COMMUNICATION FROM THE COMMISSION TO THE EUROPEAN PARLIAMENT, THE COUNCIL, THE EUROPEAN ECONOMIC AND SOCIAL COMMITTEE AND THE COMMITTEE OF THE REGIONS Building an open and secure Europe: the home affairs budget for 2014-2020
Date: 2011-11-15
Institutions: European Commission
Subjects: Community budget, area of freedom, security and justice, economic priority, fight against crime, fund (EU), immigration, public safety, right of asylum

EUROPEAN COMMISSION 

Brussels, 15.11.2011 
COM(2011) 749 final 

COMMUNICATION FROM THE COMMISSION TO THE EUROPEAN 
PARLIAMENT, THE COUNCIL, THE EUROPEAN ECONOMIC AND SOCIAL 
COMMITTEE AND THE COMMITTEE OF THE REGIONS 

Building an open and secure Europe: the home affairs budget for 2014-2020 

{SEC(2011) 1358 final} 
{SEC(2011) 1359 final} 

 
 
 
 
  
 
1. 

HOME AFFAIRS FUNDING 

1.1. 

Home affairs funding in the wider context 

The  creation  of  an  area  of  freedom,  security  and  justice  is  a  cornerstone  of  the  European 
project.  Home  affairs  policies  contribute  to  this  project  by  shaping  a  Europe  where  persons 
can  enter,  move  and  live  freely,  confident  that  their  rights  are  respected  and  their  security 
assured. An integrated approach to migration and security can bring benefits to the EU and its 
non-EU partners. The growing importance of home affairs policies has been confirmed by the 
Stockholm  Programme1  and  its  Action  Plan2. This  is  also one  of the areas which have seen 
important  changes  under  the  Lisbon  Treaty3.  In  the  field  of  internal  security,  the 
Commission's  communication  on  the  Internal  Security  Strategy  in  Action4  identifies  clear 
strategic  goals  and  provides  a  basis  for  concerted  action  to  address  common  security 
challenges in the years to come. Through cooperation and solidarity at EU level and with non-
EU  countries,  substantial  progress  has  been  made  towards  creating  a  more  open  and  secure 
Europe.  

In spite of this progress, Europe still faces many challenges. A comprehensive, coherent and 
effective response is needed to the challenge of migration. Citizens also expect the Union to 
contribute  to  providing  security  by  combating  organised  crime,  terrorism  and  other  threats. 
The  EU  budget  plays  an  essential  role  in  turning  the  Union's  home  affairs  objectives  into 
tangible results. The creation of an area of freedom, security and justice is achieved by means 
of a range of 'tools' including spending programmes, networks, large-scale IT systems and EU 
agencies.  

In  its  Communication  of  29  June  2011  on  the  next  Multiannual  Financial  Framework5,  the 
Commission  proposed  a  home  affairs  budget  of  €10.9  billion  (cur rent  prices)  for  the  period 
2014-2020 which represents a continuation of the level of spending foreseen at the end of the 
2007-2013 financial framework and remains below 1% of the overall EU budget. Building on 
evaluation results and stakeholder consultation, the design of the next Multiannual Financial 
Framework is an opportunity to better align spending at EU level with the Union's strategic 
policy  objectives.  Crucially,  it  is  also  a  chance  to  improve  and  simplify  the  way  funding  is 
delivered. This Communication sets out how the Commission has grasped these opportunities 
in the home affairs area. 

1.2. 

A look ahead: challenges in the home affairs policy area 

Over  the  next  decades,  the  Union  will  continue  to  face  important  challenges  in  the  area  of 
home affairs. It will need to fight against trafficking in human beings and to properly address 
irregular migration. At the same time, the Union must continue to show solidarity with those 
in  need  of  international  protection.  The  completion  of  a  more  protective  and  efficient 
Common European Asylum System which reflects our values remains a priority.  

1 
2 
3 
4 
5 

Council document 17024/09 of 1-2 December 2009 
COM(2010)171 final of 20 April 2010 
OJ 2008 C115 of 9 May 2008 
COM(2010)673 final of 22 November 2010 
COM(2011)500 final of 29 June 2011 

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Given  demographic  changes,  structural  changes  in  the  labour  markets  and  patterns  of 
competition  for  skills,  a  forward-looking  legal  immigration  and  integration  policy  will  be 
crucial  for  enhancing  the  EU's  competitiveness  and  social  cohesion,  enriching  our  societies 
and  creating  opportunities  for  all.  It  should  be  seen  in  the  context  of  the  seven  flagship 
initiatives  presented  in  the  Europe  2020  Strategy6  which  aim  to  help  the  EU  overcome  the 
current financial and economic crisis and achieve smart, sustainable and inclusive growth.  

