article 5 of  the Treaty. In accordance with the principle of 
proportionality,  as  set  out  in  that  Article,  this  Decision  does  not  go  beyond  what  is 
necessary in order to achieve those objectives.  

(33)  The measures necessary for the implementation of this Decision should be adopted in 
accordance  with  Council  Decision  1999/468/EC  of  28  June  1999  laying  down  the 
procedures for the exercise of implementing powers conferred on the Commission.60 

(34) 

In  accordance  with  Article  1  and  2  or  the  Protocol  on  the  position  of  Denmark, 
annexed to the Treaty on European Union and to the Treaty establishing the European 
Community, Denmark does not take part in the adoption of this Decision, and is not 
bound by it or subject to its application. 

59 
60 

OJ C 172, 18.6.1999, p. 1. 
OJ L 184, 17.7.1999, p. 23. 

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HAS ADOPTED THIS DECISION: 

TITLE I 
OBJECTIVES AND GENERAL RULES 

CHAPTER I 
SUBJECT MATTER, OBJECTIVES AND ACTIONS 

Article 1 

Subject matter and scope  

This  decision  establishes  for  the  period  from  1  January  2007  to  31  December  2013  the 
European  Fund  for  integration  of  third-country  nationals,  hereinafter  referred  to  as  « The 
Fund », as part of the General programme "Solidarity and Management of Migration Flows", 
in  order  to  contribute  to  the  strengthening  of  the  area  of  Freedom,  Security  and  Justice  and 
more generally to the attainment of the objectives of the European Union. 

This  decision  defines  the  objectives  to  which  the  Fund  contributes,  its  implementation,  the 
available  financial  resources  and  the  distribution  criteria  for  the  allocation  of  the  available 
financial resources. 

It establishes the Fund’s management rules, including financial ones, monitoring and control 
mechanisms  based  on  a  share  of  responsibilities  between  the  Commission  and  the  Member 
States. 

Article 2 

General Objectives of the Fund 

1. 

2. 

3. 

The  general  objective  of  the  Fund  is  to  support  the  efforts  of  Member  States  in 
enabling third-country nationals of different cultural, religious, linguistic and ethnic 
backgrounds  to  settle  and  take  actively  part  in  all  aspects  of  European  societies  as 
regards  admission  procedures,  basic  introduction  programmes  and  activities, 
participation in civic and political life and respect for diversity and civic citizenship.  

For  the  purpose  of  paragraph  1  the  Fund  will  contribute  to  the  development  of 
national integration strategies for third country nationals which take into account the 
Common Basic Principles for immigrant integration policy in the European Union as 
agreed  by  the  Council  and  the  representatives  of  the  governments  of  the  Member 
States of 19 November 2004.  

The Fund shall contribute to the financing of the technical assistance on the initiative 
of the Member States or the Commission. 

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Article 3 

Specific objectives 

The Fund shall contribute to the following specific objectives:  

(a) 

(b) 

(c) 

(d) 

Facilitation  of  the  organization  and  implementation  of  admission  procedures 
for migrants; 

to 

the  organisation  and 

Contribution 
introduction 
programmes  and  activities  for  third-country  nationals  aiming  at  introducing 
newly arrived third-country nationals to the host society and enabling them to 
acquire basic knowledge about the host society’s language, history, institutions, 
socio economic features, cultural life and the fundamental norms and values,  

implementation  of 

Increase of civic, cultural and political participation of third-country nationals 
in  the  host  society  and  improve  dialogue  between  different  groups  of  third-
country nationals, the  government and civil  society, in order to promote their 
active citizenship and recognition of fundamental values;  

Strengthening  of  the  capacity  of  Member  States’  service  providers  to  interact 
with third-country nationals and the organizations representing migrants and to 
answer in a better way the needs of different groups of third country nationals, 
including women and children; 

(e) 

Strengthening of the ability of the host society to adjust to increasing 
diversity  by  targeting  integration  actions  at  the  host  population,  thus 
emphasizing the two way process required for successful integration, 
taking  into  account  the  developments  in  the  area  of  diversity 
management;  

(f) 

Increase  of  the  capacity  of  Member  States  to  develop,  monitor  and 
evaluate integration policies for third country nationals. 

Article 4 

Eligible actions in the Member States 

1. 

As regards the objective defined in Article 3, point (a), the Fund shall support actions 
in Member States which: 

(a) 

(b) 

facilitate  the  development  by  Member  States  of  admission  procedures  by 
supporting consultation processes with relevant stakeholders and expert advice 
or information exchanges on approaches which target specific nationalities or 
categories of third country nationals; 

render the implementation of such procedures more effective and accessible to 
third-country nationals by using user-friendly Communication and Information 
Technology, inter alia for information campaigns and selection procedures; 

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(c) 

prepare third-country nationals admitted for  their integration into host  society 
in a better way by supporting pre-travel measures such as information packages 
and comprehensive civic orientation courses in the country of origin. 

2. 

As regards the objective defined in Article 3, point (b), the Fund shall support actions 
in Member States which: 

(a) 

(b) 

(c) 

(d) 

develop and improve the quality of introduction programmes and activities for 
newly  arrived  third-country  nationals  at  local  and  regional  level,  with  a 
particular emphasis on civic orientation; 

reinforce the capacity of introduction programmes and activities to reach out to 
particular  groups,  such  as  dependants  of  persons  subject  to  admission 
procedures, children, women, elderly, illiterate or third-country nationals with 
disabilities,  taking  into  account  their  specific  needs  in  light  of  criteria  set  for 
successfully completing introduction programmes; 

increase  the  flexibility  of  introduction  programmes  and  activities  related  to 
civic  orientation,  in  particular  through  part  time  courses,  fast  track  modules, 
distance  or  E-learning  systems  or  similar  models,  enabling  third-country 
nationals  to  follow  the  programmes  while  at  the  same  time  working  or 
studying; 

develop  and  implement  introduction  programmes  or  activities  related  to  civic 
orientation,  targeting  at  young  third-country  nationals,  in  particular  “late 
arrivals”,  with  specific  social  and  cultural  problems  related  to  identity  issues 
and  prevention  of  delinquency,  including  mentoring  and  “role-model” 
programmes. 

3. 

As regards the objective defined in Article 3 point (c), the Fund shall support actions 
in Member States which: 

(a) 

(b) 

(c) 

(d) 

contribute  to  the  development  of  inter-faith  and  religious  dialogue  platforms 
between  communities  (horizontal)  and  between  communities  and  policy  and 
decision-making  authorities  (vertical)  aiming  at  respect  for  civic  citizenship 
and at diversity; 

facilitating 

increase  third-country  nationals’  civic  participation  and  their  role  as  active 
(volunteer) 
citizens  by 
organisations or by supporting the development and implementation at local or 
regional  level  of  special  volunteering  programs,  internship  schemes  and 
capacity building designed thereto; 

their  participation 

in  mainstream 

contribute to enhanced civic participation of particular groups of third-country 
nationals,  such  as  dependants  of  persons  selected  for  admission  programmes, 
children, women, elderly, illiterate or persons with disabilities; 

support within the political decision making process of the Member States the 
development of national, regional and local advisory platforms for consultation 
information  between  all 
of 
stakeholders; 

third-country  nationals  and  exchange  of 

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(e) 

(f) 

increase third-country nationals’ participation in local elections and democratic 
processes  by  supporting  awareness  raising  and  information  campaigns  and 
capacity building programmes designed thereto; 

contribute  to  the  elaboration  and  improvement  of  national  preparatory 
citizenship and naturalisation programmes. 

4. 

As regards the objective defined in Article 3 point (d), the Fund shall support actions 
in Member States which: 

(a) 

(b) 

(c) 

(d) 

(e) 

render  more  accessible  service  providers  for  third-country  nationals  by 
providing  inter  alia  intercultural  interpretation  and  translation  services, 
representatives  of 
mentoring  programmes, 
communities,  developing  and  improving  access  to  one-stop-shop  information 
points and to improve the staff’s intercultural capacities; 

services  by 

intermediary 

develop  and  update  comprehensive  information  tools,  such  as  manuals, 
websites, registers of staff diversity skills; 

build  sustainable  organisational  structures  for  integration  and  diversity 
management  and  to  develop  modes  of  co-operation  between  different 
governmental stakeholders enabling officials to swiftly gain information about 
experiences and practices elsewhere and, where possible, to pool resources; 

reinforce  the  capacity  to  coordinate  national  integration  strategies  for  third 
country nationals at national level across the different levels of government; 

introduce and implement schemes to gather and analyse information about the 
needs of different categories of third-country nationals at local or regional level 
by  involving  platforms  for  the  consultation  of  third-country  nationals  and  the 
exchange  of 
immigrant 
communities, and how best to respond to those needs. 

information  between  stakeholders,  surveys  of 

5. 

As regards the objective defined in Article 3 point (e), the Fund shall support actions 
in Member States which: 

(a) 

(b) 

(c) 

promote  knowledge  within  the  host  society  of  the  contents  and  consequences 
of  the  introduction  programmes,  activities  and  admission  programmes  and 
interaction  thereon  with  public  and  private  service  providers,  employers, 
including SME, educational and other institutions; 

increase  the  acceptance  of  migration  and  admission  programmes  in  the  host 
society through awareness raising campaigns; 

contribute  to  the  organisation  and  promotion  of  (large)  intercultural  popular 
events reaching out to specific target groups or the public at large in so far as 
such  events  foresee  intercultural  dialogue  and  exchanges  of  view  on  the 
multicultural society; 

(d) 

promote the dialogue and exchanges between (youth) organisations of different 
cultures; 

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(e) 

increase advocacy of integration issues;  

(f) 

increase involvement of third-country nationals in the development of society’s 
responses to migration phenomena; 

(g) 

increase the role of private bodies in promoting and managing diversity. 

6. 

As regards the objective defined in Article 3 point (f), the Fund shall support actions 
in Member States which: 

(a) 

(b) 

(c) 

(d) 

(e) 

enhance  the  capacity  to  collect,  analyse  and  disseminate  statistics  on 
integration of third country nationals and integration policies for third country 
nationals; 

contribute  to  the  evaluation  of  immigration  and  integration  policies  for  third 
country  nationals  by  supporting  national  impact  assessments,  consultation 
mechanisms  of  stakeholders  such  as  employers  and  educational  institutions, 
evaluation mechanisms and monitoring measures; 

develop indicators and benchmarking for measuring progress at national level; 

develop  high  quality  tests  and  evaluation  schemes  for  compulsory  integration 
programmes; 

to 

introduction 
contribute 
the  evaluation  of  admission  procedures  or 
programmes  by  supporting  representative  surveys  among 
third-country 
nationals  having  benefited  from  the  programmes  and  relevant  stakeholders, 
such  as  enterprises,  non-governmental  organisations  and  regional  or  local 
authorities. 

Article 5 

Actions of interest to the Community 

1. 

At  the  Commission's  initiative,  up  to  7%  of  the  Fund's  available  resources  may  be 
used  to  finance  transnational  actions  or  actions  of  interest  to  the  Community  as  a 
whole  (“Community  actions”)  concerning  immigration  and  integration  policy  and 
measures applicable to the target group as referred to in Article 6. 

2. 

To be eligible for funding, Community actions shall in particular: 

(a) 

(b) 

further Community cooperation in implementing Community law and 
good  practices  in  the  field  in  the  field  of  immigration  and  good 
practices in the field of immigration and integration; 

support  for  the  setting-up  of  transnational  cooperation  networks  and 
pilot  projects  based  on  transnational  partnerships  between  bodies 
located  in  three  or  more  Member  States  designed  to  stimulate 
innovation,  facilitate  exchanges  of  experience  and  good  practice  and 
improve the quality of return policy; 

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(c) 

support for transnational awareness-raising campaigns; 

(d) 

(e) 

(f) 

support  for  studies,  dissemination  and  exchange  of  information  on 
best practices and all other aspects of the Fund, including for the use 
of state of the art technology,  

support  pilot  projects  and  studies  exploring  the  possibility  of  new 
forms  of  Community  cooperation  in  the  field  of  immigration  and 
integration and Community law in the field of immigration;  

support  the  development  of  statistical  tools,  methods  and  common 
indicators.  

3. 

The annual work programme laying down the priorities for Community actions shall 
be adopted in accordance with the procedure referred to in Article 51(2). 

Article 6 

Target Groups 

1. 

For the purpose of this Decision the target group shall include:  

(a) 

(b) 

third country nationals who have obtained an authorisation issued by 
the authorities of a Member States to stay legally on its territory, be it 
for  employment,  self-employment,  family  reunification  or  any  other 
purpose  set  out  in  national  law,  except  for  third  country  nationals  or 
stateless persons who qualify as a refugee or are eligible for subsidiary 
protection  in  accordance  with  Council  Directive  2004/83/EC  of  29 
April 2004; and 

third country nationals who are on the territory of a third country and 
who,  with  a  view  to  obtaining  an  authorisation  issued  by  the 
authorities  of  a  Member  State  to  come  and  stay  legally  on  this 
Member  State’s  territory,  are  complying  with  specific  pre-departure 
conditions  set  out  in  national  law,  including  those  relating  to  the 
ability to integrate in the society of this Member State  

2. 

Third  country  national  means  any  person  who  is  not  a  Union  citizen  within  the 
meaning of Article 17(1) of the Treaty. 

CHAPTER II 
PRINCIPLES OF ASSISTANCE 

Article 7 

Complementarity, consistency and compliance 

1. 

The  Fund  shall  provide  assistance  which  complements  national,  regional  and  local 
actions, integrating into them the priorities of the Community. 

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2. 

3. 

1. 

2. 

1. 

2. 

1. 

In particular, to ensure the consistency of the Community’s response to integration of 
third country nationals, actions financed under this instrument shall be specific and 
complementary to actions financed under the European Social Fund.  

The Commission and the Member States shall ensure that assistance from the Fund 
and the Member States is consistent with the activities, policies and priorities of the 
Community.  This  consistency  shall  be  indicated  in  particular  in  the  multiannual 
programme. 

Operations financed by the Fund shall comply with the provisions of the Treaty and 
of acts adopted under them. 

Article 8 

Programming 

The  objectives  of  the  Fund  shall  be  pursued  in  the  framework  of  two  multiannual 
programming  periods  (2007-2010  and  2011-2013).  The  multiannual  programming 
system  shall  include  the  priorities  and  a  process  of  management,  decision  making, 
auditing and certification. 

The multiannual programmes adopted by the Commission shall be implemented by 
means of annual programmes. 

Article 9 

Subsidiary and proportional intervention 

Implementation of multiannual and annual programmes referred to in Articles 19 and 
21 shall be the responsibility of Member States at the appropriate territorial level, in 
accordance  with  the  institutional  system  specific  to  each  Member  State.  This 
responsibility shall be exercised in accordance with this Decision. 

The  means  employed  by  the  Commission  and  the  Member  States  shall  vary 
according to the size of the Community contribution in relation to audit provisions. 
Differentiation  also  applies  to  provisions  on  evaluation  and  to  the  reports  on 
multiannual and annual programmes. 

Article 10 

Implementation methods 

The  Community  budget  allocated  to  the  Fund  shall  be  implemented  in  accordance 
with  Article  53  (1),  point  (b)  of  Council  Regulation  (EC,  Euratom)  No  1605/2002, 
with  the  exception  of  the  Community  Actions  referred  to  in  Article  5  and  the 
technical  assistance  referred  to  in  Article  16.  The  Member  States  and  the 
Commission  shall  ensure  compliance  with  the  principle  of  sound  financial 
management. 

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2. 

The Commission exercises its responsibility for implementing the general budget of 
the European Communities by: 

(a) 

(b) 

checking  the  existence  and  proper  functioning  of  management  and  control 
systems in the Member States in accordance with the procedures described in 
Article 30; 

interrupting or suspending all or part of payments in accordance with Articles 
39 and 40 if the national management and control systems fail, and by applying 
any  other  financial  correction  required,  in  accordance  with  the  procedures 
described in Articles 43 et 44. 

Article 11 

Additionality 

1. 

2. 

Contributions from the Fund shall not replace public or equivalent expenditure by a 
Member State. 

The Commission shall, in cooperation with each Member State, verify additionality 
mid-term by 31 December 2012 and ex-post by 31 December 2015. 

Article 12 

Partnership  

1. 

Each  Member  State  shall  organise,  in  accordance  with  current  national  rules  and 
practices, a partnership with the authorities and bodies which it designates, namely: 

(a) 

(b) 

the implementing authorities designated by the member State for the purposes 
of the management of the interventions of the European Social Fund and other 
competent regional, local, urban and other public authorities;  

any  other  appropriate  body  representing  civil  society,  non-governmental 
organisations, including the social partners. 

Each  Member  State  shall  ensure  broad  and  effective  involvement  of  all  the 
appropriate bodies, in accordance with national rules and practices. 

2. 

The  partnership  shall  be  conducted  in  full  compliance  with  the  respective 
institutional, legal and financial jurisdiction of each partner category. 

The partnership shall cover preparation, implementation, monitoring and evaluation 
of the multiannual programmes. 

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CHAPTER III 
FINANCIAL FRAMEWORK 

Article 13 

Global resources 

1. 

2. 

The  annual  appropriations  for  the  Fund  shall  be  authorised  by  the  budgetary 
authority within the limits of the financial perspectives. 

The  Commission  shall  make  indicative  annual  breakdowns  by  Member  States  in 
accordance with the criteria established in Article 14. 

Article 14 

Annual distribution of resources for eligible actions in the Member States  

1. 

Each  Member  State  shall  receive  a  fixed  amount  of  EUR  300.000  from  the  Fund's 
annual allocation.  

This amount shall be fixed at EUR 500.000 per annum for the period 2007-2013 for 
the states which acceded to the European Union on 1 May 2004. 

This amount shall be fixed at EUR 500.000 per annum for Member States which will 
accede to the European Union in the period 2007 – 2013, for the remaining part of 
the period 2007 – 2013 from the year following their accession. 

2. 

The remainder of the available annual resources shall be broken down between the 
Member States as follows:  

(a) 

(b) 

40 % in proportion to the average of the total number of legally residing third 
country nationals in Member States over the previous three years in accordance 
with Article 6; and 

60% in proportion to the number of third country nationals who have obtained 
an authorisation issued by the authorities of a Member States to reside legally 
on its territory over the previous three years in accordance with Article 6. 

3. 

However, for the purpose of the calculation referred to in point (b) of paragraph 2, 
the following categories of persons shall not be included:  

(a) 

seasonal workers, as defined under national law; 

(b) 

third  country  nationals  admitted  for  the  purposes  of  studies,  pupil  exchange, 
unremunerated  training  or  voluntary  service  in  accordance  with  Council 
Directive 2004/114/EC of 13 December 200461; 

61 

OJ L 375, 23.12.2004, p. 12 

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(c) 

(d) 

third  country  nationals  admitted  for  purposes  of  scientific  research  in 
accordance with Council Directive …/…/..of…/.. 2005 

third country nationals who have received a renewal of an authorisation issued 
by  the  authorities  of  a  Member  State  or  a  change  of  status,  including  third 
country  nationals  who  acquire  long-term  resident  status  in  accordance  with 
Council Directive 2003/109/EC of 25 November 200362. 

The reference figures are the latest statistics produced by the Statistical Office of the 
European Communities in accordance with Community law.  

Where the statistics referred to in paragraph 4 are not available, Member States shall 
provide the necessary figures. 

Article 15 

Financing structure 

The Fund’s financial contribution shall take the form of grants. 

Actions  supported  by  the  Fund  shall  be  co-financed  by  public  or  private  sources, 
shall be of a non-profit nature and shall not be eligible for funding from other sources 
covered by the general budget of the European Communities. 

Fund  appropriations  shall  be  complementary  to  public  or  equivalent  expenditure 
allocated by Member States to the measures covered by this Decision. 

The Community contribution to supported projects, as regards actions implemented 
in  the  Member  States  under  Article  4  shall  not  exceed  50%  of  the  total  cost  of  a 
specific action. 

This may be increased to 60% for projects addressing specific priorities identified in 
the Commission multiannual guidelines as defined in Article 18. 

This shall be increased to 75% in the Member States covered by the Cohesion Fund. 

As  a  general  rule,  Community  financial  aid  granted  for  actions  supported  by  the 
Fund  shall  be  given  for  a  period  of  no  more  than  three  years,  subject  to  periodic 
progress reports. 

Article 16 

Technical assistance at the initiative of the Commission 

At  the  initiative  of  and/or  on  behalf  of  the  Commission,  the  Fund  may  finance  the 
preparatory measures, monitoring, administrative and technical support measures, as 
well  as  evaluation,  audit  and  inspection  measures  necessary  for  implementing  this 
Decision, within the limits of 0,20% of the Fund’s annual allocation. 

4. 

5. 

1. 

2. 

3. 

4. 

5. 

6. 

7. 

1. 

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OJ L 16, 23.1.2004, p. 44. 

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2. 

Those actions shall include: 

(a) 

studies,  evaluations,  expert  reports,  statistics,  including  those  of  a  general 
nature concerning the operation of the Fund; 

(b)  measures  aimed  at  the  partners,  the  beneficiaries  of  assistance  from  the  Fund 

and the general public, in particular information measures; 

(c) 

(d) 

the  installation,  operation  and  interconnection  of  computerised  systems  for 
management, monitoring, inspection and evaluation; 

improvements  in  evaluation  methods  and  the  exchange  of  information  on 
practices in this field. 

Article 17 

Technical assistance of the Member states 

At  the  initiative  of  the  Member  State  in  question,  for  each  annual  programme,  the 
Fund  may  finance  preparatory  measures,  management,  monitoring,  evaluation, 
information and control measures, as well as measures for the reinforcement of the 
administrative capacity for the implementation of the Fund. 

The  annual  amount  set  aside  for  technical  and  administrative  assistance  may  not 
exceed 4 % of the total annual amount of co-financing allocated to the Member State, 
plus EUR 30 000. 

TITLE II 
PROGRAMMING 

Article 18 

Adoption of multiannual guidelines. 

For  each  multiannual  programme,  the  Commission  shall  adopt  strategic  guidelines 
setting  out a  framework  for  the  intervention  of  the  Fund,  taking  into  account  the 
progress in development and implementation of Community legislation in the area of 
immigration  and  other  areas  related  to  the  integration  of  third  country  nationals  as 
well as the indicative distribution of the financial resources of the Fund for the period 
of the multiannual programme. 

For each of the objectives of the Fund, those guidelines shall in particular give effect 
to  the  priorities  of  the  Community  with  a  view  to  promoting  the  common  basic 
principles. 

The Commission shall adopt the strategic guidelines relating to the first multiannual 
programming period (2007-2010) on 31 March 2006, and those relating to the second 
multiannual programming period (2011-2013) on 31 March 2010. 

1. 

2. 

1. 

2. 

3. 

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4. 

The strategic guidelines shall be adopted in accordance with the procedure referred 
to in Article 51(2). 

Article 19 

Preparation and approval of national multiannual programmes 

1. 

Each  Member  State  shall  for  each  programming  period  and  on  the  basis  of  the 
strategic guidelines referred to in Article 18 propose a draft multiannual programme 
which shall include the following elements: 

(a) 

(b) 

(c) 

(d) 

(e) 

(f) 

a  description  of  the  current  situation  in  the  Member  State  as  regards  the 
implementation of national integration strategies in light of the common basic 
principles  and,  where  available,  as 
the  development  and 
implementation of national admission and introduction programmes; 

regards 

analysis  of  requirements  in  the  Member  State  in  question  in  terms  of  the 
national integration strategies and, where available, admission and introduction 
programmes, and an indication of operational objectives designed to meet these 
requirements during the period covered by the multiannual programme; 

presentation  of  an  appropriate  strategy  to  achieve  these  objectives  and  the 
priorities  attached  to  their  attainment,  and  a  description  of  the  actions 
envisaged to implement these priorities;  

indication  of  whether  this  strategy  is  compatible  with  other  regional,  national 
and Community instruments; 

information  on  the  priorities  and  their  specific  targets.  Those  targets  shall  be 
quantified using a limited number of indicators for implementation, results and 
impact,  taking  into  account  the  proportionality  principle.  The  indicators  must 
make  it  possible  to  measure  the  progress  in  relation  to  the  baseline  situation 
and the effectiveness of the targets implementing the priorities;  

a  draft  financing  plan  which  sets  out,  for  each  priority  and  each  year,  the 
Fund’s  proposed  financial  contribution  and  the  overall  amount  of  public  or 
private co-financing; 

(g) 

the implementing provisions for the multiannual programme, including:  

– 

– 

– 

designation  by  the  Member  State  of  all  the  entities  stipulated  in 
Article 24; 

the 

description  of 
implementation,  monitoring,  control  and 
evaluation  systems,  including  description  of  measures  taken  to 
ensure  complementarity  of  actions  with  those  financed  under  the 
European Social Fund;  

a  definition  of  the  procedures  for  the  mobilisation  and  circulation 
of financial flows in order to ensure their transparency; 

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– 

the provisions laid down to ensure that the multiannual programme 
is publicised.  

The Member States shall establish each multiannual programme in close cooperation 
with the partners referred to in Article 12.  

Member  States  shall  submit  their  draft  multiannual  programme  no  later  than  four 
months after the Commission has provided the strategic guidelines for the period in 
question. 

The Commission shall appraise the proposed multiannual programme in light of the 
following : 

(a) 

(b) 

(c) 

(d) 

its  consistency  with  the  objectives  of  the  Fund  and  the  strategic  guidelines 
defined in Article 18, 

the  relevance,  appropriateness  and  expected  results  of  the  strategy  and 
operational priority themes proposed by the Member State; 

the  compliance  of  the  management  and  control  arrangements  set  up  by  the 
Member  State  for  the  implementation  of  the  Fund’s  interventions  with  the 
provisions set out in this Decision; 

its  compliance  with  Community  law  and  in  particular  with  Community  law 
aiming  at  ensuring  the  free  movement  of  persons  in  conjunction  with  the 
directly  related  flanking  measures  with  respect  to  external  borders  controls, 
asylum and immigration.  

Where the Commission considers that a multiannual programme is inconsistent with 
the  strategic  guidelines  or  does  not  comply  with  the  provisions  of  this  decision 
setting out management and control arrangements, it shall request the Member State 
to revise the proposed programme accordingly. 

The  Commission  shall  adopt  each  multiannual  programme  within  four  months 
following  its  formal  submission,  in  accordance  with  the  procedure  referred  to  in 
article 51(2). 

Article 20 

Revision of multiannual programmes 

At the initiative of the Member State in question or the Commission, the multiannual 
programme  shall  be  re-examined  and,  if  necessary,  revised  for  the  rest  of  the 
programming period in order to take greater or different account of the Community 
priorities, particularly in the light of Council conclusions. Multiannual programmes 
may  be  re-examined  in  the  light  of  evaluations  and  /  or  following  implementation 
difficulties.  

The  Commission  shall  adopt  a  decision  on  the  revision  of  the  multiannual 
programme  as  soon  as  possible  after  the  formal  submission  of  a  request  by  the 
Member State concerned. 

2. 

3. 

4. 

5. 

6. 

1. 

2. 

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Article 21 

Annual programmes 

1. 

2. 

3. 

4. 

The multiannual programmes adopted by the Commission shall be implemented by 
means of annual work programmes. 

The Commission shall provide the Member States, no later than 1 July of each year, 
with an estimate of the amounts to be allocated to them for the following year from 
the total appropriations allocated under the annual budgetary procedure, calculated as 
provided by Article 14. 

The  Member  States  shall  submit  to  the  Commission,  no  later  than  1  November  of 
each  year,  a  draft  annual  programme  for  the  following  year,  established  in 
accordance with the multiannual programme and including:  

(a) 

(b) 

(c) 

the  general  rules  for  selection  of  projects  to  be  financed  under  the  annual 
programme; 

a  description  of  the  tasks  to  be  carried  out  by  the  responsible  authority  when 
implementing the annual programme; 

the  proposed  financial  breakdown  of  the  Fund’s  contribution  between  the 
programme’s  various  actions  and  an  indication  of  the  amount  requested  to 
cover technical assistance under Article 17 for the purpose of implementing the 
annual programme. 

When examining the Member State’s proposal, the Commission shall take account of 
the  final  amount  of  the  appropriations  allocated  to  the  Fund  under  the  budgetary 
procedure and shall adopt the financing decision from the Fund no later than 1 March 
of  the  year  in  question.  The  decision  shall  indicate  the  amount  allocated  to  the 
Member State and the period for which the expenditure is eligible. 

CHAPTER V 
MANAGEMENT AND CONTROL SYSTEMS 

Article 22 

Implementation 

The  Commission  shall  be  responsible  for  implementing  this  Decision  and  shall  adopt  such 
implementing rules as may be necessary. 

Article 23 

General Principles in the management and control systems 

The  management  and  control  systems  of  multiannual programmes set  up  by  Member  States 
shall provide for:  

EN 

128 

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(a) 

(b) 

(c) 

(d) 

(e) 

(f) 

(g) 

(h) 

(i) 

(j) 

a clear definition of the functions of the bodies and / or departments concerned 
in  management  and  control  and  a  clear  allocation  of  functions  within  each 
body; 

a  clear  separation  of  functions  between  bodies  concerned  in  management, 
certification  of  expenditure  and  control  and  between  those  functions  within 
each body; 

adequate resources for each body and / or department to carry out the functions 
which  have  been  allocated  to  it  throughout  the  period  of  implementation  of 
actions financed by the Fund; 

effective  internal  control  arrangements  of  the  responsible  authority  and  any 
delegated authority; 

reliable  accounting,  monitoring  and 
computerised form;  

financial 

reporting 

systems 

in 

effective systems of reporting and monitoring where the performance of tasks 
is delegated; 

detailed manuals of procedures in relation to the functions to be performed; 

effective arrangements for the audit of the functioning of the system; 

systems and procedures to ensure a sufficient audit trail; 

procedures  concerning  the  reporting  and  the  monitoring  of  irregularities  and 
the recovery of amounts unduly paid. 

