Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL on the European Social Fund and repealing Council Regulation (EC) No 1081/2006
Date: 2011-10-06
Institutions: European Commission
Subjects: European Social Fund, administrative formalities, dismissal, economic and social cohesion, economic recession, education, labour mobility, operation of the Institutions, poverty, productivity, social integration, vocational training, youth unemployment

EUROPEAN COMMISSION 

Brussels, 14.3.2012  
COM(2011) 607 final /2 

2011/0268 (COD) 

CORRIGENDUM: 
Annule et remplace le document COM(2011) 607 du 6.10.2011 
Concerne: toutes les versions linguistiques 

Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

on the European Social Fund and repealing Council Regulation (EC) No 1081/2006 

{SEC(2011) 1130 final} 
{SEC(2011) 1131 final} 

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EXPLANATORY MEMORANDUM 

1. 

CONTEXT OF THE PROPOSAL 

Unemployment and persistently high rates of poverty call for action at EU and national level. 
Almost  23  million  people  are  today  unemployed  and  over  113  million  are  estimated  to  be 
living at risk of poverty or exclusion. Social and employment issues are a primary concern of 
European citizens, and an area where more is expected from the Union. Additional challenges 
that  the  Union  faces  relate  to:  shortfalls  in  skill  levels,  under-performance  in  active  labour 
market policy and education systems, social exclusion of marginalised groups, and low labour 
mobility. There is a need both for policy initiatives and for concrete supporting actions. 

Many  of  these  problems  have  been  exacerbated  by  the  financial  and  economic  crisis, 
demographic and migratory trends and the fast pace of technological change. Unless tackled 
effectively, they constitute a significant challenge for social cohesion and competitiveness. It 
is  therefore  essential  to  accompany  growth-enhancing  investment  in  infrastructure,  regional 
competitiveness  and  business  development  with  measures  underpinning  sustainable  job 
creation  in  the  areas  of  labour  market  policy,  education  and  training,  social  inclusion, 
adaptability of workers, enterprises and entrepreneurs, and administrative capacity. 

The European Social Fund (ESF) supports policies and priorities aiming to achieve progress 
towards full employment, enhance quality and productivity at work, increase the geographical 
and  occupational  mobility  of  workers  within  the  Union,  improve  education  and  training 
systems, and promote social inclusion, thereby contributing to economic, social and territorial 
cohesion. 

As the ESF should be fully aligned with the Europe 2020 Strategy and its headline targets, it 
should  support  the  policies  pursued  by  the  Member  States  under  the  Integrated  Guidelines 
adopted in accordance with Articles 121 and 148(4) of the Treaty and the Recommendations 
on  the  National  Reform  Programmes.  The  setting  of  minimum  shares  and  amounts  for  the 
ESF  as  one  of  the  Structural  Funds  will  ensure  that  the  Union  priorities  are  adequately 
reflected in the volume of investment that directly targets European citizens. 

The  ESF  will  also  make  a  valuable  contribution  to  other  important  priorities  of  the  Europe 
2020  Strategy,  such  as  strengthening  our  investment  in  research  and  innovation,  enhancing 
the  accessibility  and  use  of  information  and  communication  technologies,  increasing  the 
competitiveness  of  small  and  medium-sized  enterprises,  supporting  the  shift  towards  a  low-
carbon economy, protecting the environment, and promoting the sustainable use of resources. 
The  ESF  will  work  in  synergy  with  the  new  integrated  Programme  for  Social  Change  and 
Innovation.  Together,  they  will  constitute  the  comprehensive  European  Employment  and 
Social Inclusion Initiative. 

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2. 

RESULTS  OF  CONSULTATIONS  WITH  INTERESTED  PARTIES  AND 
IMPACT ASSESSMENTS 

The results of the public consultations for the 5th Progress Report on Economic, Social and 
Territorial  Cohesion1  ,  the  EU  Budget  Review2  and  the  proposals  for  the  multi-annual 
financial framework3 have all been considered for the present proposal. 
The public consultation on the conclusions of the 5th Cohesion Report was held between 12 
November 2010 and 31 January 2011 and concluded with the Cohesion Forum. A total of 444 
contributions  were  received.  Respondents  included  Member  States,  regional  and  local 
authorities, social partners, European interest organisations, non-governmental organisations, 
citizens and other stakeholders. The consultation put forward a series of questions about the 
future of cohesion policy. A summary of the results was published on 13 May 20114. 

In  addition,  specific  conferences  and  seminars  were  organised  focusing  on  the  future  of  the 
ESF.  In  June  2010  the  conference  ‘ESF  and  Europe  2020’  brought  together  over  450  high-
level  representatives  from  public  authorities,  social  partners  and  civil  society  at  EU  and 
national  level  as  well  as  from  third  countries.  In  addition,  a  seminar  with  NGOs  and  social 
partners on the future of the ESF took place in December 2010. 

Furthermore, on 7 October 2010, the European Parliament adopted a resolution on the future 
of cohesion policy and the ESF5. The European Commission has also asked for and received 
exploratory  opinions  from  the  Economic  and  Social  Committee6  and  the  Committee  of  the 
Regions7. 

Expert  advice  was  provided  through  the  ESF  Committee  ad-hoc  group  on  the  future  of  the 
European Social Fund, an informal group of experts from the Member States and the social 
partners. The ad hoc group met 7 times between December 2009 and March 2011. In addition, 
a  working  group  with  Member  States  representatives  was  set  up  to  discuss  common 
indicators.  It  met  four  times  and  laid  the  ground  for  the  proposed  indicators.  The  ESF 
Committee itself issued opinions on the future of the ESF at its meetings of 3 June 2010 and 
10  March  2011.  Both  the  Employment  Committee  (EMCO)  and  the  Social  Protection 
Committee (SPC) also issued specific opinions, in January and March 2011, respectively. 