Ensuring a safe and secure environment is necessary and beneficial to the economic, cultural 
and social growth of the EU. The EU has a decisive role to play, whether it is by addressing 
the  threats  of  serious  and  organized  crime,  cybercrime  and  terrorism,  and  by  ensuring  the 
management of EU's external borders or by responding swiftly to emerging crises caused by 
man-made  or  natural  disasters.  In  the  era  of  globalisation,  where  threats  are  growing  and 
increasingly have a transnational dimension, no Member State can respond effectively on its 
own.  A  coherent  and  comprehensive  European  answer  is  needed  to  ensure  that  law 
enforcement authorities can work effectively across borders and jurisdictions.  

While  law  enforcement  measures  are  necessary  to  guarantee  the  security  of  Europe,  it  is  of 
paramount  importance  that  such  measures  respect  fundamental  rights  as  enshrined  in  the 
Charter of Fundamental Rights of the European Union.  

Cooperation  with  non-EU  countries  and  international  organisations  is  crucial  to  achieving 
these goals. Recent events in Northern Africa have demonstrated how important it is for the 
EU  to  have  a  comprehensive  and  coordinated  approach  to  migration,  borders  and  security. 
The  increasingly  important  external  dimension  of  the  EU's  home  affairs  policies  must 
therefore be reinforced, in full coherence with the Union's foreign policy. 

1.3. 

The added value of EU intervention 

The management of migration flows and security threats present challenges which cannot be 
dealt with by the Member States acting alone. The EU budget is one of the Union's key tools 
to  tackle  these  challenges.  It  offers  value  added  both  by  addressing  the  unbalanced  calls  on 
different  Member  States  in  a  Union  without  internal  borders;  and  by  financing cross-border 
actions more efficiently than is possible at purely national level. 

Some  Member  States  face  a  particularly  heavy  pressure,  for  example,  due  to  their  specific 
geographic  situation  and  the  length  of  the  external  borders  of  the  Union  that  they  have  to 
manage. The abolition of internal border controls must be accompanied by measures for the 
effective control and surveillance of the Union's external borders. The principle of solidarity 
and  fair  sharing  of  responsibilities  between  Member  States  is  therefore  at  the  heart  of  the 
common policies on asylum, immigration and external borders. The EU budget provides the 
means to address the  financial implications  of this  principle.  In the  area  of  security, serious 
and organised crime, terrorism and other security-related threats are increasingly cross-border 
in nature. Transnational co-operation and coordination between law enforcement authorities is 
essential to successfully prevent and fight these crimes, for example through the exchange of 
information,  joint  investigations,  common  training  activities,  interoperable  technologies  and 
common threat and risk assessments.  

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Dealing with migration flows, the management of the EU's external borders and the security 
of the EU requires substantial resources and capabilities from the Union, as well as from the 
Member States. Improved operational co-operation and coordination involving the pooling of 
resources  in  areas  like  training  and  equipment  creates  economies  of  scale  and  synergies 
thereby ensuring a more efficient use of public funds and reinforcing solidarity, mutual trust 
and responsibility sharing for common EU policies among Member States. This is particularly 
relevant  in  the  area  of  security,  where  financial  support  for  all  forms  of  cross-border  joint 
operation  is  essential  to  enhance  cooperation  between  police,  customs,  border  guards  and 
judicial authorities.  

In  relation  to  the  external  dimension  of  home  affairs,  the  adoption  of  measures  and  the 
pooling  of  resources  at  EU  level  will  increase  significantly  the  EU  leverage  necessary  to 
convince  third  countries  to  engage  with  the  Union  on  those  migration  and  security  related 
issues which are primarily in the interest of the Union and the Member States. 

2. 

FUNDING PRIORITIES 

2.1. 

The future home affairs budget at a glance 

On  29  June  2011,  the  Commission  presented  its  proposal  on  the  Multiannual  Financial 
Framework.  In  the  area  of  home  affairs,  the  Commission  proposed  an  overall  budget  of 
€10,911 million (current prices) for the period 2 014-2020, a considerable increase compared 
to  the  average  over  the  current  Multiannual  Financial  Framework  (€6,449  million  for  the 
period  2007-2013,  current  prices).  This  figure  covers  not  only  spending  on  financial 
programmes  but  also  funding  for  large-scale  IT  systems  and  the  EU  agencies  active  in  the 
home affairs area7.  

Home affairs budget 2014-2020 

Asylum and Migration Fund  
including Resettlement Programme and European Migration Network 
Internal Security Fund  
including new large-scale IT systems 
Existing large-scale IT systems and IT Agency 
Subtotal 
Agencies  
(Europol, Frontex EASO, Cepol and EMCDDA) 
Total 

2.2. 