Article 24 

Designation of authorities  

1. 

For each multiannual programme the Member State shall designate the following: 

(a) 

(b) 

(c) 

a  responsible  authority :  a  functional  body  of  the  Member  State  or  national 
public  authority  or  body  designated  by  the  Member  State,  which  shall  be 
responsible  for  the  management  of  multi-annual  and  annual  programmes 
supported  by  the  Fund  and  shall  handle  all  communication  with  the 
Commission; 

a  certifying  authority:  national  public  authority  or  body  operationally 
independent  of  any  authorising  department  of  the  responsible  authority, 
designated  by  the  Member  State  to  certify  declarations  of  expenditure  and 
applications for payment before they are sent to the Commission; 

an audit authority: national public authority or body operationally independent 
of  the  responsible  authority  designated  by  the  Member  State  and  responsible 
for verifying the sound operation of the management and control system; 

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(d) 

where appropriate, a delegated authority; 

(e) 

a  compliance  assessment  body  which  shall  be  designated  at  the  time  of  the 
submission  to  the  Commission  of  each  draft  multiannual  programme.  The 
Commission  may  accept  the  designated  audit  authority  as  the  compliance 
assessment  body  where  it  has  the  necessary  capacity  and  operational 
independence.  It  must  carry  out  its  work  according  to  international  audit 
standards. 

The Member State shall lay down rules governing its relations with those authorities 
and bodies and their relations with the Commission. 

Subject to Article 23 (b), control and certification functions may be carried out by the 
same body or department. 

The rules for implementing Articles 25 to 29 shall be adopted by the Commission in 
accordance with the procedure referred to in Article 51(2). 

Article 25 

Responsible authority 

The responsible authority may be a body of the Member State itself, a national public 
body as well as a body governed by the private law of the Member State and which 
has  a  public-service  mission.  Where  the  Member  State  designates  a  responsible 
authority  which  is  not  a  body  of  the  Member  State  itself,  it  shall  lay  down  all  the 
arrangements governing its relations with the said authority and the latter’s relations 
with the Commission. 

2. 

3. 

4. 

1. 

2. 

The responsible authority shall meet the following minimum conditions. It shall: 

(a) 

(b) 

(c) 

have  legal  personality,  except  where  it  is  a  functional  body  of  the  Member 
State; 

have the infrastructure required for easy communication with a wide range of 
users  and  with  the  responsible  bodies  in  the  other  Member  States  and  the 
Commission; 

work in an administrative context allowing it to carry out its tasks correctly and 
avoiding any conflict of interest;  

(d) 

be in a position to apply Community fund management rules; 

(e) 

(f) 

have  financial  and  management  capacities  proportionate  to  the  volume  of 
Community funds which it will be called upon to manage;  

have at its disposal personnel with appropriate professional qualifications and 
language skills for administrative work in an international environment.  

EN 

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3. 

The Member State shall provide the responsible authority with adequate funding so 
that  it  can  carry  out  its  tasks  properly  and  uninterruptedly  throughout  the  period 
2007-2013. 

Article 26 

Tasks of the responsible authority 

1. 

The responsible authority shall have responsibility for efficient, effective and correct 
managing and implementation of the multiannual programme. 

It shall in particular:  

(a) 

(b) 

(c) 

consult  relevant  partners  (non-governmental  organisations,  local  authorities, 
competent  international  organisations,  social  partners  etc.)  through  the 
partnership established in Article 12; 

submit  to  the  Commission  the  proposals  for  multiannual  and  annual 
programmes defined in Articles 19 and 21; 

set  up  a  cooperation  mechanism  with  the  managing  authorities  designated  by 
the Member State for the purposes of the implementation of the actions under 
the European Social Fund; 

(d) 

organise and advertise calls for tenders and calls for proposals; 

(e) 

(f) 

(g) 

(h) 

(i) 

(j) 

organise selection  and award procedures for Fund co-financing in accordance 
with  the  principles  of  transparency,  equal  treatment  and  non-combination  of 
grants; 

receive  payments  made  by  the  Commission,  and  make  payments  to  the 
beneficiaries ; 

ensure consistency and complementarity between co-financing under the Fund 
and from other relevant national and Community financial instruments; 

verify  the  delivery  of  the  co-financed  products  and  services  and  that  the 
expenditure declared for actions has actually been incurred and complies with 
Community and national rules; 

ensure  that  there  is  a  system  for  recording  and  storing  in  computerised  form 
detailed  accounting  records  of  each  action  under  the  annual  programmes  and 
that  the  data  on  implementation  necessary  for  financial  management, 
monitoring, control and evaluation is collected; 

ensure  that  beneficiaries  and  other  bodies  involved  in  the  implementation  of 
actions cofinanced by the Fund maintain either a separate accounting system or 
an adequate accounting code for all transactions relating to the operation; 

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(k) 

(l) 

(m) 

(n) 

(o) 

(p) 

(q) 

ensure that the evaluations of multiannual programmes referred to in Article 48 
are carried out within the time limits laid down in this Decision and meet the 
quality standards agreed between the Commission and the Member State; 

set up procedures to ensure that all documents regarding expenditure and audits 
required  to  ensure  an  adequate  audit  trail  are  held  in  accordance  with  the 
requirements referred to in article 42; 

ensure  that  the  audit  authority  receives,  for  the  purposes  of  carrying  out  the 
audits  defined  in  Article  29(1)  all  necessary  information  on  management 
procedures operated and the projects co-financed by the Fund ; 

ensure  that  the  certifying  authority  receives  all  necessary  information  on  the 
procedures and audits carried out in relation to expenditure for the purpose of 
certification; 

draw  up  and  submit  to  the  Commission  reports,  statements  of  expenditure 
certified by the certifying authority and applications for payment; 

carry  out  information  and  advisory  activities;  and  disseminate  of  results  of 
supported actions; 

cooperate  with  the  Commission  and  the  responsible  authorities  in  the  other 
Member States.  

The  responsible  authority’s  management  activities  for  projects  implemented  in  the 
Member States can be financed under the technical assistance arrangements referred 
to in Article 17.  

Article 27 

Delegation of task by the responsible authority 

Where  all  or  some  of  the  responsible  authority's  tasks  are  delegated  to  a  delegated 
authority,  the  responsible  authority  shall  define  precisely  the  scope  of  the  tasks 
delegated,  and  set  out  detailed  procedures  for  the  implementation  of  the  delegated 
tasks, which shall comply with the conditions laid down in Article 25. 

These  procedures  shall  include  supplying  the  responsible  authority  with  regular 
information on the effective performance of the delegated tasks and a description of 
the means employed. 

5. 

1. 

2. 

Article 28 

Certifying authority  

1. 

The certifying authority of a multiannual programme shall: 

(a) 

certify that: 

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– 

– 

the statement of expenditure is accurate, results from reliable accounting 
systems and is based on verifiable supporting documents, 

the  expenditure  declared  complies  with  applicable  Community  and 
national  rules  and  has  been  incurred  in  respect  of  actions  selected  in 
accordance with the criteria applicable to the programme and complying 
with Community and national rules; 

the  expenditure  declared  complies  with  applicable  Community  and  national 
rules  and  has  been  incurred  in  respect  of  actions  selected  in  accordance  with 
the criteria applicable to the programme and complying with Community and 
national rules; 

ensure  for  the  purposes  of  certification  that  it  has  received  adequate 
information from the responsible authority on the procedures and audits carried 
out in relation to expenditure included in statements of expenditure; 

take account for the purposes of certification of the results of all audits carried 
out by or under the responsibility of the audit authority; 

maintain  accounting  records  in  computerised  form  of  expenditure  declared  to 
the Commission; 

ensure  the  recovery  of  any  Community  financing  found  to  have  been  unduly 
paid  as  a  result  of  irregularities  detected,  together  with  interest  where 
appropriate, keeping an account of amounts recoverable and repaying amounts 
recovered to the Commission, where possible by deducting them from the next 
statement of expenditure. 

(b) 

(c) 

(d) 

(e) 

(f) 

2. 

The certifying authority’s activities relating to projects implemented in the Member 
States  can  be  financed  under  the  technical  assistance  arrangements  referred  to  in 
Article 17, provided that the prerogatives of this authority as described in Article 24 
are respected.  

Article 29 

Audit authority 

1. 

The audit authority of a multiannual programme shall: 

(a) 

(b) 

(c) 

ensure  that  audits  are  carried  out  in  accordance  with  international  audit 
standards  to  verify  the  effective  operation  of  the  management  and  control 
system of the multiannual programme; 

ensure  that  audits  are  carried  out  on  actions  on  the  basis  of  an  appropriate 
sample to verify expenditure declared; the sample shall represent at least 10% 
of the total eligible expenditure for each annual programme; 

present  to  the  Commission  within  six  months  of  the  approval  of  the 
multiannual  programme  an  audit  strategy  covering  the  bodies  which  will 
perform the audits referred to under points a) and b), the method to be used, the 

EN 

133 

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sampling method for audits on actions supported by the Fund and the indicative 
planning of audits to ensure that the main beneficiaries of cofinancing by the 
Fund are audited and that audits are spread evenly throughout the programming 
period. 

Where the designated audit authority under this decision is also the designated audit 
authority  under  Decisions…..,  ……  and  …………  63,  or  where  common  systems 
apply  to  two  or  more  of  these  Funds,  a  single  combined  audit  strategy  may  be 
submitted under paragraph 1 point c). 

The  audit  authority  shall  draft  a  final  report  on  the  implementation  of  the  annual 
programmes as defined in Article 49(2), which shall comprise:  

(a) 

(b) 

(c) 

an  annual  audit  report  setting  out  the  findings  of  the  audits  carried  out  in 
accordance  with  the  audit  strategy  in  respect  of  the  annual  programme 
reporting  any  shortcomings  found  in  the  systems  for  the  management  and 
control of the programme. 

an  opinion  as  to  whether  the  management  and  control  system  has  functioned 
effectively to give a reasonable assurance on the correctness of the statements 
of expenditure presented to the Commission and the legality and regularity of 
the underlying transactions. 

a declaration assessing the validity of the application for payment of the final 
balance and the legality and regularity  of  the underlying  transactions covered 
by the final statement of expenditure. 

Where the audits referred to in paragraph 1 are carried out by a body other than the 
audit authority, the audit authority shall ensure that such bodies have the necessary 
operational independence and that the work is performed according to internationally 
accepted audit standards. 

The activities of the audit authority or of the body referred to in paragraph 4 relating 
to  projects  implemented  in  the  Member  States  can  be  financed  under  the  technical 
assistance  arrangements  referred  to  in  Article  17,  provided  that  the  prerogatives  of 
this authority as described in Article 24 are respected. 

CHAPTER VI 
CONTROLS  

Article 30 

Responsibilities of the Member States 

Member  States  shall  be  responsible  for  ensuring  sound  financial  management  of 
multiannual  and  annual  programmes  and  the  legality  and  regularity  of  underlying 
transactions. 

Insert references to decisions establishing the ERF, the External borders fund and the return fund. 

2. 

3. 

4. 

5. 

1. 

63 

EN 

134 

   EN 

 
                                                 
2. 

3. 

4. 

5. 

6. 

1. 

2. 

3. 

They shall ensure that responsible authorities and any delegated authority, certifying 
authorities,  audit  authorities  and  any  other  bodies  concerned  receive  adequate 
guidance on setting up the management and control systems referred to in Articles 23 
to 29 to ensure that Community financing is used efficiently and correctly.  

The Member States shall prevent, detect and correct irregularities. They shall notify 
these to the Commission, and keep the Commission informed of the progress in the 
administrative and legal proceedings. 

When amounts unduly paid to a beneficiary cannot be recovered, the Member State 
is  responsible  for  reimbursing  the  amounts  lost  to  the  budget  of  the  European 
Communities. 

Member States shall be primarily responsible for the financial control of actions and 
shall ensure that management systems and audits are implemented in such a way as 
to  guarantee  that  Community  funds  are  used  properly  and  effectively.  They  shall 
provide the Commission with a description of these systems. 

Member  States  shall  cooperate  with  the  Commission  for  the  collection  of  the 
statistics needed for the implementation of Article 14. 

The detailed rules for implementing paragraphs 1 to 5 shall be adopted in accordance 
with the procedure referred to in Article 51(2). 

Article 31 

Management and control systems 

Prior  to  the  adoption  of  a  multiannual  programme,  the  Member  States  shall  ensure 
that  management  and  control  systems  have  been  set  up  in  accordance  with 
Articles 23  to  29.  They  shall  be  responsible  for  ensuring  that  the  systems  function 
effectively throughout the programming period. 

Member States shall submit to the Commission, together with each draft multiannual 
programme,  a  description  of  the  organisation  and  procedures  of  the  responsible 
authorities,  delegated  authorities  and  certifying  authorities,  and  the  internal  audit 
systems operating in those authorities and bodies, the audit authority, and any other 
bodies carrying out audits under its responsibility. 

Within three months of the submission to the Commission of each draft multiannual 
programme, the Member States shall submit a report by the compliance assessment 
body setting out the results of an assessment of the systems and giving an opinion on 
their  compliance  with  Articles 23  to  28.  In  the  event  that  the  opinion  contains 
reservations,  the  report  shall  indicate  the  shortcomings  and  their  seriousness.  The 
Member States shall draw up, in agreement with the Commission, a plan setting out 
the corrective measures to be taken and the timetable for their implementation. 

4. 

The detailed rules for implementing paragraphs 1 to 3 shall be adopted in accordance 
with the procedure referred to in Article 51(2). 

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1. 

2. 

3. 

4. 

5. 

1. 

Article 32 

Responsibilities of the Commission  

The  Commission  shall  satisfy  itself  in  accordance  with  the  procedure  laid  down  in 
Article 31 that the Member States have set up management and control systems that 
comply  with  Articles  23  to  29,  and  on  the  basis  of  the  annual  audit  reports  and  its 
own audits that the systems function effectively during the period of implementation 
of the multiannual programmes. 

Without prejudice to audits carried out by Member States, Commission officials or 
authorised Commission representatives may carry out on-the-spot audits to verify the 
effective  operation  of  the  management  and  control  systems,  which  may  include 
audits  on  actions  included  in  the  annual  programmes,  with  a  minimum  of  one 
working  day’s  notice.  Officials  or  authorised  representatives  of  the  Member  State 
concerned may take part in such audits. 

The  Commission  may  require  Member  States  to  carry  out  an  on-the-spot  check  to 
verify  the  correct  functioning  of  the  systems  or  the  correctness  of  one  or  more 
transactions.  Commission  officials  or  authorised  Commission  representatives  may 
take part in such audits. 

The  Commission  shall,  in  cooperation  with  the  Member  States,  ensure  that 
appropriate information, publicity and follow-up are provided for actions supported 
by the Fund; 

The  Commission  shall,  in  cooperation  with  the  Member  States,  ensure  that  actions 
are  consistent  with,  and  complementary  to,  other  relevant  Community  policies, 
instruments and initiatives. 

Article 33 

Cooperation with the control bodies of the Member States 

The  Commission  shall  cooperate  with  the  audit  authorities  of  multiannual 
programmes to coordinate their respective control plans and audit methods and shall 
immediately  exchange  the  results  of  audits  carried  out  on  management  and  control 
systems  in  order  to  make  the  best  possible  use  of  control  resources  and  to  avoid 
unjustified duplication of work. 

The  Commission  shall  provide  its  comments  on  the  audit  strategy  presented  under 
Article 29 not later than three months or at the first meeting following its reception. 

2. 

In  determining  its  own  audit  strategy,  the  Commission  shall  identify  those 
multiannual programmes  

(a) 

which  comply  with  the  system  established  under  Article 31  without 
reservations or for which reservations have been withdrawn following 
corrective measures and 

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(b) 

for which the audit strategy of the audit authority under Article 29 is 
satisfactory and where reasonable assurance has been obtained that the 
management and control systems  function effectively on the basis of 
the results of audits by the Commission and the Member State. 

For  those  programmes,  the  Commission  may  inform  the  Member  States  concerned 
that it will rely principally on the opinion of the audit authority as to the correctness, 
legality and regularity of expenditure declared and will carry out its own on-the-spot 
audits only in exceptional circumstances. 

CHAPTER VII 
FINANCIAL MANAGEMENT 

Article 34 

Eligibility – declarations of expenditure 

1. 

2. 

3. 

All declarations of expenditure shall include the amount of expenditure incurred by 
beneficiaries  in  implementing  the  actions  and  the  corresponding  contribution  from 
public or private funds.  

Expenditure  shall  correspond  to  the  payments  effected  by  the  beneficiaries.  It  shall 
be  justified  by  receipted  invoices  or  accounting  documents  of  equivalent  probative 
value. 

Expenditure  may  be  considered  eligible  for  support  from  the  Fund  only  if  it  is 
actually  paid  no  earlier  than  1  January  of  the  year  referred  to  in  the  Commission 
decision  on  co-financing  indicated  in  Article  21(4).  Actions  co-financed  must  not 
have been completed before the starting date for eligibility. 

4. 

The following expenditure shall not be eligible for a contribution from the Fund : 

– 

– 

– 

VAT; 

interest on debt; 

the  purchase  of  land  for  an  amount  exceeding  10%  of  the  total  eligible 
expenditure for the operation concerned; 

– 

housing.  

5. 

The  rules  governing  eligibility  of  expenditure  within  the  framework  of  actions 
co-financed  by  the  Fund  in  the  Member  States  under  Article  4  shall  be  adopted  in 
accordance with the procedure provided for by Article 51(2). 

EN 

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Article 35 

Wholeness of payment to beneficiaries 

Member  States  shall  satisfy  themselves  that  the  responsible  authority  ensures  that  the 
beneficiaries  receive  the  total  amount  of  the  contribution  from  public  funds  as  quickly  as 
possible. No amounts shall be deducted or withheld, nor any further specific charge or other 
charge  with  equivalent  effect  shall  be  levied  that  would  reduce  these  amounts  for  the 
beneficiaries. 

Article 36 

Use of the euro 

All amounts mentioned in the financing decisions by the Commission, in the  commitments 
and payments made by the Commission as well as the amounts of certified expenditure and 
requests for payment from the Member States shall be expressed and carried out in euro.  

Article 37 

Commitments 

Community budgetary commitments shall be made annually on the basis of the Commission 
financing decision referred to in Article 21(4). 

Article 38 

Payments - Prefinancing 

1. 

2. 

3. 

4. 

Payments  by  the  Commission  of  the  contribution  from  the  Funds  shall  be  made  in 
accordance with the budget commitments. 

Payments  shall  take  the  form  of  pre-financing  and  payment  of  the  balance.  They 
shall be made to the responsible authority designated by the Member State. 

A  pre-financing  payment  representing  50%  of  the  amount  allocated  in  the 
Commission’s  financing  decision  shall  be  made  to  the  Member  State  within  sixty 
days following the adoption of the financing decision. 

A second pre-financing payment shall be made no more than three months after the 
Commission  has  approved  a  progress  report  on  implementation  of  the  annual 
programme  and  a  certified  declaration  of  expenditure  drawn  up  in  accordance  with 
Articles  27(a)  and  33,  accounting  for  at  least  70%  of  the  amount  of  the  initial 
payment. The amount of the second pre-financing payment made by the Commission 
shall not exceed 50% of the total amount allocated by the co-financing decision or, in 
any event, the balance of the amount of Community funds actually committed by the 
Member State for selected projects under the annual programme minus the first pre-
financing payment. 

EN 

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5. 

6. 

1 

2. 

3. 

4. 

5. 

Interests  generated  by  pre  financing  payments  shall  be  assigned  to  the  programme 
concerned and must be deducted from the amount of public expenditure declared in 
the final statement of expenditure. 

The  amounts  paid  as  pre  financing  shall  be  cleared  from  the  accounts  when  the 
annual programme is closed. 

Article 39 

Balance payments 

The  Commission  shall  pay  the  balance  provided  it  has  received  the  following 
documents within nine months from the end date of eligibility of costs defined in the 
annual decision on co-financing by the Fund:  

(a) 

(b) 

a certified declaration of expenditure and a request for payment of the balance 
or  declaration  of  reimbursement  duly  drawn  up  in  accordance  with  Articles 
28(a) and 34; 

the  final  implementation  report  for  the  annual  programme,  including  the 
information set out in Article 50; 

(c) 

the audit report, opinion and declaration provided for in Article 29(3). 

The payment of the balance is subject to the acceptance of the final implementation 
report and of the statement of validity for the request for payment of the balance. 

If the responsible authority fails to provide the documents required in paragraph 1 by 
the due date and in an acceptable format, the Commission shall decommit any part of 
the  budget  commitment  of  the  corresponding  annual  programme  that  has  not  been 
used for payment of the pre-financing. 

The automatic cancellation procedure defined in paragraph 2 shall be suspended, for 
the  amount  of  the  projects  concerned,  where  legal  proceedings  or  administrative 
appeal  having  suspensory  effects  are  ongoing  at  Member  State  level  at  the  time  of 
submission of the documents defined in paragraph 1. The Member State shall, in the 
partial  final  report  submitted,  give  detailed  information  on  such  projects,  and  send 
reports  on  progress  made  with  regard  to  these  projects  every  6  months.  Within  3 
months  of  the  conclusion  of  the  legal  proceedings  or  administrative  appeal 
procedure, the Member State shall present the documents required in paragraph 1 for 
the projects concerned. 

The  nine  months  period  referred  to  in  paragraph  1  shall  be  interrupted  if  the 
Commission has adopted a decision suspending payments of the co-financing for the 
relevant  annual  programme  in  accordance  with  the  provisions  of  Article41.  The 
period shall start to run again from the date when the Commission decision referred 
to in Article 41(3) has been notified to the Member State. 

Without prejudice to the provisions of Article 40, the Commission shall, within six 
months  of  receiving  the  documents  referred  to  in  paragraph  1,  inform  the  Member 
State of the amount of expenditure recognised by the Commission as chargeable to 

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6. 

7. 

1. 

the  Fund,  and  of  any  financial  corrections  deriving  from  the  difference  between 
declared expenditure and the expenditure recognised. The Member State shall have 
three months to present its comments. 

Within  three  months  of  receiving  the  Member  State’s  comments,  the  Commission 
shall decide on the amount of expenditure recognised as chargeable to the Fund, and 
recover the balance arising from the difference between final recognised expenditure 
and the sums already paid to the Member States. 

Subject to available funding, the Commission shall pay the balance within no more 
than  sixty  days  from  the  date  on  which  it  accepts  the  documents  referred  to  in 
paragraph  one  above.  The  balance  of  the  budgetary  commitment  shall  be 
decommitted six months following the payment. 

Article 40 

Interruption 

The  payment  deadline  shall  be  interrupted  by  the  authorising  officer  by  delegation 
within  the  meaning  of  Regulation  (EC,  Euratom)  No  1605/2002  for  a  maximum 
period  of  six  months  if  there  are  doubts  as  to  the  proper  functioning  of  the 
management  and  control  systems  or  if  the  authorising  officer  requires  additional 
information  from  the  national  authorities  in  the  process  of  monitoring  the 
observations  made  under  the  annual  review,  or  if  s/he  suspects  that  serious 
irregularities, detected or presumed, are present in the expenditure declared. 

The  Commission  shall  inform  the  Member  State  concerned  and  the  responsible 
authority  immediately  of  the  reasons  for  the  interruption.  The  Member  State  shall 
take the necessary steps to correct the situation as soon as possible. 

2. 

The maximum period of six months shall be extended for another maximum period 
of six months if it proves necessary to adopt a decision in accordance with Articles 
41 and 44. 

Article 41 

Suspension 

1. 

All  or  part  of  the  pre-financing  and  balance  payments  may  be  suspended  by  the 
Commission when: 

(a) 

(b) 

there  is  a  serious  deficiency  in  the  management  and  control  system  of  the 
programme  which  affects  the  reliability  of  the  procedure  for  certification  of 
payments and for which corrective measures have not been taken; or 

expenditure  in  a  certified  statement  of  expenditure  is  linked  to  a  serious 
irregularity which has not been corrected; or 

(c) 

a Member State has not complied with its obligations under Articles 30 and 31. 

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2. 

3. 

4. 

The  Commission  may  decide  to  suspend  pre-financing  and  balance  payments  after 
having given the Member State the opportunity to present its observations within a 
period of three months.  

The Commission shall end suspension of pre-financing and balance payments when 
it  considers  that  the  Member  State  has  taken  the  necessary  measures  to  enable  the 
suspension to be lifted.  

If  the  required  measures  are  not  taken  by  the  Member  State,  the  Commission  may 
adopt a decision to reduce the net amount or cancel the Community contribution to 
the annual programme in accordance with Article 45. 

Article 42 

Conservation of documents 

The  responsible  authority  shall  ensure  that  all  the  supporting  documents  regarding 
expenditure  and  audits  on  the  annual  programme  concerned  are  kept  available  for  the 
Commission and the Court of Auditors.  

The documents shall be kept available at least for a period three years following the closure of 
an annual programme, without prejudice to the rules governing State aid. This period shall be 
interrupted either in the case of legal proceedings or at the request of the Commission stating 
the reasons. 

The documents shall be kept either in the form of the originals or in versions certified to be in 
conformity with the originals on commonly accepted data carriers.. 

CHAPTER VIII 
FINANCIAL CORRECTIONS 

Article 43 

Financial corrections established by the Member States 

1. 

2. 

Without prejudice to the Commission's responsibilities for implementing the general 
budget  of  the  European  Communities,  the  Member  States  shall  be  primarily 
responsible  for  investigating  irregularities.  They  shall  act  upon  evidence  of  any 
major change affecting the nature or the conditions for the implementation or control 
of assistance and make the required financial corrections. 

The Member State shall make the financial corrections required in connection with 
the  individual  or  systemic  irregularities  detected  in  actions  or  annual  programmes. 
The corrections made by the Member States shall consist in recovering all or part of 
the  Community  contribution.  The  Member  State  shall  take  into  account  the  nature 
and gravity of the irregularities and the financial loss to the Fund.  

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3. 

Member  States  shall  include  in  the  annual  report  sent  to  the  Commission  under 
Article  49(2)  a  list  of  cancellation  proceedings  initiated  for  the  annual  programme 
concerned. 

The corrections made by the Member State shall consist in cancelling all or part of 
the Community contribution, and, where the amount is not repaid in the time allowed 
by the relevant Member State, default interest shall be due at the rate provided for by 
Article 46(2).  

4. 

In the case of systemic irregularities the Member State shall extend its enquiries to 
cover all operations liable to be affected. 

1. 

2. 

1. 

Article 44 

Audit of accounts and financial corrections by the Commission 

Without prejudice to the powers of the Court of Auditors or the checks carried out by 
the Member States in accordance with national laws, regulations and administrative 
provisions,  Commission  officials  or  servants  may  carry  out  on-the-spot  checks, 
including sample checks, on the operations financed by the Fund and on management 
and control systems with a minimum of one working day’s notice. The Commission 
shall  give  notice  to  the  Member  State  concerned  with  a  view  to  obtaining  all  the 
assistance necessary. Officials or servants of the Member State concerned may take 
part in such checks. 

The  Commission  may  require  the  Member  State  concerned  to  carry  out  an  on  the 
spot  check  to  verify  the  correctness  of  one  or  more  transactions.  Commission 
officials or servants may take part in such checks. 

If,  after  completing  the  necessary  verifications,  the  Commission  concludes  that  a 
Member State  is  not  complying  with  its  obligations  under  Articles  29,  it  shall 
suspend the pre financing or final payment in accordance with Article 41. 

Article 45 

Criteria for the corrections 

If the Member State has not made the corrections within the period as provided for in 
Article  41(2)  and  if  no  agreement  has  been  reached,  the  Commission  may  decide 
within three months to cancel all or part of the Community contribution to an annual 
programme when it concludes that:  

(a) 

(b) 

there  is  a  serious  deficiency  in  the  management  and  control  system  of  the 
programme which has put at risk the Community contribution already paid to 
the programme; 

expenditure  contained  in  a  certified  statement  of  expenditure  is  irregular  and 
has  not  been  corrected  by  the  Member  State  prior  to  the  opening  of  the 
correction procedure under this paragraph; 

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2. 

3. 

4. 

1. 

2. 

(c) 

a Member State has not complied with its obligations under Article 29 prior to 
the opening of the correction procedure under this paragraph. 

The Commission shall decide after having taken into account any comments made by 
the Member State. 

The  Commission  shall  base  its  financial  corrections  on  individual  cases  of 
irregularity  identified,  taking  account  of  the  systemic  nature  of  the  irregularity  to 
determine whether a flat-rate or extrapolated correction should be applied. Where the 
case  of  irregularity  relates  to  a  statement  of  expenditure  for  which  a  positive 
assurance  had  previously  been  given  in  accordance  with  the  Article  29(3)(b)  in  an 
annual  report,  there  will be  a presumption of a systemic problem giving rise to the 
application  of  a  flat-rate  or  extrapolated  correction,  unless  the  Member  State  can 
provide proof within three months to rebut this presumption. 