The results of the ex-post evaluations carried out on the 2000-2006 programmes, and a broad 
range of studies, were used as input. An impact assessment has been specifically conducted 
for  the  ESF  Regulation,  as  part  of  a  package  of  three  impact  assessments  also  covering  the 

1 
2 

3 

4 

5 

6 
7 

5th Report on Economic, Social and Territorial Cohesion, November 2010. 
Communication  from  the  Commission  to  the  European  Parliament,  the  Council,  the  European 
Economic and Social Committee, the Committee of the Regions and the national parliaments: The EU 
Budget Review, COM(2010) 700, 19.10.2010. 
Communication  from  the  Commission  to  the  European  Parliament,  the  Council,  the  European 
Economic  and  Social  Committee  and  the  Committee  of  the  Regions:  A  Budget  for  Europe  2020, 
COM(2011) 500, 29.6.2011. 
Commission  Staff  Working  Paper:  Results  of  the  public  consultation  on  the  conclusions  of  the  fifth 
report on economic, social and territorial cohesion, SEC(2011) 590 final, 13.5.2011. 
European  Parliament  resolution  of  7  October  2010  on  the  future  of  the  European  Social  Fund, 
P7_TA(2010)0357 
European  Parliament  resolution  of  7  October  2010  on  EU  cohesion  and  regional  policy  after  2013, 
P7_TA(2010)0356. 
OJ C 132/8, 3/05/2011. 
OJ C 166/08, 7/06/2011. 

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ERDF  and  the  Cohesion  Fund  Regulations  and  the  impact  assessment  for  the  General 
Regulation governing the ESF, ERDF and Cohesion Fund. 

The impact assessment for the ESF Regulation mainly addressed the scope of the instrument 
and  one  specific  aspect  of  simplification.  It  also  discussed  the  articulation  between  and 
complementarity  with  the  financial  instruments  available  to  the  Commission’s  Directorate-
General  for  Employment,  Social  Affairs  and  Inclusion,  notably  the  ESF,  the  European 
Globalisation  Adjustment  Fund,  the  PROGRESS  programme,  EURES  and  the  PROGRESS 
Microfinance Facility. 

There is very broad support for the role of the ESF. The ESF is seen as providing considerable 
European  added  value  in  allowing  Member  States  and  regions  to  address  key  European 
priorities  through  European  funding.  It  is  considered  an  essential  building  block  for 
addressing  the  main  challenges  faced  by  Europe  citizens  and  for  progressing  towards  the 
targets  set  in  the  Europe  2020  strategy.  Concentration  on  the  main  challenges  and  Council 
Recommendations  is  widely  seen  as  an  important  precondition  for  the  effectiveness  of 
support. Reducing the complexity of support and the related audit burden, notably for smaller 
beneficiaries, is also seen as an important area that needs to be addressed. 

3. 

LEGAL ELEMENTS OF THE PROPOSAL 

The  European  Social  Fund  (ESF)  is  established  by  Article  162  of  the  Treaty  on  the 
Functioning  of  the  European  Union  (TFEU).  The  timing  of  the  review  of  EU  funding  to 
promote  cohesion  is  linked  to  the  proposal  for  a  new  Multiannual  Financial  Framework,  as 
contained in the Commission’s Work Programme. 

The  present  proposal  for  a  Regulation  is  based  on  Article  164  TFEU.  Council  Regulation 
(EU) No […] establishes the framework for action by the Structural Funds and the Cohesion 
Fund  and  lays  down,  in  particular,  the  thematic  objectives,  the  principles  and  the  rules 
concerning programming, monitoring and evaluation, management and control. 

Within  this  general  framework,  the  present  proposal  defines  the  ESF’s  mission  and  scope, 
together with the associated investment priorities addressing the thematic objectives, and lays 
down  specific  provisions  concerning  operational  programmes  co-financed  by  the  ESF  and 
concerning eligible expenditure. 

The ESF will operate within the context of Article 174 TFEU, which calls for action by the 
European  Union  to  strengthen  its  economic,  social  and  territorial  cohesion  and  promote 
overall harmonious development by reducing disparities between the levels of development of 
the regions and promoting development in the least-favoured regions. 

As  the  EU  Budget  Review  has  highlighted,  the  ‘EU  budget  should  be  used  to  finance  EU 
public goods, actions that Member States and regions cannot finance themselves, or where it 
can  secure  better  results’8.  The  present  proposal  respects  the  principle  of  subsidiarity  as  the 
tasks of the ESF are set out in the Treaty and policy is implemented in accordance with the 
principle of shared management and respecting the institutional competences of the Member 
States and regions. 

8 

COM(2010) 700, 19.10.2010. 

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4. 

BUDGETARY IMPLICATIONS 

The Commission’s proposal for a Multiannual Financial Framework includes EUR 376 bn for 
cohesion policy for the period 2014-2020. 

Proposed budget 2014-2020 

EUR bn  

Minimum ESF 
share 

Less developed regions 
Transition regions 
More developed regions 
Territorial cooperation 
Cohesion fund 
Extra allocation for outermost 
and 
populated 
regions  
Connecting  Europe  Facility 
for transport, energy and ICT  

sparsely 

162.6 
38.9 
53.1 
11.7 
68.7 
0.926 

EUR 40 bn (with an 
additional 
EUR 10 bn 
inside 
fenced 
Cohesion Fund) 

ring-
the 

25 % 
40 % 
52 % 
- 
- 
- 

- 

Resulting minimum 
ESF amount 
EUR bn 
40.7 
15.6 
27.6 
- 
- 
- 

*All figures in constant 2011 prices 

With the aim of  enhancing the ability of the Funds  to deliver on  the headline targets of  the 
Europe 2020 strategy, the present proposal establishes minimum shares for the ESF for each 
category  of  regions  defined  in  the  proposal  for  a  General  Regulation.  This  results  in  a 
minimum  overall  share  for  the  ESF  of  25 %  of  the  budget  allocated  to  cohesion  policy 
(excluding  the  allocation  to  the  Connecting  Europe  Facility),  i.e.  EUR  84  billion.  The 
indicated minimum ESF allocation  includes the  budget  (EUR  2.5  billion)  for  a  forthcoming 
Commission proposal regarding food support for the most deprived persons. 

5. 

SUMMARY OF THE CONTENT OF THE REGULATION 

In terms of scope, the draft ESF Regulation for 2014-2020 proposes to target the ESF on four 
‘thematic objectives’ throughout the European Union: (i) promoting employment and labour 
mobility;  (ii)  investing  in  education,  skills  and  lifelong  learning;  (iii)  promoting  social 
inclusion and combating poverty; (iv) enhancing institutional capacity and an efficient public 
administration.  Each  thematic  objective  is  translated  into  intervention  categories  or 
‘investment  priorities’.  In  addition,  the  ESF  should  contribute  also  to  other  thematic 
objectives  such  as  supporting  the  shift  towards  low-carbon,  climate  resilient  and  resource 
efficient  economy,  enhancing  the  use  of  information  and  communication  technologies, 
strengthening  research,  technological  development  and  innovation  and  enhancing  the 
competitiveness of small and medium-sized enterprises. 