Two Funds to support home affairs policies 

€ million 
(current prices) 

3,869 

4,648 

822 
9,339 

1,572 

10,911 

The  Commission  proposes  to  simplify  the  structure  of  the  home  affairs  programmes  by 
reducing the number of Funds to two: an Asylum and Migration Fund and an Internal Security 
Fund. Two comprehensive financing frameworks are needed to support the very different but 
complementary  key  policies  of  migration  and  security  as  they  will  be  at  the  heart  of  home 

7 

European  Police  Office  (EUROPOL),  European  Police  College  (CEPOL),  European  Agency  for  the 
Management  of  Operational  Cooperation  at  the  External  Borders  (FRONTEX),  European  Asylum 
Support Office (EASO), European Monitoring Centre for Drugs and Drug Addiction (EMCDDA) 

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affairs  also  in  the  period  beyond  2013.  The  legal  architecture  of  the  Funds  is  explained  in 
Annex 1. 

With  an  overall  budget  of  €3,869  million  (current  prices),  the  Asylum  and  Migration  Fund 
will focus on people flows and the integrated management of migration. The Internal Security 
Fund  will  have  a  global  budget  of  €4,648  milli on  (current  prices)  to  support  the 
implementation of the Internal Security Strategy8 and a coherent and comprehensive approach 
to law enforcement cooperation, including the management of the EU's external borders. 

Both  Funds  will  have  an  external  dimension  to  support  actions  in  and  in  relation  to  third 
countries which cater primarily for EU interests and objectives, have a direct impact in the EU 
and its Member States and ensure continuity with activities implemented in the territory of the 
EU. This funding will be designed and implemented in coherence with EU external action and 
foreign policy. It is not intended to support actions which are development oriented and will 
complement,  when  appropriate,  the  financial  assistance  provided  through  external  aid 
instruments. While those instruments either support beneficiary countries development needs 
or  support  general  EU  political  interests  with  strategic  partners,  home  affairs  funds  will 
support  specific  actions  in  third  countries  in  the  interest  of  EU  migration  policy  and  EU 
internal  security  objectives.  They  will  therefore  fill  a  specific  gap  and  will  contribute  to 
completing the toolbox at the disposal of the Union. 

Each Fund will also provide for a rapid response in the event of emergencies so that the EU 
can respond quickly and effectively to migration or security-related crises.  

2.2.1.  Asylum and Migration Fund 

The  Asylum  and  Migration  Fund  will  focus  on  the  integrated  management  of  migration 
flows  covering  different  aspects  of  the  common  EU  asylum  and  immigration  policy.  It 
will support actions in relation to asylum, legal migration and the integration of third-country 
nationals,  and  return  operations.  Funding  for  these  activities  is  currently  covered  by  three 
separate Funds, the European Refugee Fund, the European Fund for the Integration of Third-
Country Nationals and the European Return Fund respectively.  

In  the  area  of  asylum,  the  priority  is  the  development  of  the  Common  European  Asylum 
System  (CEAS)  by  ensuring  the  efficient  and  uniform  application  of  the  EU  acquis  on 
asylum.  Financial  support  will  therefore  be  provided  for  measures  implemented  to  improve 
the reception conditions of asylum seekers and asylum procedures in the Member States.  

Efforts also need to be increased to set-up a more effective system of responsibility-sharing 
between  Member  States  and  with  third  countries.  The  Fund  will  therefore  support  the 
establishment  of  a  Union  Resettlement  Programme  for  which  an  amount  of  €560  million 
has been earmarked. The aim of the Programme is twofold: to provide durable solutions to an 
increased number of refugees by supporting their transfer from outside EU territory and their 
establishment in an EU Member State; and to maximise the strategic impact of resettlement 
through  a  better  targeting  of  those  persons  who  are  in  greatest  need  of  resettlement  on  the 
basis of common EU resettlement priorities. These priorities will be established for two year-
periods with the involvement of the European Parliament and the Council and in cooperation 
with  the  United  Nations  High  Commissioner  for  Refugees  (UNHCR)  and  the  European 

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Asylum  Support  Office.  The  Fund  will  also  support  the  transfer  of  beneficiaries  of 
international protection within the EU ('intra-EU relocation'). To this end, financial incentives 
(lump sums) will be provided to those Member States that commit to resettling or relocating a 
number  of  persons  through  a  biennial  'pledging'  exercise  on  the  basis  of  common  EU 
resettlement  priorities.  In  this  context,  the  Fund  will  also  contribute  to  strengthening  third 
countries' capacities, in particular in the framework of Regional Protection Programmes. 