The Commission shall, when deciding the amount of a correction, take account of the 
importance  of  the  irregularity  and  the  extent  and  financial  implications  of  the 
deficiencies found in the annual programme concerned. 

Where the Commission bases its position on the facts established by auditors other 
than  those  of  its  own  services,  it  shall  draw  its  own  conclusions  regarding  the 
financial  consequences,  after  examining  the  measures  taken  by  the  Member  State 
concerned under Article 31, the reports of notified irregularities and any replies from 
the Member State. 

Article 46 

Repayment 

Any repayment due to be made to the Commission shall be effected before the due 
date  indicated  in  the  order  for  recovery  drawn  up  in  accordance  with  Article  72 
Council  Regulation  (EC,  Euratom)  N°  1605/200264.  This  due  date  shall  be  the  last 
day of the second month following the issuing of the order. 

Any  delay  in  effecting  repayment  shall  give  rise  to  interest  on  account  of  late 
payment, starting on the due date and ending on the date of actual payment. The rate 
of such interest shall be the rate applied by the European Central Bank to its principal 
refinancing  operations,  as  published  in  the  C  series  of  the  Official  Journal  of  the 
European Communities, in force on the first calendar day of the month in which the 
due date falls, increased by three and a half percentage points. 

Article 47 

Obligations of Member States 

A financial correction by the Commission shall not prejudice the Member State's obligation to 
pursue recoveries under Article 45. 

64 

OJ L 351, 28.12.2002. 

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CHAPTER IX 
MONITORING, EVALUATION AND REPORTS 

Article 48 

Monitoring and evaluation 

1. 

2. 

3. 

The Commission shall carry out regular monitoring on the Fund in cooperation with 
the Member States. 

The  Fund  shall  be  evaluated  regularly  by  the  Commission  in  partnership  with  the 
Member  States  to  assess  the  relevance,  effectiveness  and  impact  of  actions  in  the 
light of the objectives referred to in Article 2. 

The  Commission  shall  also  look  at  the  complementarity  between  the  actions 
implemented  under  the  Fund  and  those  pursued  under  other  relevant  Community 
policies, instruments and initiatives. 

Article 49 

Reports 

1. 

In each Member State the responsible authority shall take the necessary measures to 
ensure project monitoring and evaluation. 

To  that  end,  the  agreements  and  contracts  it  concludes  with  the  organisations 
responsible for the implementation of the actions shall include clauses laying down 
an  obligation  to  submit  regular  and  detailed  reports  on  the  state  of  progress  of 
implementation and completion of the assigned objectives. 

2. 

No later than nine months after the eligibility deadline for expenditure laid down in 
the co-financing decision for each annual programme, the responsible authority shall 
submit  a  final  implementation  report  and  a  final  declaration  of  expenditure  to  the 
Commission as provided by Article 34. 

3. 

The Member States shall submit to the Commission: 

(a) 

(b) 

no  later  that  30  June  2010,  an  evaluation  report  on  the  implementation  of 
actions co-financed by the Fund; 

no later than 30 June 2012 (for the period 2007-2010) and 30 June 2015 (for 
the  period  2011-2013)  respectively,  an  evaluation  report  on  the  results  and 
impact of actions co-financed by the Fund. 

4. 

The  Commission  shall  submit  to  Parliament,  the  Council,  the  European  Economic 
and Social Committee and the Committee of the Regions: 

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(a) 

(b) 

(c) 

no later than 30 June 2009, a report on the application of the criteria set out in 
Article  14  for  the  annual  breakdown  of  resources  between  member  States; 
together with proposals for amendments if deemed necessary; 

no later than 31 December 2010, an intermediate report on the results achieved 
and  on  qualitative  and  quantitative  aspects  of  implementation  of  the  Fund, 
together with a proposal on the Fund’s future development; 

no later than 31 December 2012 (for the period 2007-2010) and 31 December 
2015 (for the period 2011-2013) respectively, an ex post evaluation report. 

Article 50 

Final annual report 

1. 

The  reports  referred  to  in  Article  49(2)  shall  include  the  following  information  in 
order  to  obtain  a  clear  view  of  the  implementation  of  the  annual  and  multiannual 
programmes: 

(a) 

(b) 

the financial and operational implementation of the annual programme; 

the  progress  made  in  implementing  the  multiannual  programme  and  its 
priorities  in  relation  to  their  specific,  verifiable  targets,  with  a  quantification, 
wherever and whenever they lend themselves to quantification, of the physical 
indicators  and  the  indicators  of  implementation,  results  and  impacts  for  each 
priority; 

(c) 

the  steps  taken  by  the  responsible  authority  to  ensure  the  quality  and 
effectiveness of implementation, in particular: 

– 

– 

– 

– 

monitoring and evaluation measures, including data collection 
arrangements; 

a  summary  of  any  significant  problems  encountered  in 
implementing  the  operational  programme  and  any  measures 
taken ; 

the use made of technical assistance; 

the  measures  taken  to  provide  information  on  and  to  make 
public the annual and multiannual programmes. 

2. 

The reports shall be judged acceptable where they contain all the information listed 
in paragraph 1. The Commission shall reach a decision on the content of the annual 
report  on  implementation  submitted  by  the  Responsible  Authority  within  two 
months.  If  the  Commission  does  not  respond  within  the  time  limit  laid  down,  the 
report shall be deemed to be accepted. 

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CHAPTER IX  
GENERAL AND FINAL POVISIONS 

Article 51 

Committee 

The  Commission  shall  be  assisted  by  the  common  Committee  “Solidarity  and 
Management  of  Migration  Flows”,  established  by  the  Decision  establishing  the 
External Borders Fund for the period 2007-2013 as part of the General programme 
‘Solidarity and Management of Migration Flows’ ../… 65 (“the “committee”). 

Where  reference  is  made  to  this  paragraph,  Articles  4  and  7  of  Decision 
1999/468/EC shall apply. 

The Committee shall adopt its Rules of Procedure. 

TITRE VII 
FINAL PROVISIONS 

Article 52 

Review 

The  Council  shall  review  this  Decision  on  the  basis  of  a  proposal  from  the 
Commission by 30 June 2013 at the latest. 

1. 

2. 

3. 

1. 

Article 53 

Entry into force 

This Decision shall apply from 1 January 2007. 

Article 54 

Addressees 

This Decision is addressed to the Member States. 

65 

Insert references to decisions establishing the ERF, the External borders fund and the return fund. 

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Done at Brussels,  

For the Council 
The President 

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EXPLANATORY MEMORANDUM 

1. 

DEVELOPING SOLIDARITY IN THE AREA OF RETURNING ILLEGALLY STAYING THIRD 
COUNTRY NATIONALS 

1.1. 

Problem statement and analysis 

The return of third country nationals who do not, or no longer, fulfil the conditions for entry 
to,  presence  in,  or  residence  on the  territories  of  the  Member  States  of  the  European  Union 
either because they entered illegally or overstayed their visa or residence permit, or because 
their asylum claim has been finally rejected is essential.  

This is essential to ensure that admission policy is not undermined and to enforce the rule of 
law, which is a constituent element of an area of freedom, security and justice.  

In practice, however, putting into effect return policy is a considerable challenge, in particular 
for Member States with relatively low GDP’s and little experience. Return management is a 
complex  process:  it  requires  the  development  of  good  working  relationships  with  the 
countries  of  return,  whilst  balancing  individual  rights  and  humanitarian  considerations  with 
the state interest in law enforcement. Illegal situations are often de facto allowed to continue 
and  Member  States  tend  to  incur  substantial  and  ongoing  costs  in  detaining  the  people 
concerned  for  long  periods  as  well  as  in  engaging  in  protracted  legal  battles  over  their 
removal.  

Reducing  illegal  immigration  through  an  effective  return  policy  is  a  concern  of  all  Member 
States. In an area without internal borders, persons can in principle move without hindrance. 
Tolerance of illegal stay in one Member State may negatively affect the fight against illegal 
employment  throughout  the  EU  which  in  turn,  acts  as  a  pull  factor  for  more  illegal 
immigration  to  the  EU.  Conversely,  effective  return  policies  throughout  the  EU  could  have 
beneficial  effects  on  the  credibility  of  the  common  immigration  policy  and  help  to  increase 
the acceptance of legally staying third-country nationals in Member States.  

1.2. 

The way forward 

Given  the  extent  of  the  difficulties  involved,  Member  States  are  much  more  likely  to 
overcome them if they act collectively rather than individually – in particular, if they follow 
models  which  have  resulted  in  successful  but  fair  implementation  of  the  return  policies  in 
several  Member  States,  in  particular  the  concept  of  ‘integrated  return  management’,  which 
seek to minimise risks and impediments.  

In addition to implementing at national level practices, based on past successful experiences, 
Member  States  could  also  share  more  information  on  return  management  processes,  the 
people who have had removal orders served against them, on the experience of implementing 
different  measures  and  incentives  to  encourage  voluntary  return  and  on  conditions  in  third 
countries.  Finally,  the  cost  of  return  operations  and  of  assistance  and  support  in  these 
countries before and after their return could be shared more across Member States. 

However, this must be based upon a common interpretation of who can be returned and how 
to proceed in implementing return policy. The Commission is currently elaborating a proposal 
for a Directive on common standards on procedures in Member States for returning illegally 

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staying third country nationals. The Directive will introduce a level playing field in the EU on 
return  procedures.  Such  standards  cannot  address  the  problems  identified  in  terms  of  the 
effectiveness of the implementation of return policy, but will be another essential part of the 
comprehensive EU return policy. 

Moreover,  the  actions  supported  by  the  Fund  should  be  implemented  in  conformity  with 
human rights standards.  

In  The  Hague  Programme  the  European  Council  called  for  the  establishment  of  a  Return 
Fund.  

1.3. 

Objectives of the Fund  

The main objectives of the Fund are the following:  

•  The  introduction  and  improvement  of  the  organisation  and  implementation  of  integrated 

return management by Member States; 

•  The  enhancement  of  the  co-operation  between  Member  States  in  the  framework  of 

integrated return management and its implementation;  

•  The  promotion  of  an  effective  and  uniform  application  of  common  standards  on  return 

according to the policy development in the field. 

The  Fund  would  in  principle  cover  the  return  of  both  immigrants  and  asylum  seekers  who 
have received a negative decision. 

Financing  return  measures  for  rejected  asylum  seekers  under  the  European  Refugee  Fund 
shall  become  ineligible  only  from  1  January  2008,  in  order  to  allow  for  the  full 
implementation of the first multiannual programming cycle under the current decision. 

This  year  the  Commission  will  initiate  preparatory  actions  in  the  area  of  return.  The 
preparatory actions will take place in 2005 and 2006. In order to take into account as much as 
possible  the  (first)  results  of  these  preparatory  actions,  it  is  proposed  to  start  the 
implementation of the Fund only in 2008. Consequently, there is no funding foreseen in 2007. 

2. 

LEGAL BASIS AND RATIONALE OF THE POLICY INSTRUMENT  

2.1. 

Choice of legal basis 

The  proposed  legal  basis  for  this  Council  Decision  is  Article  63,  paragraph  3,  point  (b) 
because this legislation involves “measures on immigration policy” within the area of “illegal 
immigration and illegal residence, including repatriation of illegal residents”.  

In  accordance  with  the  Council  Decision  of  22  December  2004  providing  for  certain  areas 
covered by Title IV of Part Three of the Treaty establishing the European Community to be 
governed by the procedure laid down in Article 251 of that Treaty (2004/927/EC) the Council 
shall  act  in  accordance  with  the  procedure  laid  down  in  Article  251  of  the  Treaty  when 
adopting measures referred to in Article 63 (2) (b).  

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Because the proposal is based on Title IV of the EC Treaty (Visas, asylum, immigration and 
other  policies  related  to  free  movement  of  persons),  it  must  be  presented  and  adopted  in 
accordance with the protocols on the position of the United Kingdom, Ireland and Denmark, 
annexed to the Treaty of Amsterdam. The United Kingdom and Ireland have the possibility to 
opt in this measure. Denmark will not take part  in  the  adoption  of  this  Decision,  and  is  not 
bound by it or subject to its application. 

Expressing solidarity in the allocation of the resources  

The methodology for allocation of resources to the Member States would be similar to the one 
set out in the Council Decision establishing the ERF for the period 2005 – 2010.  

First, to express that many Member States (and in particular the new Member States) would 
need to make some structural investments to successfully return illegally staying third country 
nationals,  Member  States  will  be  allocated  a  fixed  amount  each  year.  This  amount  will  be 
higher  for  the  period  2008  -  2013  for  the  states  which  acceded  to  the  European  Union  on 
1 May 2004. Moreover, this amount will also be higher for Member States which accede to 
the European Union in the period 2008 – 2013 for the duration of the period 2008 - 2013 from 
the year after their accession. 

Second, to express the notion of solidarity, the bulk of the allocations to the Member States 
would be determined on the basis of a distribution key defining the relative burden of Member 
States  in  relation  to  return  management.  The  distribution  key  would  consist  of  two 
components: one relating to the number of third country nationals who are subject to a return 
decision  obliging  them  and/or  informing  them  of  the  obligation  to  leave  the  territory  of  the 
Member State and one relating to successful past returns. For the first component the total of 
third country nationals who are subject to such a decision over the past previous three years 
will be added up. This total would then roughly correspond to the number of persons whose 
situation is under consideration for removal by the authorities in the given reference period. 
After  all,  a  time  lag  between  the  decision  and  the  actual  departure  is  often  inevitable:  the 
removal  itself  (the  act  of  enforcing  the  return  decision)  may  require  a  specific  decision  in 
some  Member  States  and/or  is  subject  to  specific  proceedings  (including,  where  necessary 
pre-removal detention). The second component would factor in past successful returns. Thus, 
there  would  be  an  in-built  mechanism  encouraging  Member  States  to  invest  and  improve 
return management and contribute to the reduction of illegal immigration throughout the EU. 
As  the  main  emphasis  should  be  put  on  future  efforts  the  proportion  between  the  two 
components will be respectively 70% – 30%. 

The  definition  of  the  category  of  persons  who  are  subject  to  a  return  Decision  should  in 
principle correspond to the definition of this category in the future Council Directive. 

It is proposed to exclude from this definition third country nationals having been refused entry 
in a transit zone of a MS, because it must be assumed that these persons have never entered 
EU  territory  and  that  they  are  not  necessarily  covered  by  the  regime  of  the  future  Council 
Directive above-mentioned, while their actual return is usually covered by other instruments.  

This  is  without  prejudice  to  the  possibility  of  Member  States  to  direct  funding  to  actions 
which would (also) cover this category of persons in accordance with the objectives for the 
Fund. The same applies to the voluntary return of third country nationals, who have not filed 
an  asylum  application  and  who  are  not  (yet)  illegally  staying  in  the  territory  of  a  Member 
State. 

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2.2. 

Actions defined within the Fund 

In view of the general objectives of the Fund of contributing to the implementation of return 
policies based on the concept of integrated return management, the Commission proposes to 
implement  the  Fund  mainly  through  shared  management  with  the  Member  States.  This  will 
allow for a financial support targeted in accordance with the specific situation and needs of 
each Member State.  

Furthermore, to ensure the use of funds in the most efficient way, the proposal contains very 
detailed provisions as regards the operational objectives to be achieved as well as the types of 
actions identified as contributing to these objectives. 

3. 

EVALUATIONS  

So far there have only been funds available at Community level for support to administrative 
cooperation in the area of return (ARGO). These actions have mainly focused on studies of 
best  practices  and  the  transferral  of  such  information  between  authorities  and  other 
stakeholders such as IOM.  

The Commission carried out an ex ante evaluation, which is annexed to this proposal. 

4. 

SUBSIDIARITY AND PROPORTIONALITY 

Subsidiarity 

The fundamental principle remains that of Member States’ responsibility for the development 
and  implementation  of  return  management  in  all  its  dimensions.  National  budgets  will 
therefore  remain  the  main  source  of  investments  and  planned  spending.  However,  national 
efforts  to  implement  the  principle  of  integrated  return  management  in  accordance  with  the 
common standards can be supported by a Fund in view of the implications of these policies 
for the other Member States. The actions to be supported must therefore clearly be identified, 
linked to objective conditions in individual states and bringing added value to the Community 
as a whole. 

Proportionality 

The  decision  will  make  it  possible  to  provide  financial  support  from  the  Fund  to  a  list  of 
actions  which  contribute  operationally  to  a  series  of  identified  specific  objectives,  while 
leaving the Member States to select the actions and the way in which they are to be carried 
out under schemes agreed in conjunction with the Commission. The Fund must be a strategic 
tool  which  will  contribute  to  the  development  of  national  return  strategies.  The  use  of 
Community  appropriations  must  also  be  subject  to  clear  and  uniform  rules  contained  in  a 
Council  decision,  which  is  the  appropriate  instrument  for  implementing  Community 
programmes. 

5. 

BUDGETARY IMPLICATIONS 

No  funding  is  foreseen  for  2007.  The  financial  allocation  for  the  Fund  under  the  Financial 
Perspectives proposed by the Commission for the 2008-2013 period is EUR 759 million.  

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For the distribution of financial resources between Member States the Commission intends to 
apply  a  method  based  on  objective  criteria.  In  order  to  reflect  the  actual  situation  in  each 
Member  States,  the  criteria  primarily  relate  to  “the  target  group”.  This  will  ensure  that 
evolutions (relating for example to changes in admission policy) are duly taken into account 
in the financial allocation method, allowing corrective action to be taken with the support of 
the Fund. 

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2005/0049 (COD) 

Proposal for a 

DECISION OF THE EUROPEAN PARLIAMENT AND COUNCIL 

establishing the European Return Fund for the period 2007-2013 as part of the General 
programme ‘Solidarity and Management of Migration Flows’ 

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION, 

Having  regard  to  the  Treaty  establishing  the  European  Community,  and  in  particular 
Article 63(3)(b) thereof, 

Having regard to the proposal from the Commission66, 

Having regard to the opinion of the Economic and Social Committee67, 

Having regard to the opinion of the Committee of the Regions68, 

Acting in accordance with the procedure laid down in Article 251 of the Treaty69 

Whereas: 

(1)  With  a  view  to  the  progressive  establishment  of  an  area  of  freedom,  security  and 
justice,  the  Treaty  establishing  the  European  Community  provides  both  for  the 
adoption of measures aimed at ensuring the free movement of persons, in conjunction 
with flanking measures relating to external borders controls, asylum and immigration, 
and for the adoption of measures relating to asylum, immigration and safeguarding the 
rights of third country nationals 

(2) 

(3) 

The European Council, at its special meeting in Tampere on 15 and 16 October 1999, 
reaffirmed  its  resolve  to  create  an  area  of  freedom,  security  and  justice.  For  that 
purpose, a common European policy on asylum and migration should aim both at fair 
treatment of third country nationals and better management of migration flows.  

An effective Community return policy is a necessary complement to a credible legal 
immigration and asylum policy as well as an important component in the fight against 
illegal immigration. Considerable budgets are earmarked by Member States in view of 
implementing return programmes and forced return operations. Common action of the 
European  Union  in  this  field,  backed  with  appropriate  financial  means  from  the 
Community,  could  support  Member  States,  underline  the  necessity  of  the  return  of 
illegal residents and contribute to enhanced solidarity among Member States. 

66 
67 
68 
69 

OJ C … 
OJ C … 
OJ C … 
OJ … 

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(4) 

(5) 

(6) 

(7) 

(8) 

(9) 

The Council on 28 February 2002 adopted the Comprehensive Plan to combat illegal 
immigration  and  trafficking  of  Human  beings  in  the  European  Union70  in  which  it 
stressed  that  a  readmission  and  return  policies  constitute  an  integral  and  vital 
component  in  the  fight  against  illegal  immigration  and  identified  two  elements  on 
which  a  Community  return  policy  should  be  based,  namely  common  principles  and 
common  measures,  within  the  framework  of  improving  the  administrative  co-
operation between Member States. 

The  Return  Action  Programme  of  the  Council  on  28  November  2002,  based  on  the 
Commission’s Communication of 14 October 2002 on a Community return policy on 
illegal  residents,  addresses  the  entire  chain  of  action  with  respect  to  return 
management  in  Member  States,  covering  both  forced  and  voluntary  return  of  third 
country  nationals  as  well  as  the  central  stages  of  return,  including  preparation  and 
follow-up.  

The European Council, at its meeting in Thessaloniki on 19 and 20 June 2003, called 
on  the  Commission  to  examine  all  aspects  relating  to  a  separate  Community 
instrument  on  return  in  order  to  support,  in  particular  the  priorities  as  set  out  in  the 
Return Action Programme.  

Following  the  Conclusions  of  8  June  2004  in  which  the  Council  called  on  the 
budgetary authority to make preparatory actions available and invited the Commission 
to take into account its view on the development of integrated return plans in close co-
operation with Member States, preparatory actions were initiated for the period 2005 
and 2006.  

The European Council, at its meeting in Brussels on 4 and 5 November 2004, called in 
“The  Hague  Programme”  for  launching  the  preparatory  phase  of  a  European  Return 
Fund  (hereafter  the  Fund)  and  the  establishment  of  the  Fund  by  2007,  taking  into 
account the evaluation of the preparatory phase. 

In November 2004 the Council took note of the Presidency’s report on an analysis of 
reported  best  practices  of  return  to  specific  countries.  The  report  stated  ample 
possibilities and a need for more practical co-operation between Member States in the 
practice of return. The report indicated possibilities for a more integrated approach, on 
both national and community level, of return policy as well as general policies. Also, 
the report identified best practices by Member States regarding the voluntary or forced 
return  of  third  country  nationals  to  their  country  of  origin  or  transit,  such  as  the 
promotion  of  Assisted  Voluntary  Return  Programmes  for  sustainable  return,  return 
counselling, and the organisation of joint return operations, including charter flights.  

(10) 

It is necessary to endow the Community with an instrument designed to support and 
encourage  the  efforts  made  by  the  Member  States  to  improve  the  management  of 
return  in  all  its  dimensions,  on  the  basis  of  the  principle  of  integrated  return 
management,  and  with  a  view  to  supporting  a  fair  and  effective  implementation  of 
common  standards  on  return,  as  established  under  existing  and  future  Community 
instruments relating to return.  

70 

OJ C 142, 14.6.2002, p. 23. 

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(11)  No funding should be foreseen for 2007 under this instrument, in order to be able to 
take into account the results of preparatory actions on return (2005-2006), on the basis 
of a report by the Commission on the evaluation of the preparatory actions;  

(12)  The  common  standards  concerned  are  in  particular  Council  Directive  2001/40/EC  of 
28  May  2001  on  the  mutual  recognition  of  decisions  on  expulsion  of  third  country 
nationals71  and  its  corollary,  Council  Decision  2004/191/EC  of  23  February  2004 
setting out the criteria and practical arrangements for the compensation of the financial 
imbalances  resulting  from  the  application  of  the  Directive  2001/40/EC  of  28  May 
2001 on the mutual recognition of decisions on expulsion of third country nationals72 
and  Council  Decision  2004/573/EC  on  the  organisation  of  joint  flights  for  removals 
from the territory of tow or more Member States, of third country nationals who are 
subjects of individual removal orders73;  

(13)  This concerns also future Community instruments, such as an instrument on common 
standards on procedures in Member States for returning illegally staying third country 
nationals, which should create a level playing field in the European Union on  return 
procedures  and  would  therefore  define  conditions  for  and  the  margin  within  which 
Member States take return measures. 

(14)  To  ensure  the  consistency  of  the  Community’s  response  to  the  return  of  illegally 
residing  third  country  nationals,  actions  financed  under  this  instrument  should  be 
specific and complementary to actions financed under the European Refugee Fund and 
the  programming  aimed  at  supporting  development  cooperation  and  economic 
cooperation  with  partner  countries  and  regions  which  are  not  Member  States  or 
Overseas countries and Territories. 

(15) 

In  particular,  this  would  mean  that  rejected  asylum  seekers  should  only  be  included 
under the actions of this instrument where they are no longer included under the return 
strand  in  the  European  Refugee  Fund.  Once  the  first  multiannual  cycle  of  the 
European  Refugee  Fund  (2005  –  2007)  has  been  completed,  this  instrument  should 
also cover the rejected asylum seekers. 

(16)  This instrument is designed to form part of a coherent framework entitled the General 
programme  ‘Solidarity  and  Management  in  Migration  Flows’,  which  aims  at 
addressing  the  issue  of  a  fair  share  of  responsibilities  between  Member  States  as 
concerns  the  financial  burden  arising  from  the  introduction  of  an  integrated 
management of the Union’s external borders and from the implementation of common 
policies on asylum and immigration, as developed in accordance with Title IV of the 
Treaty establishing the European Community.  

(17)  A  primary  objective  of  this  instrument  should  be  the  promotion  of  integrated  return 
management  at  national  level.  Member  States  are  encouraged  to  implement  return 
operations in the light of integrated return action plans, which analyse the situation in 
the  Member  State  with  respect  to  the  targeted  population,  set  targets  with  respect  to 
the  operations  envisaged  and,  in  cooperation  with  relevant  stakeholders,  such  as 
UNHCR and IOM, offer return schemes focusing on effective and sustainable returns 

71 
72 
73 

OJ L 149, 2.6.2001, p. 34. 
OJ L 60, 27.2.2004, p. 55. 
OJ L 261, 6.8.2004, p. 28. 

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through  various  measures.  Where  appropriate,  integrated  return  plans  should  be 
regularly assessed and adjusted. 

(18)  To  promote  the  voluntary  return  of  persons  complying  with  an  obligation  to  leave, 
incentives  for  such  returnees,  such  as  preferential  treatment  by  providing  enhanced 
return  assistance  should  be  foreseen.  This  kind  of  voluntary  return  is  both  in  the 
interest of a dignified return of returnees, as well as of the authorities in terms of the 
cost-effectiveness.  

(19)  However, from a policy point of view voluntary and enforced return are indissociable 
and Member States should be encouraged in their return management to reinforce the 
complementarity  of  the  two  forms.  There  is  an  obvious  need  to  carry  out  forced 
returns in order to safeguard the integrity of the immigration and asylum policy of the 
European Union and the immigration and asylum systems of the Member States. Thus 
the  possibility  of  forced  return  is  a  prerequisite  for  ensuring  that  this  policy  is  not 
undermined and for enforcing the rule of law, which itself is essential to the creation 
of  an  area  of  freedom,  security  and  justice.  The  instrument  should  therefore  support 
actions of Member States to facilitate enforced return.  

(20)  Moreover,  the  major  obstacles  experienced  by  Member  States  in  the  field  of  return 
occur  in  relation  to  forced  returns.  One  important  obstacle  is  uncertainty  concerning 
the  identity  of  the  person  concerned  and/or  his  or  her  lack  of  necessary  travel 
documents.  Countries  of  origin  often  delay  or  deny  the  issuing  of  return  travel 
documents because of missing information on nationality or identity. In order to avoid 
removal, illegal residents may therefore hide or destroy their travel documents and not 
infrequently  claim  a  completely  false  identity  and/or  nationality.  As  a  consequence, 
lengthy  and  expensive  procedures  have  often  been  conducted,  which  include 
presentation of the  returnee at  several embassies  or conducting a language  or dialect 
analysis.  Member  States  should  be  encouraged  to  improve  the  co-operation  with 
consular  services  of  third  countries  and  to  increase  the  exchange  of  information  and 
operational  cooperation  among  themselves  as  regards  the  cooperation  with  such 
services.  

(21)  Lastly, it is imperative for this instrument to support in Member States, which consider 
it appropriate, specific measures for returnees in the country of return in order first to 
ensure effective return to their town or region of origin in good conditions and second 
to enhance their durable reintegration in their community. Such measures should not 
consist  of  assistance  to  the  third  country  as  such  and  are  only  eligible  for  funding 
when and insofar as there is a necessary continuation with activities initiated and in the 
main carried out in the territory of the Member States under an integrated return plan.  

(22)  The  Agency,  established  in  accordance  with  Council  Regulation  (EC)  No 2007/2004 
of  26  October  2004  establishing  a  European  Agency  for  the  Management  of 
Operational  Cooperation  at  the  External  Borders  of  the  Member  States  of  the 
European  Union  (hereafter  “the  Agency”),  has  as  one  of  its  tasks  to  provide  the 
necessary  assistance  for  organising  joint  return  operations  of  Member  States  and 
identify best practices on the acquisition of travel documents and the removal of third 
country nationals illegally present in the territories of the Member States. Accordingly, 
the Agency should ensure that the conditions for an effective co-ordinated return effort 
between Member States  are met, whilst leaving the implementation and organisation 
of the joint return operations to the competent national services. Therefore, the Agency 

EN 

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should  be  able  to  use  resources  made  available  by  Community  actions  in  this 
instrument.  

(23)  The support provided by the Fund will be more efficient and better targeted if the co-
financing  of  eligible  actions  is  based  on  strategic  multiannual  programmes  and  on 
related annual work programmes drawn up by each Member State in cooperation with 
the Commission. 

(24)  On  the  basis  of  the  strategic  guidelines  adopted  by  the  Commission,  each  Member 
State  should  prepare  a  multiannual  programming  document  taking  into  account  its 
situation and needs and setting out its development strategy, which is negotiated with 
the  Commission  and  decided  by  the  Commission,  and  constitutes  the  framework  for 
preparing the annual programmes. 

(25)  Multiannual programming should be directed towards achieving the Funds’ objectives 
by  ensuring  the  availability  of  the  necessary  financial  resources  and  the  consistency 
and continuity of joint action by the Community and the Member States. 