Concentration of funding is required to achieve a sufficient and demonstrable impact. In order 
to ensure this concentration, it is proposed that 

– 

support  for  administrative  capacity  should  be  limited  to  Member  States  with  less 
developed regions or eligible to the Cohesion Fund; 

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– 

– 

at least 20 % of the ESF allocation should be dedicated to ‘promoting social inclusion 
and combating poverty’; 

operational  programmes  should  concentrate  funding  on  a  limited  number  of 
‘investment priorities’. 

Furthermore,  the  draft  Regulation  clarifies  and  strengthens  the  ESF  contribution  to  the 
Union's  commitment  to  eliminate  inequalities  between  women  and  men  and  prevent 
discrimination. Member States should combine a robust mainstreaming approach and specific 
actions to promote gender equality and non-discrimination. 

Likewise,  the  draft  Regulation  aims  to  reinforce  social  innovation  and  transnational 
cooperation under the ESF, through an incentive in the form of a higher co-funding rate for 
priority  axes  dedicated  to  them,  specific  programming  and  monitoring  arrangements,  and  a 
stronger role for the Commission in the exchange and dissemination of good practices, joint 
actions and results across the Union. 

Concerning  monitoring  and  evaluation  systems,  the  draft  Regulation  proposes  minimum 
quality  standards  and  a  set  of  compulsory  common  indicators.  This  should  ensure  that 
monitoring  produces  robust  and  reliable  data  that  can  easily  be  aggregated  at  EU  level  and 
that evaluation focuses on assessing the effectiveness and impact of ESF support. 

The draft Regulation attaches great importance to the involvement of social partners and non-
governmental  organisations  in  the  programming  and  implementation  of  ESF  priorities  and 
operations..  To  this  end,  for  the  less-developed  regions  and  countries,  the  draft  Regulation 
calls for an appropriate amount of ESF resources to be allocated to capacity building actions 
for  social  partners  and  non-governmental  organisations.  Joint  activities  undertaken  by  the 
social partners will also be supported, considering their vital role in the field of employment, 
education and social inclusion.  

In the same spirit, the draft Regulation proposes a limited number of specific eligibility rules 
to facilitate access to ESF funding for smaller beneficiaries and operations and to take account 
of  the  different  nature  of  ESF  operations  and  the  different  type  of  ESF  beneficiaries  as 
compared to other Funds. In order to ensure that simplification reaches the beneficiaries, the 
draft Regulation proposes to extend the use of simplified cost options, including by making 
their  use  obligatory  for  smaller  operations.  These  provisions  will  reduce  the  administrative 
burden  on  beneficiaries  and  managing  authorities,  strengthen  the  results  orientation  of  the 
ESF and will contribute to reducing error rates. 

Finally,  specific  provisions  are  introduced  for  financial  instruments  to  encourage  Member 
States  and  regions  to  leverage  the  ESF  and  thus  increase  its  capacity  to  finance  actions 
supporting employment, education and social inclusion. 

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2011/0268 (COD) 

Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

on the European Social Fund and repealing Council Regulation (EC) No 1081/2006 

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION, 

Having  regard  to  the  Treaty  on  the  Functioning  of  the  European  Union,  and  in  particular 
Article 164 thereof, 

Having regard to the proposal from the European Commission9, 

After transmission of the draft legislative act to the national Parliaments, 

Having regard to the opinion of the European Economic and Social Committee10, 

Having regard to the opinion of the Committee of the Regions11, 

Acting in accordance with the ordinary legislative procedure, 

Whereas: 

(1) 

(2) 

Regulation (EU) No […] establishes the framework for action by the European Social 
Fund (ESF), the European Regional Development Fund (ERDF), the Cohesion Fund, 
the  European  Agricultural  Fund  for  Rural  Development  and  the  European  Maritime 
and Fisheries Fund and lays down, in particular, the thematic objectives, the principles 
and  the  rules  concerning  programming,  monitoring  and  evaluation,  management  and 
control.  It  is  therefore  necessary  to  specify  the  mission  and  scope  of  the  European 
Social  Fund,  together  with  the  related  investment  priorities  addressing  the  thematic 
objectives, and to lay down specific provisions concerning the type of activities which 
may be financed by the ESF. 

The ESF should improve employment opportunities, promote education and life-long 
learning and develop active inclusion policies in accordance with the tasks entrusted to 
the ESF by Article 162 of the Treaty, and thereby contribute to economic, social and 
territorial cohesion in accordance with Article 174  of the Treaty. In accordance with 
Article  9  of  the  Treaty,  the  ESF  should  take  into  account  requirements  linked  to  the 
promotion of a high level of employment, the guarantee of adequate social protection, 
the fight against social exclusion, and a high level of education, training and protection 
of human health.  

9 
10 
11 

OJ C , , p. . 
OJ C , , p. . 
OJ C , , p. . 

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(3) 

(4) 

(5) 

(6) 

The  European  Council  of  17  June  2010  called  for  all  common  policies,  including 
cohesion  policy,  to  support  the  Europe  2020  Strategy  for  smart,  sustainable  and 
inclusive  growth"12.  In  order  to  ensure  the  full  alignment  of  the  ESF  with  the 
objectives of this strategy, particularly as regards employment, education, and the fight 
against social exclusion, the ESF should support Member States in implementing the 
Council  recommendations  on  broad  guidelines  for  economic  policies  of  the  Member 
States  and  the  Union  and  the  Council  decisions  on  guidelines  for  the  employment 
policies of the Member States adopted in accordance with Articles 121 and 148(4) of 
the Treaty. It should also contribute to the implementation of the flagship initiatives, 
with special regard to the "Agenda for New Skills and Jobs"13, "Youth on the Move"14, 
and  the  "European  Platform  against  Poverty  and  Social  Exclusion"15.  It  will  also 
support  the  activities  in  the  "Digital  Agenda"16  and  the  "Innovation  Union"17 
initiatives. 