(26)  Multiannual  programming  should  ensure  coordination  of  this  instrument  with  other 

existing financial instruments.  

(27) 

In  the  context  of  shared  management  as  referred  to  in  Article  53(1),  point  b),  of  
Council  Regulation  (EC,  Euratom)  No  1605/2002  of  25  June  2002  on  the  Financial 
Regulation  applicable  to  the  general  budget  of  the  European  Communities74,  the 
conditions allowing the Commission to exercise its responsibilities for implementation 
of  the  general  budget  of  the  European  Communities  should  be  specified  and  the 
obligations  for  the  cooperation  on  the  Member  States  clarified.  Applying  these 
conditions will enable the Commission to satisfy itself that Member States are utilising 
the Fund in a lawful and correct manner and in accordance with the principle of sound 
financial management within the meaning of Article 27 of the Financial Regulation. 

(28)  The Commission should establish the indicative breakdown of available commitment 

appropriations using an objective and transparent method.  

(29)  Under  technical  assistance,  this  instrument  should  provide  support  for  evaluations, 
improvement  of  administrative  capacity  linked  to  the  management  of  the  Fund, 
studies,  pilot  projects  and  exchanges  of  experience  intended,  in  particular,  to 
encourage innovative approaches and practices. 

(30)  Member States should adopt adequate measures to guarantee the proper functioning of 
management  and  control  system.  To  this  end,  it  is  necessary  to  establish  the  general 
principles and the necessary functions which all programmes shall fulfil.  

(31) 

It is  necessary to provide for the designation of a single responsible authority in each 
Member  State  for  the  management  of  the  Fund’s  interventions  and  to  clarify  its 
responsibilities.  Designation  and  functions  of  the  audit  authority  should  be  also 
foreseen. In addition, in order to guarantee uniform quality standards concerning the 
certification  of  expenditures  before  their  transmission  to  the  Commission  and  to 

74 

OJ L 248,16.9.2002, p. 1. 

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   EN 

 
                                                 
clarify the nature and quality of the information on which declarations of expenditure 
are based, it is necessary to provide for the designation of the certification authority. 

(32) 

In  accordance  with  the  principles  of  subsidiarity  and  proportionality,  Member  States 
the 
the 
have 
interventions. 

implementation  and  control  of 

the  primary  responsibility  for 

(33)  The obligations on the Member States as regards management and control systems, the 
certification  of  expenditure,  and  the  prevention,  detection  and  correction  of 
irregularities  and  infringements  of  Community  law  should  be  specified  to  guarantee 
the efficient and correct implementation of their multiannual and annual programmes. 
In  particular,  as  far  as  the  management  and  control  are  concerned,  it  is  necessary  to 
establish the modalities by which Member States ensure that the systems are in place 
and function satisfactorily. 

(34)  Without  prejudice  to  the  Commission’s  powers  as  regards  financial  control, 
cooperation  between  the  Member  States  and  the  Commission  in  this  field  should  be 
increased  and  the  criteria  should  be  established  which  allow  the  Commission  to 
determine,  in  the  context  of  its  strategy  of  control  of  national  systems,  the  level  of 
assurance it can obtain from national audit bodies. 

(35)  The effectiveness and impact of actions supported by this instrument also depend on 
their evaluation. The responsibilities of the Member States and the Commission in this 
regard, and arrangements to ensure the reliability of evaluation, should be formalised. 

(36)  Actions should be evaluated with a view to a mid-term review and impact assessment, 
into  project  monitoring 

the  evaluation  process  should  be 

incorporated 

and 
arrangements. 

(37)  This  Decision  establishes  a  financial  framework  for  the  entire  duration  of  the 
programme, which is to be the principal point of reference for the budgetary authority 
within  the  meaning  of  point  33  of  the  interinstitutional  agreement  of  6  May  1999 
between the European Parliament, the Council and the Commission on the budgetary 
discipline and improvement of the budgetary procedure75.  

(38)  Since the objectives of the proposed action, namely to promote the return of illegally 
staying  third  country  nationals  within  the  framework  of  common  standards  and  the 
principle  of  integrated  return  management,  cannot  be  sufficiently  achieved  by  the 
Member States and can therefore, by reason of the scale and effects of the action, be 
better  achieved  by  the  Community,  the  Community  may  adopt  measures,  in 
accordance  with the principle of subsidiarity as set out in Article 5 of  the Treaty. In 
accordance  with  the  principle  of  proportionality,  as  set  out  in  that  Article,  this 
Decision does not go beyond what is necessary in order to achieve those objectives.  

(39)  The measures necessary for the implementation of this Decision should be adopted in 
accordance  with  Council  Decision  1999/468/EC  of  28  June  1999  laying  down  the 
procedures for the exercise of implementing powers conferred on the Commission.76 

75 
76 

OJ C 172, 18.6.1999, p. 1. 
OJ L 184, 17.7.1999, p. 23. 

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(40) 

In  accordance  with  Articles  1  and  2  of  the  Protocol  on  the  position  of  Denmark 
annexed  to  the  Treaty  on  European  Union  and  the  Treaty  establishing  the  European 
Community,  Denmark  does  not  take  part  in  the  adoption  of  this  Decision  and  is, 
therefore, not bound by it or subject to its application.  

HAVE ADOPTED THIS DECISION: 

TITLE I 
OBJECTIVES AND GENERAL RULES 

CHAPTER I 
SUBJECT MATTER, OBJECTIVES AND ACTIONS 

Article 1 

Subject matter and scope 

This  decision  establishes  for  the  period  from  1  January  2007  to  31  December  2013  the 
European  Return  Fund,  hereinafter  referred  to  as  « The  Fund »,  as  part  of  the  General 
programme  "Solidarity  and  Management  of  Migration  Flows",  in  order  to  contribute  to  the 
strengthening of the area of Freedom, Security and Justice. 

This  decision  defines  the  objectives  to  which  the  Fund  contributes,  its  implementation,  the 
available  financial  resources  and  the  distribution  criteria  for  the  allocation  of  the  available 
financial resources. 

It  establishes  the  Fund’s  management  rules,  including  financial  ones  as  well  as  monitoring 
and control mechanisms based on a share of responsibilities between the Commission and the 
Member States. 

Article 2 

General Objectives of the Fund  

1 

2. 

The general objective of the Fund shall be to support the efforts made by the Member 
States to improve the management of return in all its dimensions through the use of 
the  concept  of  integrated  management,  taking  account  of  Community  legislation  in 
this field. 

The Fund shall contribute to the financing of the technical assistance on the initiative 
of the Member States or the Commission. 

Article 3 

Specific objectives 

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159 

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1. 

The Fund shall contribute to the following specific objectives:  

(a) 

(b) 

(c) 

The introduction and improvement of the organisation and implementation of 
integrated return management by Member States; 

The  enhancement  of  the  co-operation  between  Member  States  in  the 
framework of integrated return management and its implementation;  

The  promotion  of  an  effective  and  uniform  application  of  common  standards 
on return according to the policy development in the field. 

2. 

Integrated  return  management  shall  include  in  particular  the  development  and 
implementation by the competent authorities of a Member State of integrated return 
plans which  

–  are  based  on  a  comprehensive  assessment  of  the  situation  in  the  Member  State 
with  respect  to  the  targeted  population  and  the  challenges  with  respect  to  the 
operations  envisaged  (such  as  those  related  to  obtaining  travel  documents  and 
other practical obstacles to return). The comprehensive assessment shall be drawn 
up in co-operation with all relevant authorities and partners; and  

–  aim  to  achieve  a  wide  set  of  measures  encouraging  voluntary  return  schemes  of 
third  country  nationals  illegally  residing  on  its  territories,  and,  where  necessary, 
implementing  enforced  return  operations  with  respect  to  these  persons,  in  full 
compliance with humanitarian principles and respect for their dignity; and 

–  include the choice for a target group based on the relevant caseload; and 

–  include  a  planning  and/or  time  table  and,  where  appropriate,  foresee  a  periodic 
evaluation mechanism allowing for adjustment of the planning and assessment of 
the impact of the plan in practice. 

3. 

Integrated Return Plans shall focus in particular on effective and sustainable returns 
through  such  actions  as  efficient  information  at  pre-departure  stage,  travel 
arrangements, transit in the country of return for both voluntary and enforced return. 
As  far  as  possible,  incentives  for  voluntary  returnees,  such  as  enhanced  return 
assistance, may be foreseen in order to promote voluntary return. 

Where  Member  States  consider  it  appropriate,  they  may  include  the  provision  of 
reception and reintegration support. 

Article 4 

Eligible actions in the Member States 

1. 

Actions relating to the objective laid down in Article 3(1), point a), and in particular 
the following, shall be eligible for support from the Fund:  

(a) 

Establishment  or  improvement  of  an  effective,  stable  and  lasting 
operational  co-operation  of  Member  States’  authorities  with  consular 
authorities and immigration services of third countries, with a view to 

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(b) 

(c) 

obtaining  travel  documents  for  the  return  of  third  country  nationals 
and ensuring speedy and successful removal procedures; 

Promotion  and  facilitation  of  voluntary  returns  of  illegally  staying 
third country nationals, in particular through assisted voluntary return 
programmes, with a view to ensuring the sustainability of returns; 

Simplification  and  implementation  of  enforced  returns  of  illegally 
staying  third  country  nationals,  with  a  view  to  enhancing  the 
credibility  and  integrity  of  immigration  policies  and  reducing  the 
period of custody of persons waiting for forced removal. 

2. 

Actions relating to the objective laid down in Article 3(1), point b), and in particular 
the following, shall be eligible for support from the Fund: 

(a) 

(b) 

(c) 

(d) 

(e) 

(f) 

(g) 

(h) 

(i) 

The  operation  in  the  gathering  and  provision  to  potential  returnees  of 
information on the country of origin; 

Co-operation  in  developing  effective,  stable  and  lasting  operational  working 
relationships between Member States’ authorities and consular authorities and 
immigration  services  of  third  countries,  to  facilitate  consular  assistance  in 
obtaining  travel  documents  for  the  return  of  third  country  nationals  and 
ensuring speedy and successful removal procedures;  

Design  of  joint  integrated  return  plans  and  their  implementation,  including 
joint  voluntary  return  programmes  on  specific  countries  or  regions  of  origin, 
former residence or transit; 

Studies  on  the  current  situation  and  possibilities  for  enhancing  administrative 
co-operation among Member States in the field of return as well as on the role 
of  international  and  non-governmental  organisations  to  be  played  in  this 
context; 

Exchange  of  information,  support  and  advice  in  dealing  with  the  return  of 
particularly vulnerable groups; 

Organization  of  seminars  for  practitioners  on  best  practices  focusing  on 
specific third countries and/or regions; 

Joint  measures  enabling  the  reception  of  readmitted  persons  in  countries  of 
origin, former residence or transit; 

Joint development of actions to ensure the durable reintegration of persons in 
the country of origin or former residence; 

Joint measures to monitor the situation of returnees and sustainability of their 
situation after return. 

3. 

Actions relating to the objective laid down in Article 3(1), point c), and in particular 
the following, shall be eligible for support from the Fund: 

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(a) 

(b) 

(c) 

(d) 

(e) 

Enhancement  of  the  capacity  of  competent  authorities  to  take  high  quality 
return decisions as quickly as possible; 

Enhancement  of  the  capacity  of  competent  administrative  authorities  to 
execute/enforce  speedily  removal  decisions  in  full  respect  of  human  dignity 
and the relevant European security standards regarding such operations; 

Enhancement  of  the  capacity  of  judicial  bodies  to  more  quickly  assess  return 
decisions appealed; 

Organization  of  seminars  and  joint  training  for  the  staff  of  the  competent 
administrative,  law  enforcement  and  judicial  bodies  concerning  legal  and 
practical aspects of return operations;  

Enhancement  of  the  capacity  of  competent  administrative  authorities  to 
effectively  implement  common  arrangements  on  mutual  recognition  and  joint 
return  operations,  including  the  recommendations,  operational  standards  and 
best  practices  defined  by  the  European  Agency  for  the  Management  of 
Operational Cooperation at the External Borders of the  Member States of  the 
European Union in the area of return. 

4. 

5. 

Actions  provided  for  by  paragraphs  1  to  3  shall,  in  particular,  promote  the 
implementation of the provisions of the relevant Community legislation in the field 
of the common European immigration and return policy. 

Actions  shall  take  account  of  the  specific  situation  of  vulnerable  persons  such  as 
minors,  unaccompanied  minors,  disabled  people,  elderly  people,  pregnant  women, 
single parents with minor children, and persons who have been subjected to torture, 
rape or other serious forms of psychological, physical or sexual violence. 

Article 5 

Eligible measures in the Member States  

Actions supported may include the following measures: 

–  In  all  cases  of  return  pre-return  information,  procurement  of  indispensable  travel 
documents,  costs  of  necessary  pre-return  medical  checks,  costs  of  travel  and  food  for 
returnees  and  escorts,  including  medical  staff,  accommodation  for  escorts,  specific 
assistance  to  vulnerable  groups  such  as  children  or  people  with  disabilities,  costs  of 
transportation  to  the  final  destination  in  the  country  of  return  and  co-operation  with  the 
authorities of the country of origin, former residence or transit; 

–  Additionally, in the case of forced return of illegally residing third country nationals, costs 
for temporary accommodation of returnees and their escorts from the participating Member 
State in the organising Member State prior the departure in case of joint return operations; 

–  Additionally,  in  the  case  of  voluntary  return  of  illegally  residing  third  country  nationals, 
comprehensive  pre-return  information,  assistance  and  counselling  as  well  as  essential 
expenses before return;  

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–  Additionally,  and  where  considered  appropriate  by  Member  States,  initial  expenses  after 
return, transport of the returnee’s personal belongings, adequate temporary accommodation 
for  the  first  days  after  arrival  in  the  country  of  return  in  a  reception  centre  or  a  hotel  if 
necessary,  training  and  employment  assistance  and  limited  start-up  support  for  economic 
activities where appropriate; 

–  Education  and  training  of  staff  of  the  competent  administrative,  law  enforcement  and 
judicial bodies, secondments of these categories of staff from other Member States in order 
to ensure an effective and uniform application of common standards on return and enhance 
cooperation, as well as missions to assess the results of return policies in third countries;  

–  In the case of operational co-operation with consular authorities and immigration services 
of third countries with a view to obtaining travel documents and ensuring speedy removal 
procedures,  cost  of  travel  and  accommodation  in  the  Member  States  for  the  staff  of  the 
authorities and services responsible for the identification of third country nationals and the 
verification of their travel documents; 

–  In the case of reintegration measures to enhance the sustainability of return pursuant to the 
notion of integrated return management and, where Member State consider it appropriate, 
cash  incentives  and  other  short  term  measures  necessary  to  launch  the  progress  of 
reintegration  for  the  returnee’s  personal  development  such  as  training,  placement  and 
employment assistance, start up support for economic activities and post-return assistance 
and  counselling,  as  well  as  measures  enabling  Member  States  to  offer  appropriate 
arrangements for welcoming returnees in third countries upon their arrival. 

Article 6 

Actions of interest to the Community 

1. 

At  the  Commission's  initiative,  up  to  7%  of  the  Fund's  available  resources  may  be 
used  to  finance  transnational  actions  or  actions  of  interest  to  the  Community  as  a 
whole  (“Community  actions”)  concerning  immigration  and  integration  policy  and 
measures applicable to the target group as referred to in Article 7. 

2. 

To be eligible for funding, Community actions shall in particular: 

(a) 

(b) 

further  Community  cooperation  in  implementing  Community  law  and  good 
practices; 

support the setting-up of transnational cooperation networks and pilot projects 
based  on  transnational  partnerships  between  bodies  located  in  two  or  more 
Member  States  designed  to  stimulate  innovation,  facilitate  exchanges  of 
experience and good practice and improve the quality of return policy; 

(c) 

support transnational awareness-raising campaigns; 

(d) 

support studying, disseminating and exchanging information, including the use 
of  state  of  the  art  technology,  on  best  practices  and  all  other  aspects  of  the 
Fund; 

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(e) 

support  pilot  projects  and  studies  exploring  the  possibility  of  new  forms  of 
Community cooperation and Community law in this area;  

(f) 

support the development of statistical tools, methods and common indicators.  

3. 

The annual work programme laying down the priorities for Community actions shall 
be adopted in accordance with the procedure referred to in Article 50(2). 

Article 7 

Target Groups 

For the purposes of this Decision the target groups shall comprise all third country 
nationals illegally residing in a Member State. 

This  shall  include  third  country  nationals  who  are  not  or  no  longer  in  need  for 
international protection because their application for asylum has been rejected by a 
final decision under the respective national legal systems or because their status has 
been  revoked,  ended  or  not  been  renewed  (by  a  final  decision)  in  accordance  with 
national and Community law. 

Third  country  national  means  any  person  who  is  not  a  Union  citizen  within  the 
meaning of Article 17(1) of the Treaty. 

CHAPTER II 
PRINCIPLES OF ASSISTANCE 

Article 8 

Complementarity, consistency and compliance 

The  Fund  shall  provide  assistance  which  complements  national,  regional  and  local 
actions, integrating into them the priorities of the Community. 

The Commission and the Member States shall ensure that assistance from the Fund 
and the Member States is consistent with the activities, policies and priorities of the 
Community.  This  consistency  shall  be  indicated  in  particular  in  the  multiannual 
programme referred to in Article 20. 

Operations financed by the Fund shall comply with the provisions of the Treaty and 
of acts adopted under them. 

1. 

2. 

3. 

1. 

2. 

3. 

Article 9 

Programming 

1. 

The  objectives  of  the  Fund  shall  be  pursued  in  the  framework  of  two  multiannual 
programming  periods  (2007-2010  and  2011-2013).  The  multiannual  programming 

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system  shall  include  the  priorities  and  a  process  of  management,  decision  making, 
auditing and certification. 

2. 

The multiannual programmes adopted by the Commission shall be implemented by 
means of annual programmes. 

1. 

2. 

1. 

Article 10 

Subsidiary and proportional intervention 

Implementation of multiannual and annual programmes referred to in Articles 20 and 
22 shall be the responsibility of Member States at the appropriate territorial level, in 
accordance  with  the  institutional  system  specific  to  each  Member  State.  This 
responsibility shall be exercised in accordance with this Decision. 

The  means  employed  by  the  Commission  and  the  Member  States  shall  vary 
according to the size of the Community contribution in relation to audit provisions. 
Differentiation  shall  also  apply  to  provisions  on  evaluation  and  to  the  reports  on 
multiannual and annual programmes. 

Article 11 

Implementation methods 

The  Community  budget  allocated  to  the  Fund  shall  be  implemented  in  accordance 
with  Article  53  (1),  point  (b)  of  Council  Regulation  (EC,  Euratom)  No  1605/2002, 
with  the  exception  of  the  Community  Actions  referred  to  in  Article  6  and  the 
technical assistance referred to in Article 17. 

The Member States and the Commission shall ensure compliance with the principle 
of sound financial management.  

2. 

The Commission exercises its responsibility for implementing the general budget of 
the European Communities by: 

(a) 

(b) 

checking  the  existence  and  proper  functioning  of  management  and  control 
systems in the Member States in accordance with the procedures described in 
Article 32; 

interrupting or suspending all or part of payments in accordance with Articles 
41 and 42 if the national management and control systems fail, and by applying 
any  other  financial  correction  required,  in  accordance  with  the  procedures 
described in Articles 45 and 46. 

Article 12 

Additionality 

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1. 

2. 

Contributions from the Fund shall not replace public or equivalent expenditure by a 
Member State.  

The Commission shall, in cooperation with each Member State, verify additionality 
mid-term by 31 December 2012 and ex-post by 31 December 2015. 

Article 13 

Partnership  

1. 

Each  Member  State  shall  organise,  in  accordance  with  current  national  rules  and 
practices, a partnership with the authorities and bodies which it designates, namely: 

(a) 

the competent regional, local, urban and other public authorities; 

(b) 

any  other  appropriate  body  representing  civil  society,  non-governmental 
organisations, including the social partners. 

Each  Member  State  shall  ensure  broad  and  effective  involvement  of  all  the 
appropriate bodies, in accordance with national rules and practices. 

2. 

The  partnership  shall  be  conducted  in  full  compliance  with  the  respective 
institutional, legal and financial jurisdiction of each partner category. 

The partnership shall cover preparation, implementation, monitoring and evaluation 
of the multiannual programmes. 

CHAPTER III 
FINANCIAL FRAMEWORK 

Article 14 

Global resources 

1. 

2. 

3. 

The  financial  reference  amount  for  the  implementation  of  the  Fund  from 
1 January 2008 to 31 December 2013 shall be EUR 759 million.  

The  annual  appropriations  for  the  Fund  shall  be  authorised  by  the  budgetary 
authority within the limits of the financial perspectives. 

The  Commission  shall  make  indicative  annual  breakdowns  by  Member  States  in 
accordance with the criteria established in Article 15. 

Article 15 

Annual distribution of resources for eligible actions in the Member States  

1. 

Each  Member  State  shall  receive  a  fixed  amount  of  EUR  300.000  from  the  Fund's 
annual allocation.  

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This amount shall be fixed at EUR 500.000 per annum for the period 2007-2013 for 
the states which acceded to the European Union on 1 May 2004.  

This amount shall be fixed at EUR 500.000 per annum for Member States which will 
accede to the European Union in the period 2007 – 2013 for the remaining part of the 
period 2007 - 2013 following the year of their accession.  

2. 

The remainder of the available annual resources shall be broken down between the 
Member States as follows:  

(a) 

(b) 

70  %  in  proportion  to  the  total  number  of  third  country  nationals  illegally 
residing  or  having  resided  illegally  in  the  territory  of  the  Member  State  and 
who are subject to a return decision under national and Community law, i.e. an 
administrative  or  judicial  decision  or  act,  stating  or  declaring  the  illegality  of 
stay and imposing an obligation to return, over the previous three years; 

30% in proportion to the number of third country nationals who have actually 
left  the  territory  of  the  Member  State  following  an  administrative  or  judicial 
order  to  leave,  whether  undertaken  voluntarily  or  under  coercion  over  the 
previous three years. 

3. 

The third country nationals referred to in paragraph 2 shall not include  

(a) 

(b) 

third  country  nationals  who  are  refused  entry  in  a  transit  zone  by  a  Member 
State;  

third  country  nationals  who  are  to  be  returned  by  a  Member  State  to  another 
Member State, in particular pursuant to Council Regulation (EC) No 343/2003 
of 18 February 2003 establishing the criteria and mechanisms for determining 
the  Member  State  responsible  for  examining  an  asylum  application  lodged  in 
one of the Member States by a third country national.  

The reference figures are the latest statistics produced by the Statistical Office of the 
European Communities in accordance with Community law.  

Where the statistics referred to in paragraph 4 are not available, Member States shall 
provide the necessary figures. 

Article 16 

Financing structure 

The Fund’s financial contribution shall take the form of grants. 

Actions  supported  by  the  Fund  shall  be  co-financed  by  public  or  private  sources, 
shall be of a non-profit nature and shall not be eligible for funding from other sources 
covered by the general budget of the European Communities. 

Fund  appropriations  shall  be  complementary  to  public  or  equivalent  expenditure 
allocated by Member States to the measures covered by this Decision. 

4. 

5. 

1. 

2. 

3. 

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4. 

5. 

1. 

The Community contribution to supported projects, as regards actions implemented 
in  the  Member  States  under  Article  4  shall  not  exceed  50%  of  the  total  cost  of  a 
specific action. 

This may be increased to 60% for projects addressing specific priorities identified in 
the Commission multiannual guidelines as defined in Article 18. 

This shall be increased to 75% in the Member States covered by the Cohesion Fund. 

As  a  general  rule,  Community  financial  aid  granted  for  actions  supported  by  the 
Fund  shall  be  given  for  a  period  of  no  more  than  three  years,  subject  to  periodic 
progress reports. 

Article 17 

Technical assistance at the initiative of the Commission 

At  the  initiative  of  and/or  on  behalf  of  the  Commission,  the  Fund  may  finance  the 
preparatory measures, monitoring, administrative and technical support measures, as 
well  as  evaluation,  audit  and  inspection  measures  necessary  for  implementing  this 
Decision, within the limits of 0,20% of the Fund’s annual allocation. 

2. 

Those actions shall include: 

(a) 

studies,  evaluations,  expert  reports  and  statistics,  including  those  of  a  general 
nature concerning the operation of the Fund; 

(b)  measures  aimed  at  the  partners,  the  beneficiaries  of  assistance  from  the  Fund 

and the general public, in particular information measures; 

(c) 

(d) 

the  installation,  operation  and  interconnection  of  computerised  systems  for 
management, monitoring, inspection and evaluation; 

improvements  in  evaluation  methods  and  the  exchange  of  information  on 
practices in this field. 

Article 18 

Technical assistance of the Member states 

1. 

2. 

At  the  initiative  of  the  Member  State  in  question,  for  each  annual  programme,  the 
Fund  may  finance  preparatory  measures,  management,  monitoring,  evaluation, 
information and control measures, as well as measures for the reinforcement of the 
administrative capacity for the implementation of the Fund. 

The annual amount set aside for technical assistance may not exceed 4 % of the total 
annual amount of co-financing allocated to the Member State, plus EUR 30 000. 

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CHAPTER IV 
PROGRAMMING 

Article 19 

Adoption of strategic guidelines 

1. 

2. 

3. 

4- 

For  each  multiannual  programme,  the  Commission  shall  adopt  strategic  guidelines 
setting  out  a  framework  for  the  intervention  of  the  Fund,  taking  into  account  the 
progress  in  the  development  and  implementation  of  Community  legislation  in  the 
area  of  return  and  measures  taken  by  the  Community  in  the  area  of  illegal 
immigration  as  well  as  the  indicative  distribution  of  the  financial  resources  of  the 
Fund for the period of the multiannual programme; 

For the objectives of the Fund referred to in Article 3, paragraph 1, point (a) and (b), 
those guidelines shall in particular give effect to the priorities of the Community to 
promote  

–  the return of third country nationals who are not in the possession of passports or 

other identity documents;  

–  the  return  of  third  country  nationals  not  covered  under  Community  readmission 
agreements or national bilateral readmission agreements, in view of strengthening 
the obligation under international law to readmit own nationals;  

–  the return to a particular country of third country nationals and stateless persons 
who have come from or have resided in this country not as its own nationals;  

–  the return of particularly vulnerable groups;  

For  the  objective  of  the  Fund  referred  to  in  Article  3,  paragraph  1,  point  c),  those 
guidelines  shall  in  particular  give  effect  to  the  priorities  of  the  Community  to 
promote the knowledge of the common standards across the EU and the integration 
of  these  standards  into  daily  return  management  processes  in  the  administrative 
authorities of Member States.  

The Commission shall adopt the strategic guidelines relating to the first multiannual 
programming period (2008-2010) on 31 March 2007 at the latest, and those relating 
to the second multiannual programming period (2011-2013) on 31 March 2010. 

The strategic guidelines shall be adopted in accordance with the procedure referred 
to in article 52(2). 

Article 20 

Preparation and approval of national multiannual programmes 

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1. 

Each  Member  State  shall  for  each  programming  period  and  on  the  basis  of  the 
strategic guidelines referred to in Article 19 propose a draft multiannual programme 
which shall include the following elements: 

(a) 

(b) 

(c) 

(d) 

(e) 

a  description  of  the  current  situation  in  the  Member  State  as  regards 
the  principle  of  integrated  return  management,  the  cooperation  with 
consular  authorities  and  immigration  services  of  third  countries,  the 
measures and policies relating to voluntary return and enforced return, 
the  approach  towards  reintegration  measures  and  sustainability  of 
return,  capacity  building  of  competent  administrative  and  judicial 
authorities  and  the  cooperation  with  other  Member  States  related  to 
the above;  

analysis of requirements in the Member State in question in terms of 
the cooperation with consular authorities and immigration services of 
third countries, the measures and policies relating to voluntary return 
and enforced return, the approach towards reintegration measures and 
sustainability of return, capacity building of competent administrative 
and judicial authorities and the cooperation with other Member States 
related  to  the  above  and  an  indication  of  operational  objectives 
designed to meet these requirements during the period covered by the 
multiannual programme; 

presentation of an appropriate strategy to achieve these objectives and 
the  priorities  attached  to  their  attainment,  and  a  description  of  the 
actions envisaged to implement these priorities;  

indication  of  whether  this  strategy  is  compatible  with  other  regional, 
national and Community instruments; 

information  on  the  priorities  and  their  specific  targets.  Those  targets 
shall  be  quantified  using  a  limited  number  of  indicators  for 
implementation,  results  and 
the 
proportionality  principle.  The  indicators  must  make  it  possible  to 
measure  the  progress  in  relation  to  the  baseline  situation  and  the 
effectiveness of the targets implementing the priorities;  

into  account 

impact, 

taking 

(f) 

a draft financing plan which sets out, for each priority and each year, 
the Fund’s proposed financial contribution and the overall amount of 
public or private co-financing; 

(g) 

implementing provisions for the multiannual programme, including:  

– 

– 

designation by the Member State of all the entities stipulated in 
Article 25;  

a  description  of  the  implementation,  monitoring,  control  and 
evaluation systems;  

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– 

– 

a  definition  of  the  procedures  for  the  mobilisation  and 
their 
circulation  of  financial  flows 
transparency; 

to  ensure 

in  order 

the  provisions  laid  down  to  ensure  that  the  multiannual 
programme is publicised.  

2. 

3. 

4. 

5. 

6. 

1. 

The Member States shall establish each multiannual programme in close cooperation 
with the partners referred to in Article 13.  

Member  States  shall  submit  their  draft  multiannual  programme  no  later  than  four 
months after the Commission has provided the strategic guidelines for the period in 
question. 

The Commission shall appraise the proposed multiannual programme in light of the 
following : 

(a) 

(b) 

(c) 

(d) 

its  consistency  with  the  objectives  of  the  Fund  and  the  strategic  guidelines 
defined in Article 19, 

the  relevance,  appropriateness  and  expected  results  of  the  strategy  and 
operational priority themes proposed by the Member State; 

the  compliance  of  the  management  and  control  arrangements  set  up  by  the 
Member  State  for  the  implementation  of  the  Fund’s  interventions  with  the 
provisions set out in this Decision; 

its compliance with Community law, in particular with Community law aiming 
at  ensuring  the  free  movement  of  persons  in  conjunction  with  the  directly 
related flanking measures with respect to external borders controls, asylum and 
immigration. 

Where the Commission considers that a multiannual programme is inconsistent with 
the  strategic  guidelines  or  does  not  comply  with  the  provisions  of  this  decision 
setting out management and control arrangements, it shall request the Member State 
to revise the proposed programme accordingly. 

The  Commission  shall  adopt  each  multiannual  programme  within  four  months 
following  its  formal  submission,  in  accordance  with  the  procedure  referred  to  in 
article 52(2).  

Article 21 

Revision of multiannual programmes 

At the initiative of the Member State in question or the Commission, the multiannual 
programme  shall  be  re-examined  and,  if  necessary,  revised  for  the  rest  of  the 
programming period in order to take greater or different account of the Community 
priorities, particularly in the light of Council conclusions. Multiannual programmes 
may  be  re-examined  in  the  light  of  evaluations  and  /  or  following  implementation 
difficulties.  

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2. 

1. 

2. 

3. 

4. 

The  Commission  shall  adopt  a  decision  on  the  revision  of  the  multiannual 
programme  as  soon  as  possible  after  the  formal  submission  of  a  request  by  the 
Member State concerned. 

Article 22 

Annual programmes 

The multiannual programmes adopted by the Commission shall be implemented by 
means of annual work programmes. 

The Commission shall provide the Member States, no later than 1 July of each year, 
with an estimate of the amounts to be allocated to them for the following year from 
the total appropriations allocated under the annual budgetary procedure, calculated as 
provided by Article 15. 

The  Member  States  shall  submit  to  the  Commission,  no  later  than  1  November  of 
each  year,  a  draft  annual  programme  for  the  following  year,  established  in 
accordance with the multiannual programme and including:  

(a) 

(b) 

(c) 

the  general  rules  for  selection  of  projects  to  be  financed  under  the  annual 
programme; 

a  description  of  the  tasks  to  be  carried  out  by  the  responsible  authority  when 
implementing the annual programme; 

the  proposed  financial  breakdown  of  the  Fund’s  contribution  between  the 
programme’s  various  actions  and  an  indication  of  the  amount  requested  to 
cover technical assistance under Article 17 for the purpose of implementing the 
annual programme.  

When examining the Member State’s proposal, the Commission shall take account of 
the  final  amount  of  the  appropriations  allocated  to  the  Fund  under  the  budgetary 
procedure and shall adopt the financing decision from the Fund no later than 1 March 
of  the  year  in  question.  The  decision  shall  indicate  the  amount  allocated  to  the 
Member State and the period for which the expenditure is eligible. 

CHAPTER V 
MANAGEMENT AND CONTROL SYSTEMS 

Article 23 

Implementation 

The  Commission  shall  be  responsible  for  implementing  this  Decision  and  shall  adopt  such 
implementing rules as may be necessary. 

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Article 24 

General Principles in the management and control systems 

The  management  and  control  systems  of  multiannual programmes set up by Member States 
shall provide for:  

(a) 

(b) 

(c) 

(d) 

(e) 

(f) 

(g) 

(h) 

(i) 

(j) 

a clear definition of the functions of the bodies and / or departments concerned 
in  management  and  control  and  a  clear  allocation  of  functions  within  each 
body; 

a  clear  separation  of  functions  between  bodies  concerned  in  management, 
certification  of  expenditure  and  control  and  between  those  functions  within 
each body; 

adequate resources for each body, department and / or individual to carry out 
the  functions  which  have  been  allocated  to  it  throughout  the  period  of 
implementation of actions financed by the Fund; 

effective  internal  control  arrangements  of  the  responsible  authority  and  any 
delegated authority; 

reliable  accounting,  monitoring  and 
computerised form;  

financial 

reporting 

systems 

in 

effective systems of reporting and monitoring where the performance of tasks 
is delegated; 

detailed manuals of procedures in relation to the functions to be performed; 

effective arrangements for the audit of the functioning of the system; 

systems and procedures to ensure a sufficient audit trail; 

procedures  concerning  the  reporting  and  the  monitoring  of  irregularities  and 
the recovery of amounts unduly paid. 

Article 25 

Designation of authorities  

1. 

For each multiannual programme the Member State shall designate the following : 

(a) 

a  responsible  authority :  a  functional  body  of  the  Member  State  or  national 
public  authority  or  body  designated  by  the  Member  State,  which  shall  be 
responsible  for  the  management  of  multi-annual  and  annual  programmes 
supported  by  the  Fund  and  shall  handle  all  communication  with  the 
Commission ; 

(b) 

a  certifying  authority:  national  public  authority  or  body  operationally 
independent  of  any  authorising  department  of  the  responsible  authority, 

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designated  by  the  Member  State  to  certify  declarations  of  expenditure  and 
applications for payment before they are sent to the Commission; 

(c) 

an audit authority: national public authority or body operationally independent 
of  the  responsible  authority  designated  by  the  Member  State  and  responsible 
for verifying the sound operation of the management and control system; 

(d) 

where appropriate, a delegated authority; 

(e) 

a  compliance  assessment  body  which  shall  be  designated  at  the  time  of 
submission  to  the  Commission  of  each  draft  multiannual  programme.  The 
Commission  may  accept  the  designated  audit  authority  as  the  compliance 
assessment  body  where  it  has  the  necessary  capacity  and  operational 
independence.  It  must  carry  out  its  work  according  to  international  audit 
standards.  

The Member State shall lay down rules governing its relations with those authorities 
and bodies and their relations with the Commission. 

Subject to Article 24, point b), several or all management,  certification  and control 
functions  may  be  carried  out  by  the  same  body.  Control  and  certification  functions 
may be carried out by the same body or department. 

The rules for implementing Articles 26 to 29 shall be adopted by the Commission in 
accordance with the procedure referred to in Article 52(2). 

Article 26 

Responsible authority 

The responsible authority may be a body of the Member State itself, a national public 
body as well as a body governed by the private law of the Member State and which 
has  a  public-service  mission.  Where  the  Member  State  designates  a  responsible 
authority  which  is  not  a  body  of  the  Member  State  itself,  it  shall  lay  down  all  the 
arrangements governing its relations with the said authority and the latter’s relations 
with the Commission. 

2. 

3. 

4. 

1. 

2. 

The responsible authority shall meet the following minimum conditions. It shall: 

(a) 

(b) 

(c) 

have  legal  personality,  except  where  it  is  a  functional  body  of  the  Member 
State; 

have the infrastructure required for easy communication with a wide range of 
users  and  with  the  responsible  bodies  in  the  other  Member  States  and  the 
Commission; 

work in an administrative context allowing it to carry out its tasks correctly and 
avoiding any conflict of interest;  

(d) 

be in a position to apply Community fund management rules; 

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(e) 

(f) 

have  financial  and  management  capacities  proportionate  to  the  volume  of 
Community funds which it will be called upon to manage;  

have at its disposal personnel with appropriate professional qualifications and 
language skills for administrative work in an international environment.  

3. 

The Member State shall provide the responsible authority with adequate funding so 
that  it  can  carry  out  its  tasks  properly  and  uninterruptedly  throughout  the  period 
2007-2013. 

Article 27 

Tasks of the responsible authority 

1. 

The responsible authority shall have responsibility for efficient, effective and correct 
managing and implementation of the multiannual programme. 

It shall in particular:  

(a) 

(b) 

consult  relevant  partners  (non-governmental  organisations,  local  authorities, 
competent  international  organisations,  social  partners  etc.)  through  the 
partnership established in Article 12; 

submit  to  the  Commission  proposals  for  multiannual  and  annual  programmes 
defined in articles 20 and 22 ; 

(c) 

organise and advertise calls for tenders and calls for proposals; 

(d) 

(e) 

(f) 

(g) 

(h) 

(i) 

organise selection  and award procedures for Fund co-financing in accordance 
with  the  principles  of  transparency,  equal  treatment  and  non-combination  of 
grants; 

receive  payments  made  by  the  Commission,  and  make  payments  to  the 
beneficiaries; 

ensure consistency and complementarity between co-financing under the Fund 
and from other relevant national and Community financial instruments; 

verify  the  delivery  of  the  co-financed  products  and  services  and  that  the 
expenditure declared for actions has actually been incurred and complies with 
Community and national rules; 

ensure  that  there  is  a  system  for  recording  and  storing  in  computerised  form 
detailed  accounting  records  of  each  action  under  the  annual  programmes  and 
that  the  data  on  implementation  necessary  for  financial  management, 
monitoring, control and evaluation is collected; 

ensure  that  beneficiaries  and  other  bodies  involved  in  the  implementation  of 
actions cofinanced by the Fund maintain either a separate accounting system or 
an adequate accounting code for all transactions relating to the operation; 

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(j) 

(k) 

(l) 

(m) 

(n) 

(o) 

(p) 

ensure that the evaluations of multiannual programmes referred to in Article 48 
are carried out within the time limits laid down in this Decision and meet the 
quality standards agreed between the Commission and the Member State; 

set up procedures to ensure that all documents regarding expenditure and audits 
required  to  ensure  an  adequate  audit  trail  are  held  in  accordance  with  the 
requirements referred to in article 43; 

ensure  that  the  audit  authority  receives,  for  the  purposes  of  carrying  out  the 
audits  defined  in  Article  30(1)  all  necessary  information  on  management 
procedures operated and the projects co-financed by the Fund; 

ensure  that  the  certifying  authority  receives  all  necessary  information  on  the 
procedures and audits carried out in relation to expenditure for the purpose of 
certification; 

draw  up  and  submit  to  the  Commission  reports,  statements  of  expenditure 
certified by the certifying authority and applications for payment; 

carry  out  information  and  advisory  activities;  and  disseminate  results  of 
supported actions; 

co-operate  with  the  Commission  and  the  responsible  authorities  in  the  other 
Member States.  

The  responsible  authority’s  management  activities  for  projects  implemented  in  the 
Member States can be financed under the technical assistance arrangements referred 
to in Article 18.  

Article 28 

Delegation of tasks by the responsible authority 

Where  all  or  some  of  the  responsible  authority's  tasks  are  delegated  to  a  delegated 
authority,  the  responsible  authority  shall  define  precisely  the  scope  of  the  tasks 
delegated,  and  set  out  detailed  procedures  for  the  implementation  of  the  delegated 
tasks, which shall comply with the conditions laid down in Article 26. 

These  procedures  shall  include  supplying  the  responsible  authority  with  regular 
information on the effective performance of the delegated tasks and a description of 
the means employed. 

5. 

1. 

2. 

Article 29 

Certifying authority  

1. 

The certifying authority of a multiannual programme shall: 

(a) 

certify that: 

EN 

176 

   EN 

 
i. 

ii. 

the statement of expenditure is accurate, results from reliable accounting 
systems and is based on verifiable supporting documents, 

the  expenditure  declared  complies  with  applicable  Community  and 
national  rules  and  has  been  incurred  in  respect  of  actions  selected  in 
accordance with the criteria applicable to the programme and complying 
with Community and national rules; 

(b) 

(c) 

ensure  for  the  purposes  of  certification  that  it  has  received  adequate 
information from the responsible authority on the procedures and audits carried 
out in relation to expenditure included in statements of expenditure; 

take account for the purposes of certification of the results of all audits carried 
out by or under the responsibility of the audit authority; 

(d)  maintain  accounting  records  in  computerised  form  of  expenditure  declared  to 

the Commission; 

(e) 

ensure  the  recovery  of  any  Community  financing  found  to  have  been  unduly 
paid  as  a  result  of  irregularities  detected,  together  with  interest  where 
appropriate, keeping an account of amounts recoverable and repaying amounts 
recovered to the Commission, where possible by deducting them from the next 
statement of expenditure. 

2. 

The certifying authority’s activities relating to projects implemented in the Member 
States  can  be  financed  under  the  technical  assistance  arrangements  referred  to  in 
Article 18, provided that the prerogatives of this authority as described in Article 24 
are respected.  

Article 30 

Audit authority 

1. 

The audit authority of a multiannual programme shall: 

(a) 

(b) 

(c) 

 ensure  that  audits  are  carried  out  in  accordance  with  international  audit 
standards  to  verify  the  effective  operation  of  the  management  and  control 
system of the multiannual programme; 

ensure  that  audits  are  carried  out  on  actions  on  the  basis  of  an  appropriate 
sample to verify expenditure declared; the sample shall represent at least 10% 
of the total eligible expenditure for each annual programme; 

present  to  the  Commission  within  six  months  of  the  approval  of  the 
multiannual  programme  an  audit  strategy  covering  the  bodies  which  will 
perform the audits referred to under points a) and b), the method to be used, the 
sampling method for audits on actions supported by the Fund and the indicative 
planning of audits to ensure that the main beneficiaries of cofinancing by the 
Fund are audited and that audits are spread evenly throughout the programming 
period; 

EN 

177 

   EN 

 
2. 

3. 

4. 

5. 

1. 

2. 

77 

Where the designated audit authority under this decision is also the designated audit 
authority  under  Decisions…..,  ……  and  …………  77,  or  where  common  systems 
apply  to  two  or  more  of  these  Funds,  a  single  combined  audit  strategy  may  be 
submitted under point c). 

The  audit  authority  shall  draft  a  final  report  on  the  implementation  of  the  annual 
programmes as defined in Article 50(2), which shall comprise: 

(a) 

(b) 

(c) 

an  annual  audit  report  setting  out  the  findings  of  the  audits  carried  out  in 
accordance  with  the  audit  strategy  in  respect  of  the  annual  programme 
reporting  any  shortcomings  found  in  the  systems  for  the  management  and 
control of the programme. 

an  opinion  as  to  whether  the  management  and  control  system  has  functioned 
effectively to give a reasonable assurance on the correctness of the statements 
of expenditure presented to the Commission and the legality and regularity of 
the underlying transactions. 

a declaration assessing the validity of the application for payment of the final 
balance and the legality and regularity  of  the underlying  transactions covered 
by the final statement of expenditure. 

Where the audits referred to in paragraph 1 are carried out by a body other than the 
audit authority, the audit authority shall ensure that such bodies have the necessary 
operational independence and that the work is performed according to internationally 
accepted audit standards. 

The activities of the audit authority or of the body referred to in paragraph 4 relating 
to  projects  implemented  in  the  Member  States  can  be  financed  under  the  technical 
assistance  arrangements  referred  to  in  Article  18,  provided  that  the  prerogatives  of 
this authority as described in Article 24 are respected.  

CHAPTER VI 
CONTROLS 

Article 31 

Responsibilities of the Member States 

Member  States  shall  be  responsible  for  ensuring  sound  financial  management  of 
multiannual  and  annual  programmes  and  the  legality  and  regularity  of  underlying 
transactions. 

They shall ensure that responsible authorities and any delegated authority, certifying 
authorities,  audit  authorities  and  any  other  bodies  concerned  receive  adequate 
guidance on setting up the management and control systems referred to in Articles 24 
to 30 to ensure that Community financing is used efficiently and correctly.  

Insert references to decisions establishing the ERF, the External borders fund and the integration fund. 

EN 

178 

   EN 

 
                                                 
3. 

4. 

5. 

6. 

1. 

2. 

3. 

The Member States shall prevent, detect and correct irregularities. They shall notify 
these to the Commission, and keep the Commission informed of the progress in the 
administrative and legal proceedings. 

When amounts unduly paid to a beneficiary cannot be recovered, the Member State 
is  responsible  for  reimbursing  the  amounts  lost  to  the  budget  of  the  European 
Communities. 

Member States shall be primarily responsible for the financial control of actions and 
shall ensure that management systems and audits are implemented in such a way as 
to  guarantee  that  Community  funds  are  used  properly  and  effectively.  They  shall 
provide the Commission with a description of these systems. 

Member  States  shall  cooperate  with  the  Commission  for  the  collection  of  the 
statistics needed for the implementation of Article 15. 

The detailed rules for implementing paragraphs 1 to 5 shall be adopted in accordance 
with the procedure referred to in Article 52(2). 

Article 32 

Management and control systems 

Prior to the adoption of a multiannual programme, the Member States shall ensure 
that management and control systemshave been set up in accordance with Articles 24 
to 30. They shall be responsible for ensuring that the systems function effectively 
throughout the programming period. 

Member States shall submit to the Commission, together with each draft multiannual 
programme,  a  description  of  the  organisation  and  procedures  of  the  responsible 
authorities,  delegated  authorities  and  certifying  authorities,  and  the  internal  audit 
systems operating in those authorities and bodies, the audit authority, and any other 
bodies carrying out audits under its responsibility. 

Within three months of the submission to the Commission of each draft multiannual 
programme, the Member States shall submit a report by the compliance assessment 
body setting out the results of an assessment of the systems and giving an opinion on 
their  compliance  with  Articles 24  to  30.  In  the  event  that  the  opinion  contains 
reservations,  the  report  shall  indicate  the  shortcomings  and  their  seriousness.  The 
Member States shall draw up, in agreement with the Commission, a plan setting out 
the corrective measures to be taken and the timetable for their implementation. 

4. 

The detailed rules for implementing paragraphs 1 to 3 shall be adopted in accordance 
with the procedure referred to in Article 52(2). 

Article 33 

Responsibilities of the Commission  

EN 

179 

   EN 

 
1. 

2. 

3. 

4. 

5. 

1. 

The  Commission  shall  satisfy  itself  in  accordance  with  the  procedure  laid  down  in 
Article 32 that the Member States have set up management and control systems that 
comply  with  Articles  24  to  30,  and  on  the  basis  of  the  annual  audit  reports  and  its 
own audits that the systems function effectively during the period of implementation 
of the multiannual programmes. 

Without prejudice to audits carried out by Member States, Commission officials or 
authorised Commission representatives may carry out on-the-spot audits to verify the 
effective  operation  of  the  management  and  control  systems,  which  may  include 
audits  on  actions  included  in  the  annual  programmes,  with  a  minimum  of  one 
working  day’s  notice.  Officials  or  authorised  representatives  of  the  Member  State 
concerned may take part in such audits. 

The  Commission  may  require  Member  States  to  carry  out  an  on-the-spot  check  to 
verify  the  correct  functioning  of  the  systems  or  the  correctness  of  one  or  more 
transactions.  Commission  officials  or  authorised  Commission  representatives  may 
take part in such audits. 

The  Commission  shall,  in  cooperation  with  the  Member  States,  ensure  that 
appropriate information, publicity and follow-up are provided for actions supported 
by the Fund; 

The  Commission  shall,  in  cooperation  with  the  Member  States,  ensure  that  actions 
are  consistent  with,  and  complementary  to,  other  relevant  Community  policies, 
instruments and initiatives. 

Article 34 

Cooperation with the control bodies of the Member States 

The  Commission  shall  cooperate  with  the  audit  authorities  of  multiannual 
programmes to coordinate their respective control plans and audit methods and shall 
immediately  exchange  the  results  of  audits  carried  out  on  management  and  control 
systems  in  order  to  make  the  best  possible  use  of  control  resources  and  to  avoid 
unjustified duplication of work. 

The  Commission  shall  provide  its  comments  on  the  audit  strategy  presented  under 
Article 30 not later than three months or at the first meeting following its reception. 

2. 

In  determining  its  own  audit  strategy,  the  Commission  shall  identify  those 
multiannual programmes  

(a) 

(b) 

which  comply  with  the  system  established  under  Article 32  without 
reservations or for which reservations have been withdrawn following 
corrective measures; and 

for which the audit strategy of the audit authority under Article 30 is 
satisfactory and where reasonable assurance has been obtained that the 
management and  control systems function effectively on the basis of 
the results of audits by the Commission and the Member State. 

EN 

180 

   EN 

 
For  those  programmes,  the  Commission  may  inform  the  Member  States  concerned 
that it will rely principally on the opinion of the audit authority as to the correctness, 
legality and regularity of expenditure declared and will carry out its own on-the-spot 
audits only in exceptional circumstances. 

CHAPTER VII 
FINANCIAL MANAGEMENT 

Article 35 

Eligibility – declarations of expenditure 

1. 

2. 

3. 

All declarations of expenditure shall include the amount of expenditure incurred by 
beneficiaries  in  implementing  the  actions  and  the  corresponding  contribution  from 
public or private funds.  

Expenditure  shall  correspond  to  the  payments  effected  by  the  beneficiaries.  It  shall 
be  justified  by  receipted  invoices  or  accounting  documents  of  equivalent  evidential 
value. 

Expenditure  may  be  considered  eligible  for  support  from  the  Fund  only  if  it  is 
actually  paid  no  earlier  than  1  January  of  the  year  referred  to  in  the  Commission 
decision on co-financing indicated in Article 22(4). The co-financed actions must not 
have been completed before the starting date for eligibility. 

4. 

The following expenditure shall not be eligible for a contribution from the Fund : 

–  VAT; 

–  interest on debt; 

–  the  purchase  of  land  for  an  amount  exceeding  10%  of  the  total  eligible 

expenditure for the operation concerned; 

–  housing. 

5. 

The  rules  governing  eligibility  of  expenditure  within  the  framework  of  actions 
co-financed  by  the  Fund  in  the  Member  States  under  Article  4  shall  be  adopted  in 
accordance with the procedure provided for by Article 52(2). . 

Article 36 

Wholeness of payment to beneficiaries 

Member  States  shall  satisfy  themselves  that  the  responsible  authority  ensures  that  the 
beneficiaries  receive  the  total  amount  of  the  contribution  from  public  funds  as  quickly  as 
possible. No amounts shall be deducted or withheld, nor any further specific charge or other 
charge  with  equivalent  effect  shall  be  levied  that  would  reduce  these  amounts  for  the 
beneficiaries. 

EN 

181 

   EN 

 
Article 37 

Use of the euro 

All  amounts  mentioned  in  the  financing  decisions  by  the  Commission,  in  the  commitments 
and payments made by the Commission as well as the amounts of certified expenditure and 
requests for payment from the Member States shall be expressed and carried out in euro.  

Article 38 

Commitments 

Community budgetary commitments shall be made annually on the basis of the Commission 
financing decision referred to in Article 22(4). 

EN 

182 

   EN 

 
1. 

2. 

3. 

4. 

5. 

6. 

1 

Article 39 

Payments - Prefinancing 

Payments  by  the  Commission  of  the  contribution  from  the  Funds  shall  be  made  in 
accordance with the budget commitments. 

Payments  shall  take  the  form  of  pre-financing  and  payment  of  the  balance.  They 
shall be made to the responsible authority designated by the Member State. 

A  pre-financing  payment  representing  50%  of  the  amount  allocated  in  the 
Commission’s  financing  decision  shall  be  made  to  the  Member  State  within  sixty 
days following the adoption of the financing decision. 

A second pre-financing payment shall be made no more than three months after the 
Commission  has  approved  a  progress  report  on  implementation  of  the  annual 
programme  and  a  certified  declaration  of  expenditure  drawn  up  in  accordance  with 
Articles 29, point a) and 35, accounting for at least 70% of the amount of the initial 
payment. The amount of the second pre-financing payment made by the Commission 
shall not exceed 50% of the total amount allocated by the co-financing decision or, in 
any event, the balance of the amount of Community funds actually committed by the 
Member State for selected projects under the annual programme minus the first pre-
financing payment. 

Interests  generated  by  pre-financing  payments  shall  be  assigned  to  the  programme 
concerned and must be deducted from the amount of public expenditure declared in 
the final statement of expenditure.. 

The  amounts  paid  as  pre-financing  shall  be  cleared  from  the  accounts  when  the 
annual programme is closed. 

Article 40 

Balance payments 

The  Commission  shall  pay  the  balance  provided  it  has  received  the  following 
documents within nine months from the end date of eligibility of costs defined in the 
annual decision on co-financing by the Fund:  

(a) 

(b) 

a certified declaration of expenditure and a request for payment of the balance 
or declaration of reimbursement duly drawn up in accordance with Articles 29, 
point a) and 35;  

the  final  implementation  report  for  the  annual  programme,  including  the 
information set out in Article 51; 

(c) 

the audit report, opinion and declaration provided for in Article 30(2). 

The payment of the balance is subject to the acceptance of the final implementation 
report and of the statement of validity for the request for payment of the balance. 

EN 

183 

   EN 

 
2. 

3. 

4. 

5. 

6. 

7. 

1. 

If the responsible authority fails to provide the documents required in paragraph 1 by 
the due date and in an acceptable format, the Commission shall decommit any part of 
the  budget  commitment  of  the  corresponding  annual  programme  that  has  not  been 
used for payment of the pre-financing. 

The automatic cancellation procedure defined in paragraph 2 shall be suspended, for 
the  amount  of  the  projects  concerned,  where  legal  proceedings  or  administrative 
appeal  having  suspensory  effects  are  ongoing  at  Member  State  level  at  the  time  of 
submission of the documents defined in paragraph 1. The Member State shall, in the 
partial  final  report  submitted,  give  detailed  information  on  such  projects,  and  send 
reports  on  progress  made  with  regard  to  these  projects  every  6  months.  Within  3 
months  of  the  conclusion  of  the  legal  proceedings  or  administrative  appeal 
procedure, the Member State shall present the documents required in paragraph 1 for 
the projects concerned. 

The  nine  months  period  referred  to  in  paragraph  1  shall  be  interrupted  if  the 
Commission has adopted a decision suspending payments of the co-financing for the 
relevant  annual  programme  in  accordance  with  the  provisions  of  Article  42.  The 
period shall start to run again from the date when the Commission decision referred 
to in Article 40(3) has been notified to the Member State. 

Without  prejudice  to  the  provisions  of  Article  41  the  Commission  shall,  within  six 
months  of  receiving  the  documents  referred  to  in  paragraph  1,  inform  the  Member 
State of the amount of expenditure recognised by the Commission as chargeable to 
the  Fund,  and  of  any  financial  corrections  deriving  from  the  difference  between 
declared expenditure and the expenditure recognised. The Member State shall have 
three months to present its comments. 

Within  three  months  of  receiving  the  Member  State’s  comments,  the  Commission 
shall decide on the amount of expenditure recognised as chargeable to the Fund, and 
recover the balance arising from the difference between final recognised expenditure 
and the sums already paid to the Member States. 

Subject to available funding, the Commission shall pay the balance within no more 
than  sixty  days  from  the  date  on  which  it  accepts  the  documents  referred  to  in 
paragraph  one  above.  The  balance  of  the  budgetary  commitment  shall  be 
decommitted six months following the payment. 

Article 41 

Interruption 

The  payment  deadline  shall  be  interrupted  by  the  authorising  officer  by  delegation 
within  the  meaning  of  Regulation  (EC,  Euratom)  No  1605/2002  for  a  maximum 
period  of  six  months  if  there  are  doubts  as  to  the  proper  functioning  of  the 
management  and  control  systems  or  if  the  authorising  officer  requires  additional 
information  from  the  national  authorities  in  the  process  of  monitoring  the 
observations  made  under  the  annual  review,  or  if  s/he  suspects  that  serious 
irregularities, detected or presumed, are present in the expenditure declared. 

EN 

184 

   EN 

 
The  Commission  shall  inform  the  Member  State  concerned  and  the  responsible 
authority  immediately  of  the  reasons  for  the  interruption.  The  Member  State  shall 
take the necessary steps to correct the situation as soon as possible. 

2. 

The maximum period of six months shall be extended for another maximum period 
of six months if it proves necessary to adopt a decision in accordance with Articles 
42 and 45. 

Article 42 

Suspension 

1. 

All  or  part  of  the  pre-financing  and  balance  payments  may  be  suspended  by  the 
Commission when: 

(a) 

(b) 

there  is  a  serious  deficiency  in  the  management  and  control  system  of  the 
programme  which  affects  the  reliability  of  the  procedure  for  certification  of 
payments and for which corrective measures have not been taken; or 

expenditure  in  a  certified  statement  of  expenditure  is  linked  to  a  serious 
irregularity which has not been corrected; or 

(c) 

a Member State has not complied with its obligations under Articles 31 and 32. 

2. 

3. 

4. 

The  Commission  may  decide  to  suspend  pre-financing  and  balance  payments  after 
having given the Member State the opportunity to present its observations within a 
period of three months.  

The Commission shall end suspension of pre-financing and balance payments when 
it  considers  that  the  Member  State  has  taken  the  necessary  measures  to  enable  the 
suspension to be lifted.  

If  the  required  measures  are  not  taken  by  the  Member  State,  the  Commission  may 
adopt a decision to reduce the net amount or cancel the Community contribution to 
the annual programme in accordance with Article 46. 

Article 43 

Conservation of documents 

The  responsible  authority  shall  ensure  that  all  the  supporting  documents  regarding 
expenditure  and  audits  on  the  annual  programme  concerned  are  kept  available  for  the 
Commission and the Court of Auditors. 