The  European  Union  is  confronted  with  structural  challenges  arising  from  economic 
globalisation, technological change and an increasingly ageing workforce and growing 
skills and labour shortages in some sectors and regions. They have been compounded 
by the recent economic and financial crisis, which has resulted in increased levels of 
unemployment, hitting in particular young people and other vulnerable groups, such as 
migrants.  The  ESF  should  aim  to  promote  employment  and  support  labour  mobility, 
invest in education, skills and life-long learning, promote social inclusion and combat 
poverty.  In  promoting  the  better  functioning  of  labour  markets  by  enhancing  the 
transnational geographical mobility of workers, the ESF should, in particular, support 
European Employment Services (EURES activities) in relation to recruitment and the 
related information, advice and guidance services at national and cross-border level. 

In addition to these priorities, in the less developed regions and Member States, and 
with  a  view  to  increasing  economic  growth  and  employment  opportunities,  the 
efficiency  of  public  administration  should  be  improved  and  the  institutional  capacity 
of  stakeholders  delivering  employment,  education  and  social  policies  should  be 
strengthened. 

At  the  same  time,  it  is  crucial  to  support  the  development  and  competitiveness  of 
European  small  and  medium-sized  enterprises  and  to  ensure  that  people  can  adapt, 
through  acquiring  appropriate  skills  and  through  lifelong  learning  opportunities,  to 
new  challenges  such  as  the  shift  to  a  knowledge-based  economy,  the  digital  agenda, 
and the transition to a low-carbon and more energy-efficient economy. By pursuing its 
primary thematic objectives, the ESF should contribute to addressing these challenges. 
In  this  context,  the  ESF  should  support  the  labour  force  transition  towards  greener 
skills and jobs, in particular in the energy efficiency, renewable energy and sustainable 
transport sectors, taking into account the Union's intention to increase the proportion 
of  the  EU  budget  that  is  related  to  climate  mainstreaming  to  at  least  20%,  with 
contributions from different policy fields. 

12 
13 
14 
15 
16 
17 

COM(2010) 2020 final, 3.3.2010 
COM (2010) 682 final, 23.11.2010 
COM(2010) 477 final, 15.09.2010 
COM (2010) 758 final, 16.12.2010 
COM(2010) 245 final/2, 26.8.2010 
COM(2010) 546 final, 6.10.2010 

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(7) 

(8) 

(9) 

to 

The  ESF  should  contribute 
the  Europe  2020  Strategy,  ensuring  greater 
concentration of support on the priorities of the European Union. The ESF should in 
particular  increase  its  support  for  the  fight  against  social  exclusion  and  poverty, 
through a minimum ring-fenced allocation. According to the level of development of 
the supported regions, the choice and number of investment priorities for ESF support 
should also be limited. 

In order to ensure closer monitoring and improved assessment of the results achieved 
at European level by actions supported by the ESF, a common set of output and result 
indicators should be established. 

Efficient  and  effective  implementation  of  actions  supported  by  the  ESF  depends  on 
good  governance  and  partnership  between  all  relevant  territorial  and  socio-economic 
actors,  in  particular  the  social  partners  and  non-governmental  organisations.  It  is 
therefore necessary that Member States encourage the participation of social partners 
and non-governmental organisations in the implementation of the ESF. 

(10)  The Member States and the Commission should ensure that the implementation of the 
priorities financed by the ESF contribute to the promotion of equality between women 
and  men  in  accordance  with  Article  8  of  the  Treaty.  Evaluations  have  shown  the 
importance of taking the gender aspect into account in all dimensions of programmes, 
while ensuring that specific actions are taken to promote gender equality. 

(11) 

In  accordance  with  Article  10  of  the  Treaty,  the  implementation  of  the  priorities 
financed  by  the  ESF  should  contribute  to  combating  discrimination  based  on  sex, 
racial or ethnic origin, religion or belief, disability, age or sexual orientation. The ESF 
should support the fulfilment of the obligation under the UN Convention on the Rights 
of Persons with Disabilities with regard inter alia to education, work and employment 
and  accessibility.  The  ESF  should  also  promote  the  transition  from  institutional  to 
community-based care. 

(12)  Support for social innovation is crucial for making policies more responsive to social 
change  and  to  encourage  and  support  innovative  social  enterprises.  In  particular, 
testing  and  evaluating  innovative  solutions  before  scaling  them  up  is  instrumental  in 
improving  the  efficiency  of  the  policies  and  thus  justifies  specific  support  from  the 
ESF. 

(13)  Transnational cooperation has a significant added value and it is necessary to reinforce 
the  Commission’s  role  in  facilitating  exchanges  of  experience  and  coordinating 
implementation of relevant initiatives. 

(14)  The mobilisation of regional and local stakeholders is necessary to deliver the Europe 
2020  Strategy  and  its  headline  targets.  Territorial  pacts,  local  initiatives  for 
employment  and  social  inclusion,  community-led  local  development  strategies  and 
sustainable urban development strategies may be used and supported to involve more 
actively  regional  and  local  authorities,  cities,  social  partners  and  non-governmental 
organisations in the implementation of programmes. 

(15)  Regulation  (EU)  No  […]  provides  that  rules  on  eligibility  of  expenditure  are  to  be 
established  at  national  level,  with  certain  exceptions  for  which  it  is  necessary  to  lay 
down specific provisions with regard to the ESF. 

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(16)  With a view to simplifying the use of the ESF and reducing the risk of errors, and with 
regard to the specificities of the operations supported by the ESF, it is appropriate to 
lay  down  provisions  which  complement  Articles  57  and  58  of  Regulation  (EU)  No 
[…]. 

(17)  The  Member  States  and  regions  should  be  encouraged  to  leverage  the  ESF  through 
financial instruments in order to support for example students, job creation, mobility 
of workers, social inclusion and social entrepreneurship. 

(18)  The  power  to  adopt  acts  in  accordance  with  Article  290  of  the  Treaty  on  the 
Functioning  of  the  European  Union  should  be  delegated  to  the  Commission  for 
establishing  the  definition  of  standard  scales  of  unit  costs  and  lump  sums  and  their 
maximum  amounts  according  to  different  types  of  operations  and  for  defining  the 
specific rules and conditions of policy-based guarantees. It is of particular importance 
that the Commission carries out appropriate consultations during its preparatory work, 
including at expert level. The Commission, when preparing and drawing up delegated 
acts, should ensure the simultaneous, timely and appropriate transmission of relevant 
documents to the European Parliament and the Council. 