The documents shall be kept available at least for a period three years following the closure of 
an annual programme, without prejudice to the rules governing State aid. This period shall be 
interrupted either in the case of legal proceedings or at the request of the Commission stating 
the reasons. 

EN 

185 

   EN 

 
The documents shall be kept either in the form of the originals or in versions certified to be in 
conformity with the originals on commonly accepted data carriers.  

CHAPTER VIII 
FINANCIAL CORRECTIONS 

Article 44 

Financial corrections established by the Member States 

1. 

2. 

Without prejudice to the Commission's responsibilities for implementing the general 
budget  of  the  European  Communities,  the  Member  States  shall  be  primarily 
responsible  for  investigating  irregularities.  They  shall  act  upon  evidence  of  any 
major change affecting the nature or the conditions for the implementation or control 
of assistance and make the required financial corrections. 

The Member State shall make the financial corrections required in connection with 
the  individual  or  systemic  irregularities  detected  in  actions  or  annual  programmes. 
The corrections made by the Member States shall consist in recovering all or part of 
the  Community  contribution.  The  Member  State  shall  take  into  account  the  nature 
and gravity of the irregularities and the financial loss to the Fund.  

Member  States  shall  include  in  the  annual  report  sent  to  the  Commission  under 
Article  50(2)  a  list  of  cancellation  proceedings  initiated  for  the  annual  programme 
concerned. 

The corrections made by the Member State shall consist in cancelling all or part of 
the Community contribution, and, where the amount is not repaid in the time allowed 
by the relevant Member State, default interest shall be due at the rate provided for by 
Article 47(2).  

3. 

In the case of systemic irregularities the Member State shall extend its enquiries to 
cover all operations liable to be affected. 

Article 45 

Audit of accounts and financial corrections by the Commission 

1. 

Without prejudice to the powers of the Court of Auditors or the checks carried out by 
the Member States in accordance with national laws, regulations and administrative 
provisions,  Commission  officials  or  authorised  Commission  representativesmay 
carry out on-the-spot checks, including sample checks, on the operations financed by 
the Fund and on management and control systems with a minimum of one working 
day’s notice. The Commission shall give notice to the Member State concerned with 
a  view 
the  assistance  necessary.  Officials  or  authorised 
representatives of the Member State concerned may take part in such checks. 

to  obtaining  all 

EN 

186 

   EN 

 
2. 

1. 

2. 

3. 

4. 

The  Commission  may  require  the  Member  State  concerned  to  carry  out  an 
on-the-spot check to verify the correctness of one or more transactions. Commission 
officials or authorised Commission representatives may take part in such checks. 

If,  after  completing  the  necessary  verifications,  the  Commission  concludes  that  a 
Member State  is  not  complying  with  its  obligations  under  Articles  31,  it  shall 
suspend the pre-financing or final payment in accordance with Article 42. 

Article 46 

Criteria for the corrections 

If the Member State has not made the corrections within the period as provided for in 
Article 42(2) and if no agreement has been reached, the Commission may, , decide 
within three months to cancel all or part of the Community contribution to an annual 
programme when it concludes that:  

(a) 

(b) 

(c) 

there  is  a  serious  deficiency  in  the  management  and  control  system  of  the 
programme which has put at risk the Community contribution already paid to 
the programme; 

expenditure  contained  in  a  certified  statement  of  expenditure  is  irregular  and 
has  not  been  corrected  by  the  Member  State  prior  to  the  opening  of  the 
correction procedure under this paragraph; and  

a Member State has not complied with its obligations under Article 31 prior to 
the opening of the correction procedure under this paragraph. 

The Commission shall decide after having taken into account any comments made by 
the Member State. 

The  Commission  shall  base  its  financial  corrections  on  individual  cases  of 
irregularity  identified,  taking  account  of  the  systemic  nature  of  the  irregularity  to 
determine whether a flat-rate or extrapolated correction should be applied. Where the 
case  of  irregularity  relates  to  a  statement  of  expenditure  for  which  a  positive 
assurance had previously been given in accordance with the Article 30(3), point b) in 
an annual report, there will be a presumption of a systemic problem giving rise to the 
application  of  a  flat-rate  or  extrapolated  correction,  unless  the  Member  State  can 
provide proof within three months to rebut this presumption. 

The Commission shall, when deciding the amount of a correction, take account of the 
importance  of  the  irregularity  and  the  extent  and  financial  implications  of  the 
deficiencies found in the annual programme concerned. 

Where the Commission bases its position on the facts established by auditors other 
than  those  of  its  own  services,  it  shall  draw  its  own  conclusions  regarding  the 
financial  consequences,  after  examining  the  measures  taken  by  the  Member  State 
concerned under Article 32, the reports of notified irregularities and any replies from 
the Member State. 

EN 

187 

   EN 

 
Article 47 

Repayment 

1. 

2. 

Any repayment due to be made to the Commission shall be effected before the due 
date indicated in the order for recovery drawn up in accordance with Article 72 of the 
Council  Regulation  (EC,Euratom)  N°  1605/200278.  This  due  date  shall  be  the  last 
day of the second month following the issuing of the order. 

Any  delay  in  effecting  repayment  shall  give  rise  to  interest  on  account  of  late 
payment, starting on the due date and ending on the date of actual payment. The rate 
of such interest shall be the rate applied by the European Central Bank to its principal 
refinancing  operations,  as  published  in  the  C  series  of  the  Official  Journal  of  the 
European Communities, in force on the first calendar day of the month in which the 
due date falls, increased by three and a half percentage points. 

Article 48 

Obligations of Member States 

A financial correction by the Commission shall not prejudice the Member State's obligation to 
pursue recoveries under Article 46. 

CHAPTER IX 
MONITORING, EVALUATION AND REPORTS 

Article 49 

Monitoring and evaluation 

1. 

2. 

3. 

The Commission shall carry out regular monitoring on the Fund in cooperation with 
the Member States. 

The  Fund  shall  be  evaluated  regularly  by  the  Commission  in  partnership  with  the 
Member  States  to  assess  the  relevance,  effectiveness  and  impact  of  actions  in  the 
light of the objectives referred to in Article 2.  

The  Commission  shall  also  look  at  the  complementarity  between  the  actions 
implemented  under  the  Fund  and  those  pursued  under  other  relevant  Community 
policies, instruments and initiatives. 

78 

OJ L 351, 28.12.2002. 

EN 

188 

   EN 

 
                                                 
Article 50 

Reports 

1. 

In each Member State the responsible authority shall take the necessary measures to 
ensure project monitoring and evaluation. 

To  that  end,  the  agreements  and  contracts  it  concludes  with  the  organisations 
responsible for the implementation of the actions shall include clauses laying down 
an  obligation  to  submit  regular  and  detailed  reports  on  the  state  of  progress  of 
implementation and completion of the assigned objectives. 

2. 

3. 

4. 

No later than nine months after the eligibility deadline for expenditure laid down in 
the co-financing decision for each annual programme, the responsible authority shall 
submit  a  final  implementation  report  and  a  final  declaration  of  expenditure  to  the 
Commission as provided by Article 35. 

The Member States shall submit to the Commission no later than 30 June 2012 (for 
the period 2008-2010) and 30 June 2015 (for the period 2011-2013) respectively, an 
evaluation report on the results and impact of actions co-financed by the Fund. 

The Commission shall submit to the European Parliament, the Council, the European 
Economic and Social Committee and the Committee of the Regions: 

(a) 

(b) 

(c) 

no later than 30 June 2010, a report on the application of the criteria 
set  out  in  Article  15  for  the  annual  breakdown  of  resources  between 
member  States;  together  with  proposals  for  amendments  if  deemed 
necessary ; 

no later than 31 December 2010, an intermediate report on the results 
achieved 
aspects  of 
implementation  of  the  Fund,  together  with  a  proposal  on  the  Fund’s 
future development; 

and  on  qualitative 

and  quantitative 

no  later  than  31  December  2012  (for  the  period  2008-2010)  and 
31December 2015 (for the period 2011-2013) respectively, an ex post 
evaluation report. 

Article 51 

Final annual report 

1. 

The  reports  referred  to  in  Article  50(2)  shall  include  the  following  information  in 
order  to  obtain  a  clear  view  of  the  implementation  of  the  annual  and  multiannual 
programmes: 

(a) 

(b) 

the financial and operational implementation of the annual programme; 

the  progress  made  in  implementing  the  multiannual  programme  and  its 
priorities  in  relation  to  their  specific,  verifiable  targets,  with  a  quantification, 

EN 

189 

   EN 

 
wherever and whenever they lend themselves to quantification, of the physical 
indicators  and  the  indicators  of  implementation,  results  and  impacts  for  each 
priority; 

(c) 

the  steps  taken  by  the  responsible  authority  to  ensure  the  quality  and 
effectiveness of implementation, in particular: 

– 

– 

– 

– 

monitoring and evaluation measures, including data collection 
arrangements; 

a  summary  of  any  significant  problems  encountered  in 
implementing  the  operational  programme  and  any  measures 
taken; 

the use made of technical assistance; 

the  measures  taken  to  provide  information  on  and  to  make 
public the annual and multiannual programmes. 

The reports shall be judged acceptable where they contain all the information listed 
in paragraph 1. The Commission shall reach a decision on the content of the annual 
report  on  implementation  submitted  by  the  Responsible  Authority  within  two 
months.  If  the  Commission  does  not  respond  within  the  time  limit  laid  down,  the 
report shall be deemed to be accepted. 

CHAPTER IX 
GENERAL AND FINAL PROVISIONS 

Article 52 

Committee 

The  Commission  shall  be  assisted  by  the  common  Committee  “Solidarity  and 
Management  of  Migration  Flows”,  established  by  the  Decision  establishing  the 
External Borders Fund for the period 2007-2013 as part of the General programme 
‘Solidarity and Management of Migration Flows’ ../… 79 (“the “committee”). 

Where  reference  is  made  to  this  paragraph,  Articles  4  and  7  of  Decision 
1999/468/EC shall apply, having regard to the provisions of the Article 8 thereof. 

The Committee shall adopt its Rules of Procedure. 

2. 

1. 

2. 

3. 

79 

Insert references to decisions establishing the ERF, the External borders fund and the integration fund. 

EN 

190 

   EN 

 
                                                 
Article 53 

Review 

The  European  Parliament  and  the  Council  shall  review  this  Decision  on  the  basis  of  a 
proposal from the Commission by 30 June 2013 at the latest. 

Article 54 

Entry into force 

This Decision shall apply from 1 January 2008.  

Article 55 

Addressees 

This Decision is addressed to the Member States. 

Done at Brussels,  

For the European Parliament 
The President 

For the Council 
The President 

EN 

191 

   EN 

 
FINANCIAL STATEMENT 

LEGISLATIVE FINANCIAL STATEMENT 

1. 

NAME OF THE PROPOSAL: 

Programme “Solidarity and Management of Migration Flows “ 

Proposal for a Council Decision establishing the “European Refugee Fund” for the period 
2008-2013 

Proposal  for  a  Council  Decision  establishing  the  “European  Fund  for  the  Integration  of 
Third-Country nationals” for the period 2007-2013 

Proposal  for  a  Decision  of  the  European  Parliament  and  the  Council  establishing  the 
“European Return Fund” for the period 2008-2013 

Proposal  for  a  Decision  of  the  European  Parliament  and  the  Council  establishing  the 
“External Borders Fund” for the period 2007-2013 

2. 

ABM / ABB FRAMEWORK 

1802 – External Frontiers, visa policy and free movement of people  

1803 – Common Immigration and Asylum Policies  

3. 

BUDGET LINES 

3.1. 

Budget  lines  (operational  lines  and  related  technical  and  administrative 
assistance lines (ex- B.A lines)) including headings : 

Financial Perspectives 2007 - 2013: Heading 3.  

3.2. 

Duration of the action and of the financial impact: 

2007-2013 

3.3. 

Budgetary characteristics (add rows if necessary) : 

Budget line 

Type of 
expenditure 

New 

EFTA 
contribution 

Contributions 
from applicant 
countries 

Heading in 
financial 
perspective 

European 
Refugee Fund 

Diff 

Non-

NO 

NO 

No 

No 3 

EN 

192 

   EN 

 
 
 
of 

Integration 
Third-country 
nationals 

European 
Return Fund 

External Borders 
Fund 

comp 

Non-
comp 

Non-
comp 

Non-
comp 

Diff 

Diff 

Diff 

Yes 

NO 

No 

No 3 

Yes 

NO 

No 

No 3 

Yes 

NO 

No 

No 3 

EN 

193 

   EN 

 
 
 
 
 
 
 
4. 

SUMMARY OF RESOURCES 

4.1. 

Financial Resources (Current Prices) 

4.1.1. 

Summary of commitment appropriations (CA) and payment appropriations (PA) 

Section no. 

2007 

2008 

2009 

2010 

2011 

2012 

2013 

2014 -… 

Total 

EUR million (to 3 decimal places) 

Expenditure type 
Operational expenditure (8.1) 
Commitment 
Appropriations 
(CA) 

European 
Refugee 
Fund 

Emergency 
measures 

Integration 
of Third-
country 
Nationals 

European 
Return 
Fund 

a 

a 

a 

a 

EN 

60,000

140,000

140,000

150,000

200,000 

204,200

208,600

1.102,800

9,800

9,800

9,800

9,800

9,800 

9,800

9,800

68,600

95,000

126,000

205,000

265,000

305,000 

360,000

400,000

1.756,000

0,000

39,000

60,000

100,000

150,000 

200,000

200,000

749,000

194 
EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
  
  
  
  
  
  
  
  
  
Payment 
Appropriations 
(PA) 

External 
Borders 
Fund 

European 
Refugee 
Fund 

Emergency 
measures 

Integration 
of Third-
country 
Nationals 

European 
Return 
Fund 

External 
Borders 
Fund 

a 

b 

b 

b 

b 

b 

170,000

170,000

220,000

285,000

320,000 

400,000

570,000

2.135,000

54,771

105,000

150,000

145,000

175,000 

202,100

206,400

64,529

1.102,800

9,800

9,800

9,800

9,800

9,800 

9,800

9,800

68,600

47,500

110,500

165,500

235,000

285,000 

332,500

380,000

200,000

1.756,000

0,000

19,500

49,500

80,000

125,000 

175,000

200,000

100,000

749,000

85,000

170,000

195,000

252,500

302,500 

360,000

485,000

285,000

2.135,000

Administrative expenditure within reference amount (8.2.4) 
Technical & 
administrative 
assistance (NDA) 

1,300

European 
Refugee 
Fund 

c 

1,600

1,500

1,600

1,850 

1,550

1,800

11,200

Technical & 
administrative 
assistance (NDA) 

Technical & 
administrative 
assistance (NDA) 

Emergency 
measures 

Integration 
of Third-
country 
Nationals 

c 

c 

EN 

0,200

0,200

0,200

0,200

0,200 

0,200

0,200

1,400

1,100

1,750

1,700

2,150

2,550 

2,850

2,900

15,000

195 
EN 

 
 
 
  
  
  
  
  
  
  
  
  
  
Technical & 
administrative 
assistance (NDA) 

Technical & 
administrative 
assistance (NDA) 

European 
Return 
Fund 

External 
Borders 
Fund 

TTOOTTAALL  RREEFFEERREENNCCEE  AAMMOOUUNNTT  
Commitment 
Appropriations 

Payment 
Appropriations 

c 

c 

a+c 

b+c 

0,000

1,400

1,500

1,600

1,700 

1,750

2,050

10,000

1,600

2,250

2,300

2,650

2,900 

2,650

2,650

17,000

339,000

492,000

642,000

818,000

994,000  1.183,000

1.398,000

5.866,000

201,271

422,000

577,000

730,500

906,500  1.088,400

1.290,800

649,529

5.866,000

Administrative expenditure not included within reference amount  
8,856
Human resources 
and associated 
expenditure (NDA) 

7,587

8.2.5 

d 

10,044

11,232

12,420 

13,392

13,608

77,139

Administrative costs, 
other than human 
resources and 
associated costs, not 
included in reference 
amount (NDA) 

0,676

0,732

0,746

0,761

0,777 

0,792

0,808

5,292

8.2.6 
Total indicative financial cost of intervention 
347,263
TOTAL CA 
including cost of 
Human Resources 

e 

a+c+d+e 

501,588

652,790

829,993

1.007,197  1.197,184

1.412,416

5.948,431

TOTAL PA 
including cost of 
Human Resources 

b+c+d+e 

209,534

431,588

587,790

742,493

919,697  1.102,584

1.305,216

649,529

5.948,431

EN 

196 
EN 

 
 
 
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
 
 
 
 
 
 
 
 
 
 
 
 
 
Co-financing details 

If the proposal involves co-financing by Member States, or other bodies (please specify 
which),  an  estimate  of  the  level  of  this  co-financing  should  be  indicated  in  the  table 
below (additional lines may be added if different bodies are foreseen for the provision of 
the co-financing): 

EUR million (to 3 decimal places) 

n + 1 

n + 2 

n + 3 

n + 4 

Year 
n 

n  +  5 
and 
later 

Total 

Co-financing body 

…………………… 

TOTAL CA including co-
financing 

f 

a+c
+d+
e+f 

4.1.2.  Compatibility with Financial Programming 

X 

Proposal is compatible with next financial programming 2007-2013 

Proposal will entail reprogramming of the relevant heading in the financial 

(cid:133) 
perspective. 

(cid:133) 
Proposal may require application of the provisions of the Interinstitutional 
Agreement80 (i.e. flexibility instrument or revision of the financial perspective). 

4.1.3.  Financial impact on Revenue 

(cid:133) 

Proposal has no financial implications on revenue 

x 

Proposal has financial impact – the effect on revenue is as follows: 

NB:  All  details  and  observations  relating  to  the  method  of  calculating  the 
effect on revenue should be shown in a separate annex. 

80 

See points 19 and 24 of the Interinstitutional agreement. 

EN 

197 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
Budget line 

Revenue 

EUR million (to one decimal place) 

Situation following action 

2007 2008 2009 2010  2011  2012 2013

Prior to
action 
[Year 
n-1] 

a) Revenue in absolute terms 

3.7 

3.7 

4.8 

6.2 

7 

8.8 

12.5 

b) Change in revenue 

 ∆ 

(Please  specify  each  revenue  budget  line  involved,  adding  the  appropriate 
number of rows to the table if there is an effect on more than one budget line.) 

The  Proposal  for  a  Decision  of  the  European  Parliament  and  the  Council 
establishing  the  “External  Borders  Fund”  constitutes  a  development  of  the 
Schengen acquis within the meaning of the Agreement concluded by the Council 
of the European Union and the Republic of Iceland and the Kingdom of Norway 
concerning  the  association  of  those  two  States  with  the  implementation, 
application and development of the Schengen acquis. 

This Decision also constitutes a development of the provisions of the Schengen 
acquis within the meaning of the Agreement signed by the European Union, the 
European  Community  and  the  Swiss  Confederation  on  the  latter's  association 
with the implementation, application and development of the Schengen acquis. 

Contribution : 2,19 % (2004 figures). 

4.2. 

Human Resources FTE (including officials, temporary and external staff) – 
see detail under point 8.2.1. 

Annual requirements 

2007 

2008 

2009 

2010 

2011 

2012 

2013 

Total 
number 
human resources 

of 

70,25 

82 

93 

104 

115 

124 

126 

EN 

198 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
5. 

CHARACTERISTICS AND OBJECTIVES 

5.1. 

Need to be met in the short or long term 

5.1.1.  European Refugee Fund :  

The existing financial instrument supporting the implementation of the common asylum 
policy is  the European Refugee Fund. Its objective is set by the Treaty establishing the 
European Community (Article 63.2.b): to promote a balance of efforts between Member 
States  in  receiving  and  bearing  the  consequences  of  receiving  refugees  and  displaced 
persons. 

More specifically, the aim of the ERF is to express solidarity at Community level and to 
alleviate the pressures felt by Member States most affected by reception of refugees and 
displaced persons in facing the consequences of this reception, which includes reception 
conditions during asylum procedure (and ensuring fair and efficient asylum procedure), 
integration of recognised refugees and promoting voluntary return solutions for rejected 
asylum seekers and refugees who wish to return to their country of origin. Furthermore, 
the European Refugee Fund is one of the instruments of a Common Asylum policy, and 
as such the measures supported by the Fund should seek to complement and support EU 
legislation  in  order  to  support  the  progressive  implementation  of  a  Common  Asylum 
System at all levels (common legislation and development of common best practices). 

The  ERF  is  an  important  part  of  an  overall  policy  for  building  a  common  European 
asylum  policy.  Reducing  divergence  between  asylum  systems  and  progressive 
implementation of common standards at EU level will have a cost, which will be greater 
for Member States with larger number of asylum seekers and refugees, but also to new 
Member States. The Community should contribute to correcting those imbalances and to 
supporting  Member  States  in  complying  with  their  obligations81.  Finally,  account  must 
also  be  taken  of  the  other  objectives  being  formulated  in  related  policies,  such  as  the 
integration of third country nationals and management of illegal immigration. 

5.1.2. 

Integration of Third-country nationals : 

The  common  basic  principles  adopted  by  Governments  at  the  JLS  Council  on  19 
November 2004 underline the need for a holistic approach to integration of migrants. It is 
stated that not only within Member States but also at the European level, steps are needed 
to ensure that the focus on integration is a mainstream consideration in policy formulation 
and implementation, while at the same time specific policies for integrating third-country 
nationals are being developed.  

81 

In drawing the impact assessment, and formulating the policy options available, account has been 
taken of previously established objectives underlying the European Refugee Fund and their likely 
achievement. Account also has to be taken of completion of other objectives (legislation) and the 
level of complementarity already achieved or soon to be achieved with these. 

EN 

199 

   EN 

 
                                                 
In  accordance  with  the  common  basic  principles,  the  specific  policies  for  integrating 
legally residing immigrants in Member States, envisage to:  

•  Provide  opportunity  for  immigrants  and  create  incentives  to  integrate  and  overcome 
language difficulties and/or problems relating to understanding the norms, values and 
traditions of the host society or satisfying job requirements; 

•  Be pro-active in the design and implementation of national introduction programmes 
and activities, the capacity building of migrant organisations and of their interlocutors 
at all level of government; 

•  Recognise  new  challenges  in  migratory  pressure  and  address  them  through  a 
successful integration strategy, either because the Member States concerned have only 
been welcoming immigrants over the last few years, such as the Member States in the 
south of the EU, or because they are at the eve of a period of more immigration, as is 
the case in some of the new Member States;  

•  Overcome shortcomings in infrastructure at local, regional and national levels to deal 
with  migratory  inflows,  and  promote  coherence  between  policy  design  and  its 
implementation on the ground;  

•  Combat intolerance and prejudice among the host population, and to raise awareness 
of  the  importance  of  diversity  in  society,  including  among  public  and  private  sector 
service providers; 

•  Promote  dialogue  and  consultation  between  political  decision  makers  and  local 
communities on the challenges faced by migrants, about their needs and circumstances 
and about ways of improving their position.  

To  achieve  such  policies,  in  particular  to  promote  the  integration  of  third  country 
nationals  having  recently  arrived  and  been  admitted  by  a  Member  State  to  reside  in  its 
territory, the following specific objectives should be pursued, turning into concrete action 
the common basic principles: 

(1) 

(2) 

(3) 

Facilitate the organization and implementation of admission programmes 
for  economic  migrants,  strengthening  their  integration  component  and 
anticipating the needs of third-country nationals. 

Contribute  to  the  organisation  and  implementation  of  introduction 
programmes and activities for third country nationals, by way of capacity 
building, policy development and implementation. 

Increase  civic,  cultural  and  political  participation  of  third  country 
nationals in the host society, in order to promote their active citizenship 
and recognition of fundamental values.  

EN 

200 

   EN 

 
(4) 

(5) 

(6) 

Strengthen  the  capacity  of  Member  States’  public  and  private  service 
providers to interact with third country nationals and their organizations 
and  to  answer  better  the  needs  of  different  groups  of  third  country 
nationals 

Strengthen the ability of the host society to adjust to increasing diversity 
by targeting integration actions at the host population. 

Strengthen  the  capacity  of  Member  States  to  monitor  and  evaluate 
integration policies. 

5.1.3.  European Return Fund 

The  policy  objective  in  this  area  is  to  support  and  encourage  Member  State  efforts  to 
improve  the  management  of  the  return  of  illegal  third  country  nationals  in  all  aspects, 
taking account of Community legislation in this area. 

In particular, the following specific objectives should be pursued:  

1. 

2. 

3. 

to  promote  the  introduction  of  integrated return management  procedures by  all 
Member  States  and  to  improve  the  operation  and  organisation  of  existing 
procedures; 

to  strengthen  co-operation  between  Member  States  in  the  conception  and 
implementation of integrated return management procedures and practices; 

to ensure the effective and uniform application of common standards on return. 

These aims will be pursued through actions such as: 

•  the  development  of  effective  and  lasting  operational  co-operation  between  Member 
State authorities and consular and immigration services in third countries, with a view 
to facilitating the receipt of travel documents for the return of third country nationals 
and ensuring speedy and successful removal procedures; 

•  developing  co-operation  between  Member  States  in  the  collection  and  dissemination 

of information on their country of origin to potential returnees; 

•  increasing the number of illegal migrants opting to return voluntarily by encouraging 
this through better targeted and more attractive assisted voluntary return programmes 
and other means; 

•  simplifying  enforced  return  procedures  and  improving  the  capacity  of  courts  to  deal 
with  cases, with  a  view  to  reducing  the  period of  detention  of  those  awaiting  forced 
removal without infringing their basic rights; 

EN 

201 

   EN 

 
•  formulating  joint  integrated  return  plans,  including  implementing  joint  voluntary 
return  programmes  in  respect  of  particular  countries  or  regions  and  arranging  joint 
flights,  thus  reinforcing  the  message  of  an  effective  management  of  migration  flows 
by the EU; 

•  implement  joint  return  operations,  thus  making  better  use  of  existing  national 
resources and expertise for the common good of the fight against illegal immigration 
throughout the EU 

•  encouraging  exchange  of  information,  support,  advice  and  best  practice  between 
Member  States  in  dealing  with  the  return  of  people  to  specific  countries  and/or  of 
particularly vulnerable groups; 

•  establishing  joint  arrangements  for  the  reception  of  those  returning  in  countries  of 

origin, former residence or transit in co-operation with the countries concerned; 

•  developing measures to ensure the effective reintegration of people in their country of 

origin or former residence after they return; 

•  improving the capacity of competent authorities to enforce removal decisions with full 
respect for the rights of the people concerned and for their dignity in accordance with 
relevant EU standards; 

•  ensuring the provision of specific assistance to vulnerable groups such as children, the 
elderly, people with disabilities, pregnant women and those who have been subjected 
to torture, rape or other serious forms of psychological, physical or sexual violence. 

5.1.4.  External Borders Fund  

Given  the  uneven  division  of  responsibility  between  Member  States  for  controlling  the 
external borders of the EU, the policy objectives to achieve are:  

1. 

2. 

3. 

4. 

to  improve  the  efficiency  of  controls  and  thereby  the  effectiveness  of  the 
management  and  protection  of  external  borders  in  order  to  reduce  illegal  entry 
and increase the security of the internal EU area of free movement; 

to  make  it  easier  and  faster  for  authorised  travellers  to  enter  the  EU  in 
conformity  with  the  Schengen  acquis  while  protecting  the  EU  against  illegal 
entry; 

to achieve a uniform application of the EU law by Member States and an overall 
efficiency  of  national  border  guards  in  carrying  out  their  tasks  in  accordance 
with EU law;  

to enhance the efficiency of the issuing of visas and the implementation of other 
pre-frontier checks.  

EN 

202 

   EN 

 
These general aims can be translated into a series of specific and operational objectives of 
which  the  key  ones,  in  terms  of  added  value  and  cost-effectiveness  for  the  European 
Union, would be the following:  

•  improving efficiency of control and surveillance measures through the use of state of 

the art technological means; 

•  establishing  the  necessary  infrastructures  to  improve  efficient  flow  management  at 

border crossing points;  

•  enhancing  the  capacity  of  the  human  resources  allocated  to  border  management,  for 
instance by implementing the common core curriculum to be set up by the Agency;  

•  improving the coordination and information exchange at national level for all relevant 

authorities involved in securing effective border control;  

•  reducing as much as possible illegal entries at external borders through operations in 

third countries, in cooperation with these countries;  

•  enhancing  the  coordination  and  cooperation  between  Member  States  as  regards  the 

implementation of the common visa policy. 

5.2. 

Value-added  of  Community  involvement  and  coherence  of  the  proposal 
with other financial instruments and possible synergy 

5.2.1.  European Refugee Fund 

The discussion on the policy options available to achieve solidarity in the field of asylum 
policy  was  inevitably  influenced  by  the  existing  financial  instrument,  the  European 
Refugee Fund. At the time of its renewal last year, different options have been considered 
The above assessment on the different model is valid to date. The current proposal will 
therefore merely extend the programming period of the ERF II until the end of the new 
financial perspectives, i.e. to change its end date from end 2010 to the end of 2013.  

Moreover,  to  take  into  account  the  establishment  of  the  Return  Fund,  the  need  for  an 
adjustment  of  the  strand  on  return  in  the  European  Refugee  Fund  was  considered 
necessary.  