(19)  This Regulation replaces Regulation (EU) No 1081/2006 of the European Parliament 
and  of  the  Council  of  5  July  2006  on  the  European  Social  Fund  and  repealing 
Regulation (EC) No 1784/199918. That Regulation should therefore be repealed, 

HAVE ADOPTED THIS REGULATION: 

Chapter I 

General provisions 

Article 1 
Subject matter 

This Regulation establishes the mission of the European Social Fund (ESF), the scope of its 
assistance, specific provisions and the types of expenditure eligible for assistance. 

Article 2 
Mission 

1. 

The  ESF  shall  promote  high  levels  of  employment  and  job  quality,  support  the 
geographical  and  occupational  mobility  of  workers,  facilitate  their  adaptation  to 
change,  encourage  a  high  level of  education and training, promote gender equality, 
equal  opportunities  and  non-discrimination,  enhance  social  inclusion  and  combat 
poverty,  thereby  contributing  to  the  priorities  of  the  European  Union  as  regards 
strengthening economic, social and territorial cohesion. 

18 

OJ L 210, 31.7.2006, p. 12. 

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2. 

3. 

It  shall  do  so  by  supporting  Member  States  in  pursuing  the  priorities  and  headline 
targets of the Europe 2020 strategy for smart, sustainable and inclusive growth. The 
ESF  shall  support  the  design  and  implementation  of  policies  and  actions,  taking 
account  of  the  integrated  guidelines  for  the  economic  and  employment  policies  of 
Member  States19  and  the  Council  Recommendations  on  the  National  Reform 
Programmes. 

The ESF shall benefit people, including disadvantaged groups such as the long-term 
unemployed,  people  with  disabilities,  migrants,  ethnic  minorities,  marginalised 
communities and people facing social exclusion. The ESF shall also provide support 
to  enterprises,  systems  and  structures  with  a  view  to  facilitating  their  adaptation  to 
new challenges and promoting good governance and the implementation of reforms, 
in particular in the fields of employment, education and social policies. 

Article 3 
Scope of support 

1. 

Under  the  thematic  objectives  listed  below,  and  in  accordance  with  Article  9  of 
Regulation (EU) No […], the ESF shall support the following investment priorities: 

(a)  Promoting employment and supporting labour mobility through: 

(i)  Access  to  employment  for  job-seekers  and  inactive  people, 
including  local  employment  initiatives  and  support  for  labour 
mobility; 

(ii)  Sustainable  integration  of  young  people  not  in  employment, 

education or training into the labour market; 

(iii)  Self-employment, entrepreneurship and business creation; 

(iv)  Equality between men and women and reconciliation between work 

and private life; 

(v)  Adaptation of workers, enterprises and entrepreneurs to change; 

(vi)  Active and healthy ageing; 

(vii)  Modernisation  and  strengthening  of  labour  market  institutions, 

including actions to enhance transnational labour mobility; 

(b) 

Investing in education, skills and life-long learning through: 

(i)  Reducing early school-leaving and promoting equal access to good-

quality early-childhood, primary and secondary education; 

19 

Council  recommendation  of  13  July  2010  on  broad  guidelines  for  economic  policies  of  the  Member 
States  and  the  Union  (OJ  L  191,  23.7.2010,  p.  28–34)  and  Council  decision  of  21  October  2010  on 
guidelines for the employment policies of the Member States (OJ L 308, 24.11.2010, p. 46–51). 

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(ii) 

Improving  the  quality,  efficiency  and  openness  of  tertiary  and 
equivalent  education  with  a  view  to  increasing  participation  and 
attainment levels; 

(iii)  Enhancing  access  to  lifelong  learning,  upgrading  the  skills  and 
competences  of  the  workforce  and  increasing  the  labour  market 
relevance of education and training systems; 

(c)  Promoting social inclusion and combating poverty through: 

(i)  Active inclusion; 

(ii) 

Integration of marginalised communities such as the Roma; 

(iii)  Combating  discrimination  based  on  sex,  racial  or  ethnic  origin, 

religion or belief, disability, age or sexual orientation; 

(iv)  Enhancing  access  to  affordable,  sustainable  and  high-quality 
services,  including  health  care  and  social  services  of  general 
interest; 

(v)  Promoting the social economy and social enterprises; 

(vi)  Community-led local development strategies; 

(d)  Enhancing institutional capacity and efficient public administration through: 

(i) 

Investment in institutional capacity and in the efficiency of public 
administrations  and  public  services  with  a  view  to  reforms,  better 
regulation and good governance;  

This investment priority is only applicable throughout the territory 
of the Member States which have at least one NUTS level 2 region 
as  defined  in  Article  82(2)(a)  of  Regulation  (EU)  No  […]  or  in 
Member States eligible for Cohesion Fund support. 

(ii)  Capacity  building 

for  stakeholders  delivering  employment, 
education  and  social  policies  and  sectoral  and  territorial  pacts  to 
mobilise for reform at national, regional and local level. 

2. 

Through the investment priorities listed in paragraph 1, the ESF shall also contribute 
to  the  other  thematic  objectives  listed  in  Article  9  of  Regulation  (EU)  No  […], 
primarily by: 

(a)  Supporting the shift towards a low-carbon, climate-resilient, resource-efficient 
and  environmentally  sustainable  economy,  through  reform  of  education  and 
training  systems,  adaptation  of  skills  and  qualifications,  up-skilling  of  the 
labour force, and the creation of new jobs in sectors related to the environment 
and energy; 

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(b)  Enhancing the accessibility, use and quality of information and communication 
technologies,  through  the  development  of  digital  literacy,  investment  in  e-
inclusion, e-skills and related entrepreneurial skills; 

(c)  Strengthening research, technological development and innovation, through the 
development  of  post-graduate  studies,  the  training  of  researchers,  networking 
activities and partnerships between higher education institutions, research and 
technological centres and enterprises; 

(d)  Enhancing the competitiveness of small and medium-sized enterprises, through 
promoting the adaptability of enterprises and workers and increased investment 
in human capital. 

Article 4 
Consistency and thematic concentration 

1. 

2. 

3. 

Member  States  shall  ensure  that  the  strategy  and  actions  set  out  in  the  Operational 
Programmes are consistent and focused on addressing the challenges identified in the 
National  Reform  Programmes  and  the  relevant  Council  Recommendations  made 
under  Article  148(4)  of  the  Treaty,  in  order  to  contribute  to achieving  the  headline 
targets of the Europe 2020 strategy on employment, education and poverty reduction. 

At least 20 % of the total ESF resources in each Member State shall be allocated to 
the thematic objective "promoting social inclusion and combating poverty" set out in 
Article 9(9) of Regulation (EU) No […]. 

Member  States  shall  pursue  thematic  concentration  according  to  the  following 
modalities: 

(a) 

(b) 

(c) 

For more developed regions, Member States shall concentrate 80 % of 
the ESF allocation to each operational programme on up to four of the 
investment priorities set out in Article 3(1). 

For  transition  regions,  Member  States  shall  concentrate  70 %  of  the 
ESF  allocation  to  each  operational  programme  on  up  to  four  of  the 
investment priorities set out in Article 3(1). 

For less developed regions, Member States shall concentrate 60 % of 
the ESF allocation to each operational programme on up to four of the 
investment priorities set out in Article 3(1). 

Article 5 
Indicators 

1. 

Common  indicators  as  set  out  in  the  Annex  to  this  Regulation  and  programme 
specific indicators shall be used in accordance with Article 24(3) and 87(2)(b)(ii) of 
Regulation (EU) No […]. All indicators shall be expressed in absolute numbers.   

Common  and  programme  specific  output  indicators  relate  to  partially  or  fully 
implemented  operations.  Where  relevant  to  the  nature  of  the  operations  supported, 

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cumulative quantified target values shall be fixed for 2022. Baseline indicators shall 
be set at zero. 

Common  and  programme  specific  result  indicators  relate  to  the  priority  axes. 
Baseline  indicators  shall  use  the  latest  available  data.  Cumulative  quantified  target 
values shall be fixed for 2022. 

2. 

At the same time as the annual implementation reports, the managing authority shall 
transmit  electronically  structured  data  for  each  investment  priority.  The  data  shall 
cover the categorisation and the output and result indicators. 

Chapter II 

Specific provisions for programming and implementation 

Article 6 
Involvement of partners 

1. 

2. 

3. 

The  involvement  of  the  social  partners  and  other  stakeholders,  in  particular  non-
governmental  organisations,  in  the  implementation  of  operational  programmes,  as 
referred  to  in  Article  5  of  Regulation  (EU)  No  […],  may  take  the  form  of  global 
grants as defined in Article 113(7) of Regulation (EU) No […]. In such a case, the 
operational  programme  shall  identify  the  part  of  the  programme  concerned  by  the 
global grant, including an indicative financial allocation from each priority axis to it. 

To encourage adequate participation of the social partners in actions supported by the 
ESF,  managing  authorities  of  an  operational  programme  in  a  region  as  defined  in 
Article  82(2)(a)  of  Regulation  (EU)  No  […]  or  in  Member  States  eligible  for 
Cohesion Fund support shall ensure that an appropriate amount of ESF resources is 
allocated  to  capacity-building  activities,  in  the  form  of  training,  networking 
measures,  and  strengthening  of  the  social  dialogue,  and  to  activities  jointly 
undertaken by the social partners. 

To  encourage  adequate  participation  of  and  access  by  non-governmental 
organisations  to  actions  supported  by  the  ESF,  notably  in  the  fields  of  social 
inclusion,  gender  equality  and  equal  opportunities,  the  managing  authorities  of  an 
operational programme in a region as defined in Article 82(2)(a) of Regulation (EU) 
No […] or in Member States eligible for Cohesion Fund support shall ensure that an 
appropriate  amount  of  ESF  resources  is  allocated  to  capacity-building  for  non-
governmental organisations. 

Article 7 
Promotion of equality between men and women 

The  Member  States  and  the  Commission  shall  promote  equality  between  men  and  women 
through  mainstreaming  as  referred  to  in  Article  7  of  Regulation  (EU)  No  […]  and  specific 
targeted actions as  referred to in  Article 3(1)(a)(iv), in particular with the aim of increasing 
the  sustainable  participation  and  progress  of  women  in  employment,  reducing  gender-based 

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segregation in the labour market, combating gender stereotypes in education and training and 
promoting reconciliation of work and personal life for men and women. 

Article 8 
Promotion of equal opportunities and non-discrimination 

The Member States and the Commission shall promote equal opportunities for all, including 
accessibility for disabled persons through mainstreaming the principle of non-discrimination, 
as referred to in Article 7 of Regulation (EU) No […], and through specific actions within the 
investment priorities as defined in Article 3, and in particular Article 3(1)(c)(iii). Such actions 
shall  target  people  at  risk  of  discrimination  and  people  with  disabilities,  with  a  view  to 
increasing  their  labour  market  participation,  enhancing  their  social  inclusion,  reducing 
inequalities in terms of educational attainment and health status and facilitating the transition 
from institutional to community-based care. 

Article 9 
Social innovation 

1. 

2. 

3. 

1. 

2. 

3. 

The ESF shall promote social innovation within all areas falling under the scope of 
the  ESF,  as  defined  in  Article  3  of  this  Regulation,  in  particular  with  the  aim  of 
testing and scaling up innovative solutions to address social needs. 

Member  States  shall  identify  themes  for  social  innovation,  corresponding  to  their 
specific needs in their operational programmes. 

The Commission shall facilitate capacity building for social innovation, in particular 
through  supporting  mutual  learning,  establishing  networks,  and  disseminating  good 
practices and methodologies. 

Article 10 
Transnational cooperation 

Member  States  shall  support  transnational  cooperation  with  the  aim  of  promoting 
mutual learning and thereby increasing the effectiveness of policies supported by the 
ESF.  Transnational  cooperation  shall  involve  partners  from  at  least  two  Member 
States. 

Member States may select themes for transnational co-operation from a list proposed 
by the Commission and endorsed by the ESF Committee. 

The Commission shall facilitate transnational cooperation on the themes referred to 
in paragraph 2 through mutual learning and coordinated or joint action. In particular, 
the  Commission  shall  operate  an  EU-level  platform  to  facilitate  the  exchange  of 
experience,  capacity  building  and  networking,  as  well  as  dissemination  of  the 
relevant  outcomes.  In  addition,  the  Commission  shall  develop  a  coordinated 
implementation  framework,  including  common  eligibility  criteria,  types  and  timing 
of  actions,  and  common  methodological  approaches  for  monitoring  and  evaluation, 
with a view to facilitating transnational cooperation. 