Currently,  the  European  Refugee  Fund  supports  actions  for  the  voluntary  return  of 
persons who have applied for international protection or who are enjoying international 
protection  in  the  Member  States.  In  practice,  in  terms  of  returns,  this  covers  a  wide 
spectrum  of  situations,  from  those  who,  having  been  granted  refugee  status,  decide  to 
return  to  their  countries  of  origin  to  those  who  decide  to  return  because  they  have  had 
applications refused and have few prospects in the Member State and who, in the absence 
of  alternatives,  decide  to  avail  themselves  of  the  arrangements  made  to  facilitate 
voluntary return. 

EN 

203 

   EN 

 
The following options were examined:  

1. 

2. 

3. 

To leave the ERF as it is and limit the Return Fund to illegal immigrants; 

To  exclude  all  return  measures  relating  to  asylum  seekers,  refugees  and  other 
beneficiaries  of  protection  from  the  ERF  and  to  transfer  support  for  such 
measures to the Return Fund;  

To only transfer the support for measures relating to rejected asylum seekers to 
the Return Fund and maintain the support by the ERF for the voluntary return of 
asylum seekers and persons benefiting from international protection  

The third option was the chosen option 

5.2.2. 

Integration of Third-country nationals 

Following the adoption of the legislative framework establishing a common immigration 
policy and in view of the solidarity provision in the new Constitutional Treaty, setting-up 
a  financial  instrument  would  provide  support  and  incentives  for  the  Member  States  to 
develop  integration  policies  for  integration  of  third-country  nationals  admitted  in 
accordance  with  the  legislative  framework  laid  down  in  both  national  and  Community 
law.  

Here, different models for financial support were considered:  

1. 

2. 

3. 

joint  projects  and 
Integration  of 
Community actions (e.g. the ARGO framework model or the INTI programme):  

third-country  nationals 

is  funded  via 

Integration  of  third-country  nationals  is  solely  funded  within  a  mainstreaming 
instrument, such as the European Social Fund (ESF) 

Integration  of  third-country  nationals  is  funded  within  a  separate  instrument 
expressing solidarity between Member States on the basis of the number of third 
country nationals legally present in the Member States.  

The  ex  ante  evaluation  demonstrated  the  need  to  opt  for  a  separate  instrument  on 
integration  for  third  country  nationals  in  complementarity  with  the  ESF  mainstreaming 
approach. To respond to the specific challenges in the area of integration of third-country 
nationals, the instrument would intervene in six specific areas:  

•  Improving  the  implementation  of  admission  programmes.  Facilitating  a  rapid  and 
smooth integration of those migrants who have been explicitly invited to contribute to 
Member States’ societies. In many Member States it is recognised that these persons in 
particular  provide  a  valuable  contribution  to  economic  growth.  Their  arrival  is 
commonly  seen  as  important  to  counteract  the  prospective  decline  in  the  EU’s  work 
force in future years. Action should be taken to prepare their integration even before 
they arrive in the territory of the Member States.  

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•  The implementation of introduction programmes and introductory activities. The early 
stages  of  a  third  country  national’s  residence  in  the  Member  State  are  of  particular 
importance.  Introduction  programmes  and  activities  express  the  investment  host 
societies are willing to make in the future, by: providing opportunity for migrants to 
learn  the  language  of  the  host  country  to  learn  about  ways  of  doing  things,  so 
increasing  their  chances  of  being  self-sufficient  as  soon  as  possible  finding 
employment; increasing the incentive and motivation for migrants to integrate; making 
it easier for young migrants, in particular, to integrate and so prevent identity problems 
and  reduce  delinquency:  facilitating  the  development  of  targeted  and  flexible 
integration policies and activities, taking account of the special needs of third-country 
nationals  and  encouraging  the  development  of  new  and  innovative  approaches  to 
integration.  

•  Promoting  active  citizenship 

through  civic,  cultural,  religious  and  political 
participation. These activities can contribute by increasing the knowledge of migrants 
of  the  history,  traditions,  norms,  values  and  local  customs  of  the  host  society, 
facilitating  the  dialogue  between  different  religious  communities;  encouraging 
migrants to take responsibility and an active part in local community life, increasing 
their  understanding  of  political  processes  and  encouraging  them  to  participate  in 
decision  making  processes  and  increasing  their  possibilities  of  applying  for 
citizenship.  In  short,  active  citizenship  can  highlight  skills  and  open  up  avenues  to 
third country nationals to realise their full potential in host societies.  

•  Supporting capacity building in public and private sector service providers in Member 
States. Much interaction between third country nationals and other citizens takes place 
in  such  mainstream  organisations  as  schools,  hospitals,  communal  housing  societies 
etc.  Opening  up  these  providers  through  diversity  management  will  reinforce  the 
motivation and willingness of third country nationals to participate in society. This can 
be achieved by: making service providers more aware of diversity issues and helping 
them to develop inter-cultural communication skills; increasing co-operation between 
local, regional and national authorities responsible for integration and helping to bring 
about better coordination between the design of policy and its operation on the ground; 
raising awareness of the benefits of putting in place an effective policy for managing 
diversity;  increasing  co-operation  between  local,  regional  and  national  authorities 
responsible for integration and helping to bring about better coordination between the 
design of policy and its operation on the ground; raising awareness of the benefits of 
putting in place an effective policy for managing diversity.  

•  Helping society to adjust to diversity by making the host population more aware of the 
true  facts  about  migration  and  about  the  people  concerned,  increasing  tolerance 
towards  other  cultures  and  religions  and  so  helping  to  strengthen  social  cohesion, 
increasing  dialogue  and  interaction  between  migrants  and  the  host  population  and 
actively involving private bodies (including SME) in the integration process. 

•  Policy  development,  monitoring  and  evaluation  of  policies  and  strategies  by: 
stimulating  the  collection  of  relevant  data  on  migration  in  the  Member  States  so 

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providing  the  basis  for  informed  discussion  and  decision-making;  ensuring  that  the 
effectiveness  of  integration  efforts  are  assessed  on  an  ongoing  basis  and  that 
programmes  are  responsive  to  immigrants  needs;  enabling  policy-makers  across  the 
EU to learn from past experience not only of policies pursued in their own countries 
but also of those pursued elsewhere, so helping to improve the policies implemented in 
the future across Member States. 

The  Integration  Fund  will  build  on  past  experience,  namely  the  pilot  projects  on 
integration of third country nationals (INTI) started in 2002 with a budget of € 4 million. 
Nearly 300 applications were received in the first two years, applying for more than € 85 
million whereas the total budget available was only €10 million.  

The pilot projects complement the policy outlined in the Communication on Immigration, 
integration and employment adopted in June 2003 in which the Commission presented its 
views  on  how  to  elaborate  comprehensive  and  multi-dimensional  policies  on  the 
integration of legally residing third-country nationals. According to the Communication 
integration policy should be based on two fundamental underlying principles: First of all 
that  the  principle  of  subsidiarity  prevails  clearly  demonstrating  that  the  primary 
responsibility for the elaboration and implementation of integration policies lies with the 
Member  States,  and  secondly,  the  holistic  approach  which  will  ensure  integration  of 
immigrants  into  all  aspects  of  society  and  which  requires  that  a  two-way  approach  - 
implying that the responsibility for integration lies both with the receiving society as well 
as with the arriving immigrant - is applied. The pilot projects supports networks and the 
transferral of information and good practices between Member States, regional and local 
authorities  and  other  stakeholders  in  order  to  facilitate  open  dialogue  and  identify 
priorities  for  national  integration  policies  and  the  actions  also  support  new  innovative 
projects which promote integration of third-country nationals. 

To continue the encouragement of a more structured policy development in the field of 
integration  as  initiated  by  INTI,  the  financial  instrument  should  be  complemented  by 
actions facilitating co-operation between Member States and exchange of best practices 
(Community actions). 

The Integration Fund will work in complementarity with the ESF and the ERF. 

5.2.3.  European Return Fund 

A distinct fund established with the particular objective of supporting an integrated return 
management  policy  seems  best  equipped  to  achieve  the  objectives  set  out  above.  By 
creating a separate instrument which is targeted at return, the specific problems identified 
with respect to persuading or coercing illegal migrants to leave the country in which they 
are residing can be addressed.  

The  Return  Fund  will  need  to  work  in  complementarity  with  the  other  financial 
instruments mentioned in the extended impact assessment – the ERF, AENEAS– each of 
which  addresses  specific  aspects  of  the  return  to  their  country  of  origin  or  former 
residence.  

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The  European  Return  Fund  will  seek  to  promote  the  development  of  integrated  set  of 
return  measures  aiming  at  putting  in  place  in  Member  States  an  effective  programme. 
This should cover all phases of the return process, from the pre-departure phase and the 
return  as  such  to  the  reception  and  reintegration  in  the  country  of  return  and  should  be 
tailored to take account of the specific situation in different countries. At the basis of such 
a programme should be an analysis of the situation in the Member State(s) with respect to 
the  targeted  population,  a  realistic  assessment  of  the  potential  for  return  and  the 
cooperation  with  the  countries  of  return,  a  planning  and  evaluation  mechanism  with 
respect  to  the  return  process  of  the  targeted  population  and  cooperation  throughout  the 
process with relevant stakeholders at national, European and international level, such as 
UNHCR and IOM. 

Priority  should  be  given  to  cooperation  between  Member  States  to  secure  such  an 
approach, given the cost-effectiveness and the synergies involved.  

Accordingly,  the  measures  to  be  supported,  when  they  form  part  of  such  an  integrated 
return approach, would include:  

•  In  all  cases:  the  procurement  of  indispensable  travel  documents,  costs  of  necessary 
pre-return medical checks, costs of travel and food for returnees and escorts, including 
medical  staff,  accommodation  for  escorts,  specific  assistance  to  vulnerable  groups 
such  as  children  or  invalids,  costs  of  transportation  to  the  final  destination  in  the 
country of return and co-operation with the authorities of the country of origin, former 
residence or transit. 

•  Additionally  in  the  case  of  forced  return  the  costs  of  temporary  accommodation  for 

returnees and their escorts prior to departure in case of joint return operations. 

•  Additionally  in  the  case  of  voluntary  return:  comprehensive  pre-return  information, 
assistance  and  counselling  as  well  as  essential  expenses  before  return  and  initial 
expenses  after  return,  transport  of  the  returnee’s  personal  belongings,  adequate 
temporary accommodation for the first days after arrival in the country of return in a 
reception  centre  or  a  hotel  if  necessary,  training  and  employment  assistance  and 
limited start-up support for economic activities where appropriate. 

•  As regards the application of the common standards: education and training of staff in 
the  competent  administrative,  law  enforcement  and  judicial  bodies  as  well  as 
secondments of these categories of staff from other Member States;  

•  As regards the cooperation between Member States: actions relating to the cooperation 
with consular authorities and immigration services of third countries, to facilitate the 
assistance  in  obtaining  travel  documents;  actions  relating  to  the  joint  design  and 
implementation  of  action  plans  realising  an  integrated  return  management,  joint 
evaluation and monitoring of the process etc. 

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5.2.4.  External Borders Fund 

The most relevant policy option is the establishment of a financial solidarity mechanism 
at  Community  level  to  support  Member  States  who  bear  a  lasting  and  heavy  financial 
burden by being responsible for controlling external borders for the benefit of the Union 
as a whole. This Fund should be designed to be a concrete expression of EU solidarity by 
providing  financial  assistance  to  those  Member  States  which  apply  the  Schengen 
provisions on external borders, in addition to those on internal borders (the dismantling of 
controls on entry). It would accordingly represent an explicit recognition of the tasks they 
perform in carrying out checks on people entering the EU from third countries and border 
surveillance not only in their own interests but on behalf of all Member States which have 
dismantled internal border controls. 

Support  from  the  Fund  should  be  extended  from  the  outset  to  new  Member  States,  as 
their external borders are operational since their accession even if they have undertaken 
to remove border controls at a later stage when they are judged ready to do so. It should 
also  extend  to  the  need  for  Member  States  to  implement  Community  legislation  in 
relation  to  specific  situations  which  have  arisen  as  a  result  of  enlargement  (the  most 
notable example is of Russians who need to cross Lithuania to reach Kaliningrad). The 
Fund should, in addition, provide support for managing visas and other similar activities 
undertaken before people reach the border, whether these are carried out in cooperation 
with  other  Member  States  or  not.  The  efficient  management  of  such  activities  by  the 
consular  services  of  Member  States  in  third  countries  is  an  integral  part  of  a  common 
integrated border management system, which is aimed at facilitating legitimate travel into 
the EU while preventing illegal entry.  

Objective  criteria  need  to  be  established  to  allocate  funds  to  Member  States.  These 
criteria should take account of the various elements which add to the burden of control on 
the  Member  States,  in  particular,  the  length  of  external  land  and  maritime  borders,  the 
number  of  authorised  border  crossing  points,  the  number  of  travellers  crossing  and  the 
extent of pressure caused by people refused entry. The criteria should also take account of 
the challenges posed by the risk of illegal entry affecting each border, taking into account 
the  geopolitical  situation,  typology  and  geography.  The  assessments  made  by  the 
Common  Centre  in  Finland  and  in  the  future  by  the  European  Agency  for  the 
management  of  operational  cooperation  at  external  borders  will  be  very  helpful  in  this 
regard. 

From a subsidiarity point of view, such a Fund would support Member States in carrying 
out the various tasks involved in external border control while not interfering with their 
responsibilities in respect of determining who they allow to enter their territory. 

Actions to be funded could include border crossing infrastructures and related buildings 
(e.g.  border  stations,  helicopter  landing  places  or  lanes,  etc.);  operating  equipment 
(laboratory  equipment,  document  examination  instruments,  detection  tools,  mobile  or 
fixed terminals for consulting SIS and national systems, etc.); means of transport for the 
surveillance  of  external  borders;  equipment  for  real  time  exchange  of  information 

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between relevant authorities; ICT systems; exchange programmes and training of border 
guards, immigration officers and consular officers; etc. 

5.3. 

Objectives,  expected  results  and  related  indicators  of  the  proposal  in  the 
context of the ABM framework 

5.3.1. 

 European Refugee Fund : 

The  main  impacts  of  the  ERF  have  been  analysed  according  to  its  target  groups  as 
follows: 

•  for  final  beneficiaries  (asylum  seekers  and  refugees):  improvements  in  reception 
conditions (quality / quantity of material reception conditions such as health, housing, 
education, social benefits, access to the labour market), and fairer and more effective 
asylum procedures; easier integration by a decrease in dependence on social welfare, 
improved  access  to  the  labour  market,  and  thus  increased  participation  in  social  life 
through civil society organisations and other relevant channels; 

•  for Member States, the ERF contributes to the economic responsibility undertaken by 
the  Member  State  in  relation  to  the  reception  of  asylum  seekers  and  refugees  and 
implementation  of  a  common  asylum  policy;  it  also  supports  changes  in  processes  / 
policies  by  development  of  higher  standards,  fairer  and  more  effective  asylum 
procedures,  reduction  of  the  length  of  asylum  procedures,  capacity-building, 
improvement of qualification of staff, exchanges of experiences and best practices at 
EU level. 

•  for  partners  of  asylum  policy  (NGO,  Refugee  Community  Organisations,  local  and 
regional  authorities): capacity  building and development of new  services and greater 
involvement  of  self-help  organisations;  improvement  of  qualification  of  staff, 
increased  cooperation  of  services  /  structures  in  developing  capacity  in  the  area  of 
reception. 

•  for  EU  citizens  in  general:  awareness  raising  on  the  issue  of  refugees  and  asylum 

seekers and better acceptance of reception centres by local communities. 

The potential impacts of the ERF II were screened and assessed for all measures, and it 
can  be  said  that  positive  impacts  outweigh  negative  impacts,  in  particularly  as  regards 
social  impacts.  A  redistributive  analysis  has  shown  that  the  target  group  who  benefits 
most  directly  is  that  of  asylum  seekers  and  refugees.  Most  importantly,  significant 
important systemic effects have been identified with regard to the Member States and the 
organisations  working  in  this  area  (NGOs  and  Refugee  Community  organisations).  It 
must be noted that the situation varies from country to country, most notably in terms of 
the degree of consolidation of the asylum systems and the experience with the different 
strands of the programme. 

When the types of impact were considered, the most significant were in the social sphere 
- economic impacts were more indirect and more difficult to identify given the scale of 

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the Fund. Direct implementation costs have not been quantified and are being addressed 
in the framework of the monitoring system of the Fund. Indirect and associated costs are 
more difficult to assess. Environmental impacts have been found to be quite weak, and it 
has not been possible to differentiate these impacts by target group. 

Identified impacts on countries of origin presented a somewhat ambiguous picture – if it 
was  clear  that  a  better  management  of  asylum  flows  can  have  positive  impacts  in  the 
development of these countries, associated risks have been identified. These included, for 
example,  risks  of  asylum  seekers  and  refugees  losing  contact  with  their  countries  of 
origin, and also risks of qualified people leaving these countries (brain drain). 

To  conclude,  it  can  be  said  that,  overall,  expected  impacts  were  coherent  with  the 
formulation of the main objectives of the Fund. Indeed, the overall impacts reflected the 
main policy goal of the ERF, i.e. the contribution to the implementation of the common 
asylum standards and guidelines agreed at EU level and convergence of practices across 
Member  States  to  support  an  open  and  secure  European  Union,  fully  committed  to  the 
obligations of the Geneva Convention and other relevant human rights instruments, and 
able to respond to humanitarian needs on the basis of solidarity. 

5.3.2. 

 Integration of Third-country nationals 

The impacts of the Integration Fund have been identified at two levels: firstly, the general 
impacts of a greater integration of third country nationals were considered; then, against 
this background, the specific impacts of the Fund were discussed, taking into account the 
magnitude of identified needs, and the proposed scale of EU intervention. These specific 
impacts will in essence represent the added-value of EU intervention in this field. 

As regards general impacts, better integration of migrants is likely to have many positive 
economic and social effects both on migrants themselves and on the host community. At 
EU  level,  the  improved  integration  of  third-country  nationals  will  have  a  positive 
economic  impact  by  increasing  labour  supply  and  thus  overcoming  shortages  in  a 
number of sectors. More migrants in employment will increase both tax revenue and the 
income  from  social  contributions  and  so  help  to  fund  social  protection  systems  which 
need  to  cater  for  a  growing  number  of  elderly  people  and  increased  numbers  in 
retirement. Improved integration has obvious positive economic effects on third-country 
nationals themselves by giving them a better chance of integrating into the labour market 
and not only of finding a job but one which is more secure and stable with better terms 
and working conditions.  

It must be noted however that further integration and the increased participation of third 
country  nationals  in  economic  activity  may  have  some  costs  as  well  as  benefits.  While 
firms, consumers and domestic workers with complementary skills may gain, associated 
costs  may  include,  inter  alia,  increased  expenditure  for  welfare  and  social  protection 
systems;  a  possible  adverse  effect  on  domestic  workers  with  similar  skills;  the 
administrative  costs  of  implementing  an  effective  immigration  policy;  and  increased 
expenditure on active labour market policies such as training and job placement services. 

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The  potential  social  effects  of  integration  of  immigrants  are  substantial.  Lack  of  social 
integration of  migrants has often been associated with their social exclusion, which has 
given rise to increased hostility towards them and to ethnic minorities in general (leading 
to  the  rise  of  racism  and  xenophobia).  Further  integration  of  immigrant  populations 
should  lead  to  a  more  cohesive  and  inclusive  society  overall,  where  differences  are 
respected  and  the  merits  of  diversity  appreciated.  A  strengthened  dialogue  between 
different groups will increase general  understanding of different cultures, traditions and 
religions. 

For migrants themselves, greater integration in society and better access to education as 
well  as  the  labour  market  will  improve  their  well  being  and  increase  their  self-esteem. 
Having  a  job  and  being  able  to  provide  for  themselves  and  their  families  should  give 
them  an  increased  feeling  of  belonging  to  society  and  encourage  them  to  engage  in 
community life and social, cultural and political activities in general. The integration of 
women  will  also  indirectly  benefit  future  generations,  by  increasing  their  chances  of 
integrating into society themselves, of gaining a better understanding of he language and 
of performing better at school. 

Although  it  is  difficult  to  point  to  direct  beneficial  effects  on  the  environment,  there 
ought  to  be  generally  positive  effects  on  the  educational  level  of  EU  society,  which 
should make it a better place in which to live, and increased awareness of environmental 
issues and a wider tendency to take action to protect and improve the natural and physical 
environment.  More  active  participation  in  social  and  political  life  at  local  level  is, 
therefore, likely to be accompanied by increased involvement in activities to preserve the 
local environment and the common heritage. 

Against  this  background,  the  specific  impacts  of  the  Integration  Fund  have  been 
identified as ensuring a strong link with policy developments at EU level, thus supporting 
the implementation of a common immigration policy. In particular, the following impacts 
should be expected: 

•  Create a  level  playing  field  in  terms  of  integrating  third-country  nationals  across the 
Member  States.  This  requires  a  catch-up  process  in  those  countries  of  recent 
immigration, where integration policies are only developing. 

•  In  these  countries,  the  Fund  will  also  act  as  a  catalyst,  increasing  government 
expenditure  on  integration  of  third-country  nationals,  and  thus  contributing  to  the 
consolidation of a true integration system. 

•  Strengthening  of  integration  systems  will  also  take  place  through  investments  in 
human  resources  and  upgrading  of  skills,  as  well  as  improved  coordination  and 
dialogue  between  all  relevant  stakeholders  (national  and  regional  authorities,  civil 
society, etc.). 

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•  For  those  Member  States  with  a  history  of  immigration  and  integration  of  third-
country nationals, the Fund will contribute towards a fine-tuning of existing policies, 
focussing on identified shortcomings, and thus increasing their overall effectiveness. 

5.3.3.  European Return Fund 

General impacts of a more effective return policy 

An  effective  implementation  of  the  return  policy  for  illegal  migrants  living  in  Member 
States would have beneficial effects on social cohesion in particular and for the general 
objective  of  creating  an  area  of  freedom,  security  and  justice  for  EU  citizens.  It  could 
also, however, have positive economic effects especially in the long-term. 

An effective implementation would, therefore: 

•  reinforce  a  managed  immigration  policy  by  complementing  the  control  of  the  EU’s 
external borders and ensuring that those who  succeed in entering the Union illegally 
are returned with minimum delay to the countries they came from; 

•  help  to  increase  the  acceptance  of  third-country  nationals  in  Member  States  and, 
therefore,  of  diversity,  with  potential  benefits  to  the  competitiveness  of  the  EU 
economy as well as to social cohesion; 

•  contribute thereby to increasing employment rates among third-country nationals and, 
therefore, their contribution to economic activity and the generation of real income; 

•  facilitate the acceptance of the immigration of workers with the skills required by EU 
economies  faced  with  a  prospective  natural  decline  in  working-age  population  and, 
therefore, in the labour force; 

•  reduce the costs on national budgets associated with the detention of illegal migrants; 

•  give  illegal  migrants  more  opportunity  to  return  and  settle  in  their  country  of  origin 
instead of having to live on the margins of society and very often to work in arduous 
jobs with poor terms and conditions. 

Specific impact of the Return Fund 

Action at EU level will have a number of positive effects, including: 

•  ensuring the common implementation of effective procedures for the return of illegal 

migrants, which also protect their basic rights and human dignity; 

•  promoting  the  adoption  of  best  practices  in  this  regard  as  well  as  with  regard  to  the 
measures taken to provide incentives to the people concerned to return to their country 
of origin voluntarily; 

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•  encouraging a more intensive exchange of information between Member States on the 
national initiatives developed, the  challenges relating to returns and the management 
of complex return processes, as well as the relations with third countries in this regard; 

•  enhancing cost-effectiveness of return measures through joint operations. 

5.3.4.  External Borders Fund 

The main impacts of the Externals Borders Fund would be as follows: 

•  Positive impact on administrative systems and infrastructures of Member States, who 
will  get  more  resources  and  be  able  to  improve  coordination  and  exchanges.  On  the 
other  hand,  MS  will  have  to  co  finance  the  projects;  therefore  it  could  lead  to  an 
increase in MS expenditure. 

•  Impacts  for  public  health,  public  order  and  security  would  be  direct  and  positive, 
thanks to the improvement of controls, which will make easier to prevent the entry of 
persons  posing  a  risk  from  these  points  of  view.  Impact  on  civil  society  would  be 
indirect but positive (better protection against illegal immigration and public security 
threats) 

•  Impacts  on  the  environment  would  be  indirect  but  possibly  negative  (more  control 
boats  and  aircrafts,  more  physical  barriers  in  border  zones,  etc.),  although  some 
positive  impacts  can  not  be  excluded  (e.g.  purchase  of  less  polluting  surveillance 
boats, usage of more efficient technologies) 

•  From  the  human  rights  point  of  view,  increasing  MS  border  control  capabilities  (in 
particular  through  surveillance  measures)  could  mean  that  more  people  would  be 
intercepted,  refused  entry  and/or  removed  to  their  countries  of  origin,  where  they 
probably face a situation of poverty and lack of freedoms. Increasing controls would 
make them more dissuasive and perhaps discourage some of these people from trying 
to immigrate illegally, avoiding them from putting their lives at risk. 

•  The risks of fraud could be linked to cases of mismanagement, illicit appropriation or 
corruption, although they not seem to be big as the funds will be managed by MS law 
enforcement  agencies.  There  is  also  a  risk  of  giving  funding  to  Member  States  that 
don’t  really  need  it  (e.g.  because  of  being  economically  strong)  or  whose  burden  is 
lower, especially if objective criteria are not appropriately qualified by risk criteria 

•  The  smoothening  of  flows  of  bona  fide  travellers  would  have  positive  economic 

impacts for business and tourism. 

The  financial  support  under  the  Fund  will  be  developed  in  complementarity  with  the 
work of the European Agency for the management of operational cooperation at external 
borders.  

EN 

213 

   EN 

 
The Agency has constituted an important step for promoting solidarity between member 
States  in  the  field  of  external  border  management.  The  Agency  has  at  its  objective  to 
facilitate  and  render  more  effective  the  application  of  the  Community  acquis  related  to 
the external borders, through coordination but also by providing the necessary technical 
support  and  expertise.  The  Fund  will  be  complementary  to  these  efforts.  The  Fund  can 
provide the necessary financial means for the implementation of joint operations and pilot 
projects, whenever the Agency will not undertake to do it by itself under Article 3(4) of 
the Regulation. The Fund will also contribute to the adoption of the necessary measures 
derived from the risk analysis prepared by the Agency, and to the implementation of the 
common core curriculum to be established by it. 

5.4.  Method of Implementation (indicative) 

Show below the method(s) chosen for the implementation of the action. 

X 

X 

ٱ 

ٱ 

Centralised Management 

Directly by the Commission 

Indirectly by delegation to: 

Executive Agencies 

Bodies  set  up  by  the  Communities  as  referred  to  in  art.  185  of  the  Financial 

ٱ 
Regulation 

ٱ 

National public-sector bodies/bodies with public-service mission 

XShared or decentralised management 

X 

X 

With Member states 

With Third countries 

ٱJoint management with international organisations (please specify) 

Relevant comments: 

flows’  will  be 

The  funds  within  the  action  programme  ‘Solidarity  and  the  management  of 
migration 
framework  of 
shared/decentralised  management  between  the  Member  States  and  the 
Commission,  in  accordance  with  Article  53,  paragraph  1,  point  b)  of  Council 
Regulation  (EC,  Euratom)  No  1605/200282.  The  Community  actions  and  the 
technical  assistance  of  the  Commission,  as  referred  to  within  the  instruments, 

implemented  within 

the 

82 

OJ L 248, 16.9.2002, p.1. 

EN 

214 

   EN 

 
                                                 
will  be  implemented  by  the  Commission  within  the  framework  of  direct 
management. 

As  for  the  countries  associated  with  the  implementation,  application  and 
development  of  the  Schengen  Acquis,  an  agreement  between  the  Commission 
and these countries needs to be concluded relating to the obligations concerning 
budgetary and financial control.  

One of the key objectives of the programmes is to clearly define the division of 
responsibility  between  the  Member  States  and  the  implementing  bodies  on  the 
one hand, and the Commission on the other in the execution of the Community 
budget. All essential elements are defined within the different Funds.  

Under  Article  274  of  the  Treaty,  in  the  context  of  shared  management,  the 
conditions  allowing  the  Commission  to  exercise  its  responsibilities  for 
implementation  of  the  general  budget  of  the  European  Communities  and  the 
obligations  of  cooperation  on  the  Member  States  have  to  be  clarified.  These 
conditions  will  enable  the  Commission  to  satisfy  itself  that  Member  States  are 
utilising  the  Fund  in  a  lawful  and  correct  manner  and  in  accordance  with  the 
principle  of  sound  financial  management  within  the  meaning  of  the  Financial 
Regulation. 

The  need  for  coherency  and  transparency  are  the  driving  forces  in  the 
management  modalities  of  the  respective  Funds.  Coherency,  as  the  draft 
instruments  lay  down  the  minimal  conditions  applicable  to  the  management, 
internal  control  and  audit  systems  as  well  as  the  involvement  of  each  actor. 
Transparency,  as  the  results  and  outcome  of  each  part  of  the  instrument  are 
known to the different actors. The compliance of these systems will contribute to 
the full respect of the principle of sound financial management.  

To  this  end,  the  Member  States  shall  provide  an  assurance in  relation  with  the 
management and control systems, according to the rules laid down in the draft 
instruments.  This  assurance,  completed  with its own  system  audits  and on-the-
spot  controls,  will  facilitate  the  Commission’s  assessment  on  the  legality  and 
regularity of declared expenditure. 

The  different  instruments  are  developed  with  common  delivery,  management 
and  implementation  mechanisms.  This  will  enable  the  Commission  and  the 
Member  States  to  set  up  common  management  and  control  environments, 
thus increasing efficiency through the creation of potential synergies. 

The following elements are found within the draft instruments:  

•  Multi-annual and annual Programming:  

The  Funds  will  be  implemented  in  the  framework  of  two  multiannual 
programming  periods(respectively  2007-2010  and  2011-2013).  These 

EN 

215 

   EN 

 
programming periods will allow the Commission to take into account the effects 
of the midterm review of the financial perspectives, which is planned in 2010. 

The multiannual programming includes the definition of strategic guidelines by 
the  Commission  and  multiannual  programmes  by  the  Member  States.  These 
mainly relate to a description of the management and control systems set up, the 
definition of priorities (and corresponding indicators, results and impacts) and a 
draft financing plan. This multiannual programme will be assessed and adopted 
by the Commission.  

The  necessary  provisions  for  the  revision  of  these  programmes  are  laid  down 
within the draft instruments. 

The  multiannual  programmes  will  be  implemented  by  means  of  annual  work 
programmes,  provided  by  the  Member  States  and  adopted  by  the  Commission. 
The annual work programmes relate to the rules for selection of projects and an 
indicative  financial  breakdown  per  objective.  The  Commission’s  decision  shall 
indicate  the  amount  allocated  to  each  Member  States  in  full  respect  of  the 
appropriations allocated under the budgetary procedure.  

•  Management and Control Systems  

a)  Designation of authorities 

The following authorities are to be designed by the Member State:  

•  A Responsible Authority, responsible for the management of the Fund and 

which will handle all the Communication with the Commission; 

•  A Certifying authority,  responsible for the certification of  expenditure and 
application for payment requests prior to transmission to the Commission; 

•  An  Audit  Authority,  responsible  for  the  verification  of  the  compliance, 
adequacy  and  the  sound  operation  of  the  management  and  control 
environment.  

•  With  respect  of  the  clear  separation  of  functions,  several  functions  may  be 

carried out by the same body. 

b)  Definition  of 

the  responsibilities  of 

the  Member  States  and 

the 

Commission 

Member States will be responsible for ensuring sound financial management of 
the  programmes  and  the  legality  and  regularity  of  the  underlying  transactions, 
give guidance to the designated authorities, and be responsible for the proper and 
effective  use  of  Community  funds.  In  accordance  with  the  principles  of 

EN 

216 

   EN 

 
subsidiarity and proportionality, Member States have the primary responsibility 
for the implementation and control of the actions covered by the Fund. 

The  Commission’s  responsibilities  are  to  satisfy  that  the  systems  set  up  are 
compliant with the provisions laid down, especially through the assessment of a 
unqualified opinion submitted by a “compliance assessment body”. In the event 
of  a  qualified  opinion  the  Member  State  shall  draw  up,  in  agreement  with  the 
Commission, an action plan setting out the corrective measures and the timetable 
for implementation. The Commission is also responsible to satisfy that systems 
function effectively, on basis of annual control reports and on-the-spot audits. 

c) 

Financial Management 

Annual commitments shall be made on the basis of the Commission’s decision 
related the annual programmes.  

The following payment scheme is foreseen:  

•  A prefinancing of 50%;  

•  A  balance  payment,  preconditioned  by  a  request  for  payment,  a  certified 
declaration of expenditure, an implementation report and an audit report. 

The necessary provisions for suspension and interruption of payments, as well as 
the  cancellation  of  commitments,  have  been  formalised  within  the  draft 
instruments. In all procedures the Commission will decide after a contradictory 
procedure,  where  the  Member  State  may  present  its  observations  or  take 
corrective measures.  

The  draft  instrument  also  provides  with  the  necessary  provisions,  related  to 
financial  corrections  to  be  established  by  the  Commission  and  the  Member 
States.  

6. 

MONITORING AND EVALUATION 

6.1.  Monitoring system 

Under  the  management  system  proposed,  minimum  standard  formats  will  be 
established in all Member States for the presentation of projects, monitoring and 
evaluation.  In  this  context  common  indicators  will  be  defined  for  the  various 
types  of  action,  for  which  data  will  have  to  be  gathered  when  action 
implementation reports are presented. During the course of 2005, a preparatory 
study  will  be  launched  to  inform  the  Commission  on  adequate  minimum 
standards and common standards. 

EN 

217 

   EN 

 
By the same token, a common management system (supported by a common IT 
application) will be developed in the financial field, in liaison with the Member 
States, to ensure that implementation of the programmes and the actions funded 
are monitored on a common basis.  

6.2. 

Evaluation 

Several  national  and  Community  evaluations  are  planned,  based  around  the 
multiannual  programming  schedule  of  the  Funds.  The  timetable  of  evaluations 
for the External Borders Fund, the Integration Fund and the Return Fund as set 
out in the respective proposals is in principle as follows: 

•  no later than 30 June 2009 in the case of the External Borders and Integration 
Funds,  and  30  June  2010  in  the  case  of  the  Return  Fund,  a  report  from  the 
Commission  to  the  European  Parliament,  the  Council,  the  Economic  and 
Social Committee and the Committee of the Regions on the application of the 
criteria used for the annual distribution of resources; together with proposals 
for amendments if deemed necessary; 

•  no later than 31 December 2010 an intermediate report from the Commission 
to the European Parliament, the Council, the Economic and Social Committee 
and  the  Committee  of  the  Regions  on  the  results  achieved  and  on 
implementation and with a proposal on the Fund future development; 

•  no  later  than  30  June  2012  (concerning  2007-2010/2008-2010)  and  30  June 
2015 (concerning 2011-2013) an evaluation report from the Member State on 
the results and impacts; 

•  no  later  than  31  December  2012  (concerning  2007-2010  and  31  December 
2015  (concerning  2011-2013)  an  ex  post  evaluation  report  from  the 
Commission  to  the  European  Parliament,  the  Council,  the  Economic  and 
Social Committee and the Committee of the Regions. 

The  evaluations  for  the  European  Refugee  Fund  follow  a  slightly  different 
pattern in light of previous evaluations made. 

7. 

ANTI-FRAUD MEASURES  

taken  under 

Action 
the  Commission’s  direct,  centralised  management 
(Community  action,  technical  assistance  expenditure)  will  be  implemented  in 
accordance with the applicable rules, as defined in the Financial Regulation and 
its  implementing  rules.  The  contracts  and  grant  agreements  used  will  be  the 
models recommended by the Commission and will provide for monitoring by the 
Commission and the Court of Auditors of the European Communities.  

EN 

218 

   EN 

 
The  general  rules  on  the  administrative  and  financial  management  of  action  in 
the  Member  States,  will  comprise  specific  provisions  on  the  management  and 
control  of  projects  by  the  authorities  responsible  and  provisions  on  ex  post 
checks  by  the  Commission  and  the  Court  of  Auditors  of  the  European 
Communities. 

EN 

219 

   EN 

 
8. 

DETAILS OF RESOURCES 

8.1. 

Objectives of the proposal in terms of their financial cost (Commitment appropriations in M€) 

a. European Refugee Fund  

(Headings of Objectives, 
actions and outputs 
should be provided) 

Type of 
output 

Av. 
cost 

European Refugee Fund 

Community Actions 

2007 

2008 

2009 

2010 

2011 

2012 

2013 

Total 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total cost 

Community Actions 

Transnational 
cooperation 
projects 

0,250 

18 

4,500 

42 

10,500 

42 

10,500 

45 

11,300 

59 

14,700 

60 

15,000 

61 

15,300 

327 

81,800 

Sub-total Action 1 

4,500 

10,500 

10,500 

11,300 

14,700 

15,000 

15,300 

327 

81,800 

Actions in the Member States 

Responsible Authorities 

Co-financing  

2,800 

6,500 

6,500 

6,900 

9,300 

9,500 

9,700 

51,200 

Reception and asylum 
procedures 

Integration 

Voluntary return 

Sub-total Objective 1 

Emergency measures 

EN 

Projects 

0,085 

372 

31,600 

868 

73,800 

868 

73,800 

931 

79,100 

1.242 

105,600 

1.268 

107,800 

1.295 

110,100 

6.845 

581,800 

Projects 

Projects 

0,065 

243 

15,800 

568 

36,900 

568 

36,900 

608 

39,500 

812 

52,800 

829 

53,900 

848 

55,100 

4.475 

290,900 

0,175 

30 

5,300 

70 

12,300 

70 

12,300 

75 

13,200 

101 

17,600 

103 

18,000 

105 

18,400 

555 

97,100 

Sub-total Action 2 

55,500 

60,000 

129,500 

140,000 

129,500 

140,000 

138,700 

150,000 

185,300 

200,000 

189,200 

204,200 

193,300 

11.320 

1.021,000 

208,600 

1.102,800 

Actions in the Member States 

220 
EN 

 
 
 
 
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
Responsible Authorities 

Co-financing  

Emergency measures 

Projects 

Sub-total Action 3 

Sub-total Objective 1 

TOTAL COST 

1,210 

8,590 

9,800 

9,800 

69,800 

1,210 

8,590 

9,800 

9,800 

1,210 

8,590 

9,800 

9,800 

1,210 

8,590 

9,800 

9,800 

1,210 

8,590 

9,800 

9,800 

1,210 

8,590 

9,800 

9,800 

1,210 

8,590 

9,800 

9,800 

8,470 

60,130 

68,600 

68,600 

149,800 

149,800 

159,800 

209,800 

214,000 

218,400 

1.171,400 

b. Integration of third-country nationals 

(Headings of Objectives, 
actions and outputs 
should be provided) 

Type of 
output 

Av. 
cost 

2007 

2008 

2009 

2010 

2011 

2012 

2013 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 

Total cost 

Integration of Third-country Nationals 

Community Actions 

Community Actions 

Transnational 
cooperation 
projects 

0,250 

25 

6,200 

33 

8,200 

54 

13,400 

69 

17,300 

80 

20,000 

94 

23,600 

105 

26,200 

460 

114,900 

Responsible Authorities 

Co-financing  

Sub-total Action 1 

6,200 

Actions in the Member States 

Projects 

Projects 

Projects 

0,085 

0,065 

0,175 

101 

389 

97 

4,300 

8,600 

25,300 

16,900 

134 

518 

128 

8,200 

5,500 

11,400 

33,700 

22,400 

13,400 

8,500 

18,400 

54,900 

36,600 

216 

845 

209 

17,300 

10,800 

23,600 

71,100 

47,400 

278 

1094 

271 

20,000 

12,300 

27,100 

81,800 

54,600 

319 

1258 

312 

23,600 

14,300 

32,300 

96,600 

64,400 

380 

1486 

368 

26,200 

460 

114,900 

15,800 

35,800 

421 

1652 

107,400 

409 

71,600 

1.849 

7.243 

1.794 

71,500 

157,200 

470,800 

313,900 

Projects 

0,175 

97 

16,900 

128 

22,400 

209 

36,600 

271 

47,400 

312 

54,600 

368 

64,400 

409 

71,600 

1.794 

313,900 

Projects 

Projects 

0,175 

0,175 

48 

48 

Sub-total Action 2 

8,400 

64 

11,200 

105 

18,300 

135 

23,700 

156 

27,300 

184 

32,200 

205 

35,800 

897 

156,900 

8,400 

64 

11,200 

105 

18,300 

135 

23,700 

156 

27,300 

184 

32,200 

205 

35,800 

897 

156,900 

88,800 

95,000 

95,000 

117,800 

126,000 

126,000 

191,600 

205,000 

205,000 

247,700 

265,000 

265,000 

285,000 

305,000 

305,000 

336,400 

360,000 

360,000 

373,800 

400,000 

400,000 

9.092 

1.641,100 

1.756,000 

1.756,000 

Admission Procedures 

Introduction Programmes 

Civic, cultural, religious 
and political participation 

Capacity building within 
MS' public and private 
service providers  

Adjusting european 
societies to diversity 

Policy development, 
monitoring and evaluation 

Sub-total Objective 1 

TOTAL COST 

c. European Return Fund 

EN 

221 
EN 

 
 
 
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
 
 
(Headings of Objectives, 
actions and outputs should 
be provided) 

Type of 
output 

Av. 
cost 

2007 

2008 

2009 

2010 

2011 

2012 

2013 

Total 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total cost 

European Return Fund 

Community Actions 

Community Actions 

Transnational 
cooperation 
projects 

0,250 

0 

0,000 

10 

2,500 

16 

3,900 

26 

6,500 

39 

9,800 

52 

13,100 

52 

13,100 

196 

48,900 

Sub-total Action 1 

Actions in the Member States 

Responsibe authorities 

Co-financing  

Integrated Return-
management 
Enhancement of ooperation 
between MS in integrated 
Return-management 

Promotion and application 
of common standards on 
return 

Projects 

Projects 

0,150 

0,250 

Projects 

0,100 

0 

0 

0 

EN 

0,000 

0,000 

0,000 

2,500 

2,300 

3,900 

3,100 

6,500 

4,600 

9,800 

6,500 

13,100 

13,100 

196 

48,900 

8,300 

8,300 

33,100 

68 

10,200 

106 

15,900 

178 

26,700 

267 

40,100 

357 

53,600 

357 

53,600 

1.334 

200,100 

0,000 

69 

17,200 

106 

26,500 

178 

44,400 

268 

66,900 

357 

89,300 

357 

89,300 

1.334 

333,600 

0,000 

68 

6,800 

106 

10,600 

178 

17,800 

267 

26,700 

357 

35,700 

357 

35,700 

1.333 

133,300 

222 
EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
Sub-total Objective 1 

TOTAL COST 

Sub-total Action 2 

0,000 

0,000 

0,000 

36,500 

39,000 

39,000 

56,100 

60,000 

60,000 

93,500 

100,000 

100,000 

140,200 

150,000 

150,000 

186,900 

200,000 

200,000 

4.001 

186,900 

200,000 

200,000 

700,100 

749,000 

749,000 

EN 

223 
EN 

 
 
 
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
 
d. External Borders Fund 

(Headings of Objectives, 
actions and outputs 
should be provided) 

Type of 
output 

Av. 
cost 

2007 

2008 

2009 

2010 

2011 

2012 

2013 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 

Total cost 

External Borders Fund 

EN 

224 
EN 

 
 
 
 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
Community Actions 

Community Actions 

Transnational 
cooperation 
projects 

0,250 

13 

3,300 

13 

3,300 

17 

4,300 

22 

5,600 

25 

6,300 

31 

7,800 

45 

11,200 

167 

41,800 

Sub-total Action 1 

Actions in the Member States 

Responsibe authorities 

Co-financing  

Projects 

0,500 

64 

3,300 

7,500 

31,800 

3,300 

7,500 

4,300 

9,500 

64 

31,800 

82 

41,200 

107 

5,600 

12,000 

53,500 

6,300 

13,400 

60,100 

120 

7,800 

11,200 

167 

41,800 

16,700 

75,100 

150 

23,300 

89,900 

214 

107,100 

801 

400,600 

Implementation of the 
common integrated border 
management system 

Contribution to the efficient 
management of the flows of 
persons at external borders 

Contribution to the uniform 
and effective application of 
EU law and overall 
efficiency of national 
border guards 
Contribution to the 
enhancement of the 
activities organised by 
consular services 

Sub-total Objective 1 

TOTAL COST 

Projects 

0,500 

127 

63,700 

127 

63,700 

165 

82,500 

214 

107,000 

240 

120,100 

300 

150,200 

428 

214,200 

1.603 

801,400 

Projects 

0,500 

48 

23,900 

48 

23,900 

62 

30,900 

80 

40,100 

90 

45,000 

113 

56,300 

161 

80,300 

601 

300,400 

Projects 

0,500 

80 

39,800 

80 

39,800 

103 

51,600 

134 

66,800 

150 

75,100 

188 

93,900 

268 

133,900 

1.002 

500,900 

Sub-total Action 2 

166,700 

170,000 

170,000 

166,700 

170,000 

170,000 

215,700 

220,000 

220,000 

279,400 

285,000 

285,000 

313,700 

320,000 

320,000 

392,200 

400,000 

400,000 

558,800 

570,000 

570,000 

3.005 

2.093,200 

2135,000 

2.135,000 

EN 

225 
EN 

 
 
 
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
 
8.2. 

Administrative Expenditure 

The  needs  for  human  and  administrative  resources  shall  be  covered  within  the  allocation 
granted to the managing DG in the framework of the annual allocation procedure. 

8.2.1.  Number and type of human resources 

Types of 
post 

Staff to be assigned to management of the action using existing and/or 
additional resources (number of posts/FTEs) 

2007 

2008 

2009 

2010 

2011 

2012 

2013 

A*/AD 

23 

26

46

10

29 

32 

52 

12 

58 

14 

35

64

16

37 

37,5 

70 

70,5 

17 

18 

38,75 

8,5 

Officials 
or 
temporary 
staff (XX 
01 01) 

B*, 
C*/AST 

Staff financed by art. 
XX 01 02 

Other  staff  financed 
by art. XX 01 04/05 

TOTAL 

70,25 

82

93 

104 

115

124 

126 

8.2.2.  Description of tasks deriving from the action 

Description 

Number 

Title  

Management 

Management  

Policy definition and programming 

Policy Making 

Definition of strategy, legal base,… 

Programme definition 

Establishment  of  annual  work  programme  (i.e.  financing  decision)  and  interservice 
consultation 

Interface  with 
EC 
actions 

programmes 

relevant 
& 

interservice  coordination  in  order  to  ensure  complementarity-synergy  with  other 
policies 

Interface  with 
other 
Institutions  and  Member 
States 

Interface  Council,EP  ensuring  the  appropriate  reporting,  information,  questions, 
briefing requests 

Information 
Communication 

and 

1. Information and publicity activities 
2. EUROPA Web site 

Committee 
chair & secretariat  

interface 

- 

4 

4 

1 

2 

2 

2 

1 

EN 

226 

   EN 

 
 
  
  
  
  
  
  
  
  
  
  
 
 
 
  
  
  
  
Budgetting 

APS,PDB,AAR,BIP,RAL - Preparation - Follow-up - Reporting  

Programme  :  Reception,  selection  and  award  of  projects  ,  financial  and  legal 
commitments 

Preparation  Calls 
proposals 

for 

Reception and evaluation 
proposals/mult-annual 
and annual programmes 

Award decisions 

(also involves staff involved in 12,13,14 and 15) 

Financial Commitment 

Preparation, maintenance and closure of all financial commitments + subconsequent 
amendments 

Legal Commitment 

Preparation,  Signature,  Closure  of  all  juridical  commitments  +  subconsequent 
amendments 

Programme : monitoring of projects 

Payments - Initiation 

Preparation  and  Processing  of  all  Prefinancing,  Intermediate  and  Final  Payments 
(including verification supporting docs) 

Project Monitoring 

Receipt and assessment of reports , requests for information, project visits 

Procurement, control and audit 

Ex-  ante  verification  of 
transactions,  setting  up 
of control standards 

Setting up appropriate control standards 

1,5 

2 

10 

0,5 

2 

4 

5 

20 

3 

System Audit 

Setting up and monitoring of system audit of Member States (shared management) 

10 

Financial Audit  

Ex-post Audit of expenditure / implementation 

Internal audit 

Verification of compliance with ICS 

Procurement procedures 

Drafting,  procedures  and  autorisation  of  procurement  procedures  for  projects  and 
technical assistance (evaluation, studies,…) , including JPC, Helpdesk procurement 
procedures 

Reporting 

Report of Authorinsing Officer, RAA, relations with Court of Auditors… 

Support services 

Filing and Archiving 

Database, digital and hardcopy filing 

Programme Evaluation 

Ex ante - Mid term - Final evaluation 

IT Support 

Specific development of IT Tools related to monitoring and implementation 

Overhead 

Administration(Overhead
) 

CIS, Translations,HRM,Logistics,… 

8 

3 

8 

2 

3 

3 

4 

21 

126 

EN 

227 

   EN 

 
  
  
  
  
  
  
  
  
 
8.2.3. 

Sources of human resources (statutory) 

(When more than one source is stated, please indicate the number of posts originating from 
each of the sources) 

Posts currently allocated to the management of the programme to be replaced 

(cid:133) 
or extended 

(cid:133) 

(cid:133) 

Posts pre-allocated within the APS/PDB exercise for year n 

Posts to be requested in the next APS/PDB procedure 

Posts  to  be  redeployed  using  existing  resources  within  the  managing  service 

(cid:133) 
(internal redeployment) 

Posts required for year n although not foreseen in the APS/PDB exercise of the 

(cid:133) 
year in question 

8.2.4.  Other  Administrative  expenditure  included  in  reference  amount  (XX  01  04/05  – 

Expenditure on administrative management) 

EUR million (to 3 decimal places) 

a. European Refugee Fund  

Budget line 
European Refugee 
Fund 

1 Technical and 
administrative 
assistance (including 
related staff costs) 
Other technical and 
administrative 
assistance 

= intra muros : asylum 
statistics 
= extra muros : 
exchange of 
information, thematic 
meetings, website 
projects, computerised 
administrative and 
financial management 
of which for 
construction and 
maintenance of 
computerised 
management systems 
Studies (incl. 
Evaluation) 
Meetings of experts 

Publications and 
informations 

Total 

2007 

2008 

2009 

2010 

2011 

2012 

2013 

TOTAL 

0,250 

0,250 

0,250 

0,250 

0,250 

0,250 

0,250 

1,750 

0,500 

0,700 

0,700 

0,700 

0,700 

0,700 

0,700 

4,700 

0,300 
0,050 

0,200 
1,300 

0,600 
0,050 

0,000 
1,600 

0,300 
0,050 

0,200 
1,500 

0,600 
0,050 

0,000 
1,600 

0,600 
0,100 

0,200 
1,850 

0,400 
0,050 

0,150 
1,550 

0,600 
0,050 

0,200 
1,800 

3,400 
0,400 

0,950 
9,450 

EN 

228 

   EN 

 
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
Emergency measures 

1 Technical and 
administrative 
assistance (including 
related staff costs) 
Other technical and 
administrative 
assistance 

= intra muros : asylum 
statistics 
= extra muros : 
exchange of 
information, thematic 
meetings, website 
projects, computerised 
administrative and 
financial management 
of which for 
construction and 
maintenance of 
computerised 
management systems 
Studies (incl. 
Evaluation) 
Meetings of experts 

Publications and 
informations 

Total 

0,050 

0,050 

0,050 

0,050 

0,050 

0,050 

0,050 

0,350 

0,060 

0,060 

0,060 

0,060 

0,060 

0,060 

0,060 

0,420 

0,080 

0,080 

0,080 

0,080 

0,080 

0,080 

0,080 

0,560 

0,010 
0,200 

0,010 
0,200 

0,010 
0,200 

0,010 
0,200 

0,010 
0,200 

0,010 
0,200 

0,010 
0,200 

0,070 
1,400 

EN 

229 

   EN 

 
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
b. Integration of Third-country Nationals 

Budget line 
Integration of Third-
country nationals 

1 Technical and 
administrative 
assistance (including 
related staff costs) 
Other technical and 
administrative 
assistance 

= intra muros : 
migration statistics 
= extra muros : 
exchange of 
information, thematic 
meetings, website 
projects, computerised 
administrative and 
financial management 
of which for 
construction and 
maintenance of 
computerised 
management systems 
Studies (incl. 
Evaluation and Impact 
Assessment) 
Meetings of experts 
Dissemination 

Publications and 
informations 

Total 

2007 

2008 

2009 

2010 

2011 

2012 

2013 

TOTAL 

0,300 

0,400 

0,400 

0,400 

0,400 

0,400 

0,400 

2,700 

0,600 

0,800 

0,800 

0,900 

1,000 

1,100 

1,100 

6,300 

0,100 
0,050 
0,000 

0,050 
1,100 

0,300 
0,050 
0,100 

0,100 
1,750 

0,300 
0,050 
0,050 

0,100 
1,700 

0,600 
0,050 
0,100 

0,100 
2,150 

0,700 
0,050 
0,150 

0,250 
2,550 

0,700 
0,050 
0,200 

0,400 
2,850 

0,750 
0,050 
0,200 

3,450 
0,350 
0,800 

0,400 
2,900 

1,400 
15,000 

EN 

230 

   EN 

 
 
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
c. European Return Fund 

Budget line 
European Return 
Fund 

1 Technical and 
administrative 
assistance (including 
related staff costs) 
Other technical and 
administrative 
assistance 
= intra muros : statistics 
= extra muros : 
exchange of 
information, thematic 
meetings, website 
projects, computerised 
administrative and 
financial management 
of which for 
construction and 
maintenance of 
computerised 
management systems 
Studies (incl. 
Evaluation and Impact 
Assessment) 
Meetings of experts 
Dissemination 

Publications and 
informations 

Total 

0,000 

2007 

2008 

2009 

2010 

2011 

2012 

2013 

TOTAL 

0,200 

0,200 

0,200 

0,200 

0,250 

0,300 

1,350 

0,600 

0,700 

0,800 

0,900 

0,900 

1,000 

4,900 

0,300 
0,050 
0,100 

0,150 
1,400 

0,300 
0,050 
0,100 

0,150 
1,500 

0,300 
0,050 
0,100 

0,150 
1,600 

0,300 
0,050 
0,100 

0,150 
1,700 

0,300 
0,050 
0,100 

0,150 
1,750 

0,300 
0,100 
0,100 

0,250 
2,050 

1,800 
0,350 
0,600 

1,000 
10,000 

EN 

231 

   EN 

 
 
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
d. External Borders Fund 

Budget line 
External Borders Fund 

1 Technical and 
administrative 
assistance (including 
related staff costs) 
Other technical and 
administrative 
assistance 
= intra muros : statistics 
= extra muros : 
exchange of 
information, thematic 
meetings, website 
projects, computerised 
administrative and 
financial management 
of which for 
construction and 
maintenance of 
computerised 
management systems 
Studies (incl. 
Evaluation and Impact 
Assessment) 
Meetings of experts 
Dissemination 

Publications and 
informations 
Total 

2007 

2008 

2009 

2010 

2011 

2012 

2013 

TOTAL 

0,300 

0,300 

0,300 

0,400 

0,450 

0,450 

0,450 

2,650 

0,600 

0,900 

0,900 

1,000 

1,000 

1,000 

1,000 

6,400 

0,300 
0,100 
0,200 

0,100 
1,600 

0,400 
0,150 
0,200 

0,300 
2,250 

0,400 
0,150 
0,250 

0,300 
2,300 

0,500 
0,150 
0,300 

0,300 
2,650 

0,500 
0,200 
0,400 

0,350 
2,900 

0,400 
0,200 
0,300 

0,300 
2,650 

0,400 
0,200 
0,300 

2,900 
1,150 
1,950 

0,300 
2,650 

1,950 
17,000 

EN 

232 

   EN 

 
 
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
8.2.5.  Financial cost of human resources and associated costs not included in the reference 

amount 

EUR million (to 3 decimal places) 

2007 

2008 

2009 

2010 

2011 

2012 

2013 

Total 

6,669 

7,776 

8,748 

9,72 

10,692 

11,556 

11,664 

66,825 

0,918 

1,08 

1,296 

1,512 

1,728 

1,836 

1,944 

10,314 

7,587

8,856 

10,044

11,232

12,420

13,392 

13,608 

77,139

Type of 
human 
resources 

Officials  and 
temporary 
staff  (XX  01 
01) 

Staff  financed 
by Art XX 01 
02  (auxiliary, 
END, contract 
staff, etc.) 

(specify 
budget line) 

Total cost of 
Human 
Resources 
and 
associated 
costs (NOT 
in reference 
amount) 

Calculation– Officials and Temporary agents 

Reference should be made to Point 8.2.1, if applicable 

Each FTE rated at 108.000 € per FTE. 

Calculation– Staff financed under art. XX 01 02 

Reference should be made to Point 8.2.1, if applicable 

Each FTE rated at 108.000 € per FTE. 

EN 

233 

   EN 

 
 
 
8.2.6 Other administrative expenditure not included in reference amount 

EUR million (to 3 decimal places) 

2007 

2008 

2009 

2010 

2011 

2012 

2013  TOTAL 

0,216 

0,234 

0,238

0,243 

0,248 

0,253 

0,258 

1,691 

0,460 

0,498 

0,508

0,518 

0,528 

0,539 

0,550 

3,601 

XX 01 02 11 01 – Missions 

XX  01  02  11  02  – 
Meetings & Conferences 

XX  01  02  11  03  – 
Committees 

XX  01  02  11  04  –  Studies 
& consultations 

XX  01  02  11  05 
Information systems 

- 

 2Total 

Other 

0,676 

0,732 

0,746

0,761 

0,777 

0,792 

0,808 

5,292 

Management 
Expenditure (XX 01 02 
11) 

Other 
3 
expenditure 
an 
administrative  nature 
(specify 
including 
reference to budget line) 

of 

EN 

234 

   EN 

 
 
 
  
  
 
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
8,263 

9,588 

10,790

11,993

13,197

14,184  14,416 

68,015

Total Administrative 
expenditure, other 
than human resources 
and associated costs 
(NOT included in 
reference amount) 

Calculation  -  Other  administrative  expenditure  not  included  in  reference 
amount 

Missions  

2007 

240  missions 
€900 

* 

216.000  

Compulsory meetings 

24 * 19200 

460.800  

EN 

235 

   EN