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1. 

2. 

3. 

1. 

2. 

Article 11 
Fund-specific provisions for operational programmes 

By  way  of  derogation  from  Article  87(1)  of  Regulation  (EU)  No  […],  operational 
programmes  may  set  out  priority  axes  for  the  implementation  of  social  innovation 
and transnational cooperation as referred to in Articles 9 and 10. 

By way of derogation from Article 110(3) of Regulation (EU) No […], the maximum 
co-financing rate for a priority axis shall be increased by ten percentage points, but 
not  exceeding  100%,  where  the  whole  of  a  priority  axis  is  dedicated  to  social 
innovation or to transnational cooperation, or a combination of both. 

In  addition  to  the  provision  made  in  Article  87(3)  of  Regulation  (EU)  No  […], 
operational programmes shall also set out the contribution of planned ESF-supported 
actions: 

(a) 

(b) 

to  the  thematic  objectives  listed  under  Article  9(1)  to  (7)  of  Regulation  (EU) 
No […] by priority axis, as appropriate; 

to social innovation and transnational cooperation, as referred to in Articles 9 
and 10, where they are not covered by a dedicated priority axis. 

Article 12 
Specific provisions on the treatment of particular territorial features 

The ESF may support community-led local development strategies, as referred to in 
Article  28  of  Regulation  (EU)  No  […],  territorial  pacts  and  local  initiatives  for 
employment,  education  and  social  inclusion,  as  well  as  Integrated  Territorial 
Investments (ITI) as referred to in Article 99 of Regulation (EU) No […]. 

Complementing  ERDF  interventions  as  referred  to  in  Article  7  of  Regulation  (EU) 
No [ERDF], the ESF may support sustainable urban development through strategies 
setting  out  integrated  actions  to  tackle  the  economic,  environmental  and  social 
challenges affecting urban areas of cities which are listed in the partnership contract. 

Chapter III 

Specific provisions for financial management 

Article 13 
Eligibility of expenditure 

1. 

The  ESF  shall  provide  support  for  eligible  expenditure,  which,  notwithstanding 
Article  110(2)(b)  of  Regulation  (EU)  No  […],  may  include  any  financial  resources 
collectively constituted by employers and workers. 

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2. 

The  ESF  may  provide  support  for  expenditure  incurred  for  operations  which  take 
place  outside  the  programme  area,  but  within  the  Union,  provided  that  the  two 
following conditions are satisfied: 

3. 

4. 

1. 

(a) 

the operation is for the benefit of the programme area; 

(b) 

the obligations of the authorities for the programme in relation to management, 
control  and  audit  concerning  the  operation  are  fulfilled  by  the  authorities 
responsible for the programme under which that operation is supported or they 
enter  into  agreements  with  authorities  in  the  Member  State  in  which  the 
operation is implemented provided that the conditions set out in paragraph 2 (a) 
and the obligations in relation to management, control and audit concerning the 
operation are fulfilled. 

In  addition  to  the  expenditure  referred  to  in  Article  59(3)  of  Regulation  (EU)  No 
[…],  the  purchase  of  infrastructure,  land  and  real  estate  shall  not  be  eligible  for  a 
contribution from the ESF. 

Contributions in kind in the form of allowances or salaries disbursed by a third party 
for the benefit of the participants in an operation may be eligible for a contribution 
from the ESF provided that its value does not exceed the cost borne by the third party 
and that it is incurred in accordance with national rules, including accountancy rules. 

Article 14 
Simplified cost options 

In addition to the methods referred to in Article 57 of Regulation (EU) No […], the 
Commission  may  reimburse  expenditure  paid  by  Member  States  on  the  basis  of 
standard  scales  of  unit  costs  and  lump  sums  defined  by  the  Commission.  The 
amounts  calculated  on  this  basis  shall  be  regarded  as  public  support  paid  to 
beneficiaries and as eligible expenditure for the purpose of applying Regulation (EU) 
No […]. 

For  this  purpose  the  Commission  shall  be  empowered  to  adopt  delegated  acts  in 
accordance with Article 16 concerning the type of operations covered, the definitions 
of  the  standard  scales  of  unit  costs  and  lump  sums  and  their  maximum  amounts, 
which may be adjusted according to the applicable commonly agreed methods.  

Financial  audit  shall  exclusively  aim  at  verifying 
the  conditions  for 
reimbursements by the Commission on the basis of standard scales of unit costs and 
lump sums have been fulfilled.  

that 

Where these forms of funding are used, the Member State may apply its accounting 
practices  to  support  operations.  For  the  purpose  of  this  regulation  and  Regulation 
(EU)  No  […]  these  accounting  practices  and  the  resulting  amounts  shall  not  be 
subject to audit by the audit authority or by the Commission.  

2. 

In accordance with Article 57(1)(d) and (4)(d) of Regulation (EU) No […], a flat rate 
of  up  to  40 %  of  the  eligible  direct  staff  costs  may  be  used  in  order  to  cover  the 
remaining eligible costs of an operation.  

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3. 

4. 

1. 

2. 

1. 

2. 

Grants reimbursed on the basis of the eligible cost of operations, determined in the 
way of flat-rate financing, standard scales of unit costs and lump sums as referred to 
in  Article  57(1)  of  Regulation  (EU)  No  […]  may  be  calculated  on  a  case-by-case 
basis by reference to a draft budget agreed ex ante by the Managing Authority, where 
the public support does not exceed EUR 100 000. 

Grants for which the public support does not exceed EUR 50 000 shall take the form 
of  lump  sums  or  standard  scales  of  unit  costs  in  accordance  with  paragraph  1  or 
Article  57  of  Regulation  (EU)  No  […],  except  for  operations  receiving  support 
scheme. 
within 

framework 

state 

the 

aid 

of 

a 

Article 15 
Financial instruments 

Pursuant to Article 32 of Regulation (EU) No […], the ESF may support actions and 
policies  falling  within  its  scope  through  financial  instruments,  such  as  risk-sharing 
schemes, equity and debt, guarantee funds, holding funds, and loan funds.  

ESF may be used to enhance access to capital markets for public and private bodies 
at  national  and  regional  levels  implementing  actions  and  policies  falling  within  the 
scope  of  the  ESF  and  the  operational  programme  through  ‘ESF  policy-based 
guarantees’ subject to Commission approval. 

The  Commission  shall  be  empowered  to  adopt  delegated  acts  in  accordance  with 
Article 16 to define the specific rules and conditions for the applications of Member 
States,  including  ceilings,  for  policy-based  guarantees,  ensuring  in  particular  that 
their use does not lead to excessive levels of debt of public bodies.  

Each  application  shall  be  assessed  by  the  Commission  and  the  Commission  shall 
approve  each  'ESF  policy-based  guarantee'  provided  it  falls  within  the  remit  of  the 
Operational  Programme  referred  to  in  Article  87  of  Regulation  (EU)  No  […]  and 
provided it is in accordance with the established specific rules and conditions. 

Chapter IV 

Delegations of power and final provisions 

Article 16 
Exercise of delegation 

The  power  to  adopt  delegated  acts  is  conferred  on  the  Commission  subject  to  the 
conditions laid down in this Article. 

The delegation of power referred to in Article 14(1) and 15(2) shall be conferred for 
an indeterminate period of time from 1 January 2014. 

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3. 

4. 

5. 

The  delegation  of  powers  referred  to  in  the  first  subparagraph  of  Article  14(1)  and 
the  second  subparagraph  of  Article  15(2)  may  be  revoked  at  any  time  by  the 
European Parliament or by the Council. A revocation decision shall put an end to the 
delegation  of  the  power  specified  in  that  decision.  It  shall  take  effect  the  day 
following  the  publication  of  the  decision  in  the  Official  Journal  of  the  European 
Union  or  at  a  later  date  specified  therein.  It  shall  not  affect  the  validity  of  any 
delegated acts already in force. 

As soon as it adopts a delegated act, the Commission shall notify it simultaneously to 
the European Parliament and to the Council. 

A delegated act adopted pursuant to the first subparagraph of Article 14(1) and the 
second subparagraph of Article 15(2) shall enter into force only if no objection has 
been expressed either by the European Parliament or by the Council within a period 
of 2 months of notification of that act to the European Parliament and the Council, or 
if,  before  the  expiry  of  that  period,  the  European  Parliament  and  the  Council  have 
both  informed  the  Commission  that  they  will  not  object.  That  period  shall  be 
extended by 2 months at the initiative of the European Parliament or the Council. 

Article 17 
Repeal 

Regulation (EC) No 1081/2006 is hereby repealed with effect from 1 January 2014. 

References to the repealed Regulation shall be construed as references to this Regulation. 

Article 18 
Review clause 

The European Parliament and the Council shall review this Regulation by 31 December 2020 
in accordance with Article 164 of the Treaty. 

Article 19 
Entry in force 

This  Regulation  shall  enter  into  force  on  the  day  following  that  of  its  publication  in  the 
Official Journal of the European Union. 

This Regulation shall be binding in its entirety and directly applicable in all Member States. 

Done at Brussels,  

For the European Parliament 
The President 

For the Council 
The President 

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ANNEX 
Common output and result indicators for ESF investments 

(1) 

Common output indicators on participants 

Participants20  refer  to  persons  benefiting  directly  from  an  ESF  investment  and  who  can  be  identified 
and asked for their characteristics, and for whom specific expenditure is earmarked. Other beneficiaries 
should not be counted as participants. 

•  unemployed, including long-term unemployed* 

•  long-term unemployed* 

•  inactive* 

•  inactive, not in education or training* 

•  employed, including self-employed* 

•  below 25 years* 

•  above 54 years* 

•  with primary (ISCED 1) or lower secondary education (ISCED 2)* 

•  with upper secondary (ISCED 3) or post-secondary education (ISCED 4)* 

•  with tertiary education (ISCED 5 to 8)* 

•  migrants,  people  with  a  foreign  background,  minorities  (including  marginalised 

communities such as the Roma)** 

•  disabled** 

•  other disadvantaged** 

The total number of participants is calculated automatically on the basis of the output indicators. 

20 

The  data  processing  arrangements  put  in  place  by  the  Member  States  must  be  in  line  with  the  provisions  of 
Directive 95/46 of 24 October 1995 on the protection of individuals with regard to the processing of personal data 
and on the free movement of such data, in particular Articles 7 and 8 thereof. 
Data reported under the indicators marked with * are personal data according to Article 7 of the above Directive. 
Their processing is necessary for compliance with the legal obligation to which the controller is subject (Article 
7(c)). For the definition of controller, see Article 2 of the above Directive. 
Data reported under the indicators marked with ** are a special category of data according to Article 8 of the above 
Directive.  Subject  to  the  provision  of  suitable  safeguards,  Member  States  may,  for  reasons  of  substantial  public 
interest, lay down exemptions in addition to those laid down in Article 8(2), either by national law or by decision 
of the supervisory authority (Article 8(4)). 

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These  data  on  participants  entering  an  ESF  supported  operation  are  to  be  provided  in  the  annual 
implementation reports as specified in Article 44(1) and (2) and Article 101(1) of Regulation (EU) No 
[…]. All data are to be broken down by gender. 

(2) 

Common output indicators for entities 

•  number of projects fully or partially implemented by social partners or non-governmental 

organisations 

•  number of projects targeting public administrations or public services  

•  number of micro, small and medium-sized enterprises supported 

These data are to be provided in the annual implementation reports as specified in Article 44(1) and (2) 
and Article101(1) of Regulation (EU) No […]. 

(3) 

Common immediate result indicators on participants 

•  inactive participants newly engaged in job searching upon leaving 

•  participants in education/training upon leaving 

•  participants gaining a qualification upon leaving 

•  participants in employment upon leaving 

These data are to be provided in the annual implementation reports as specified in Article 44(1) and (2) 
and Article 101(1) of Regulation (EU) No […]. All data are to be broken down by gender. 

(4) 

Common longer-term result indicators on participants 

•  participants in employment 6 months after leaving 

•  participants in self-employment 6 months after leaving 

•  participants with an improved labour market situation 6 months after leaving 

These  data  are  to  be  provided  in  the  annual  implementation  reports  as  specified  in  Article  44(4)  of 
Regulation  (EU)  No  […].  They  are  to  be  collected  based  on  a  representative  sample  of  participants 
within each priority axis. Internal validity of the sample should be ensured in such a way that the data 
can be generalised at the level of priority axis. All data are to be broken down by gender. 

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