In  the  area  of  the  integration  of  third-country  nationals,  funding  has  so  far  supported 
Member States in setting-up national strategies for the integration of third-country nationals 
or  in  strengthening  the  national  strategies  already  in  place.  In  the  next  programming  phase, 
focus  will  be  on  a  local,  more  targeted  approach,  in  support  of  consistent  strategies 
specifically designed to promote the integration of third-country nationals at local or regional 
level  such  as  civic  orientation  courses,  participation  in  social  and  civic  life,  equal  access  to 
services  etc.  Particular  attention  will  be  paid  to  the  specific  needs  of  the  most  vulnerable 
groups  of  migrants  such  as  refugees,  unaccompanied  minors,  elderly  people  and  victims  of 
trafficking.  In  addition,  pre-admission  measures  implemented  in  the  countries  of  origin  will 
also be supported as a crucial means of facilitating legal migration to the EU and promoting 
integration at an early stage. The support provided by the Asylum and Migration Fund for the 
integration  of  third-country  nationals  and  actions  by  the  European  Social  Fund  for  the 
improvement of migrant's skills and labour market integaration will be complementary. 

In  order  to  facilitate  legal  migration,  the  Fund  will  also  provide  financial  support  to  third 
countries  for  the  implementation  of  measures  in  the  framework  of  Mobility  Partnerships 
taking place either in the EU or in third countries and aiming at pursuing primarily EU needs 
and priorities. 

In relation to return, focus will shift from capacity building for return management to support 
for sustainable returns, assisted voluntary return programmes (without excluding forced return 
operations)  and  reintegration  measures,  as  well  as  for  improving  the  treatment  of  the  target 
groups  during  the  pre-return  process,  in  particular  the  detention  conditions.  Readmission 
agreements are an important tool for an efficient management of migration flows, in particular 
in  fighting  irregular  immigration,  and  an  important  component  of  the  EU  return  policy, 
because  they  facilitate  the  swift  return  of  irregular  migrants.  Funding  will  therefore  be 
available  to  strengthen  third  countries'  capacities  to  readmit  irregular  migrants,  either  in 
terms of reintegrating their own nationals or onward readmission of third-country nationals to 
their countries of origin.  

The first lessons drawn from the events in the Southern Mediterranean demonstrate that the 
EU  needs  to  be  able  to  respond  rapidly  and  effectively  to  situations  of  crisis  and  sudden 
arrivals  of  a  high  number  of  persons,  including  mixed  flows.  The  Fund  includes  financial 
resources  which  can  be  triggered  quickly  in  response  to  different  types  of  migration-related 
crises.  The  widening  of  the  scope  of  the  Emergency  Aid  Reserve,  if  agreed  between  the 
Commission,  European  Parliament  and  Council  in  the  context  of  the  draft  Interinstitutional 
Agreement on cooperation in budgetary matters and on sound financial management9, could 
also add financial means in case of such emergencies. 

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2.2.2. 

Internal Security Fund 

The  Internal  Security  Fund10  responds  to  the  call  of  the  Stockholm  Programme  for  the 
creation  of  a  Fund  to  support  the  implementation  of  the  Internal  Security  Strategy  and  a 
coherent  and  comprehensive  approach  to  law  enforcement  cooperation,  including  the 
management  of  the  Union's  external  borders.  The  activities  currently  supported  by  the 
Specific Programmes ISEC (Prevention of and the fight against Crime) and CIPS (Prevention, 
Preparedness  and  consequence  management  of  Terrorism  and  other  Security-related  risks) 
will  therefore  be  covered  by  the  Internal  Security  Fund,  as  well  as  those  supported  by  the 
External Borders Fund.  

In  relation  to  internal  security,  the  Fund  will  provide  financial  support  for  police 
cooperation, crime prevention and the fight against serious cross-border crime, as well as for 
crisis  management  and  the  protection  of  EU  critical  infrastructure.  The  Fund  will  help  to 
combat  serious  and  organised  crime  in  its  many  forms  by  strengthening  practical  law 
enforcement  cooperation  through,  for  example,  financial  support  for  joint  operations  of  law 
enforcement  authorities  (including  Joint  Investigation  Teams),  the  pooling  of  resources,  the 
exchange of information and best practices or training for the law enforcement community.  

Funding will also be provided for the development of common tools, including interoperable 
IT  systems  and  secure  communication  channels  at  Member  State  level  necessary  for  law 
enforcement  cooperation.  In  order  to  combat  the  growing  threat  of  cybercrime,  financial 
support  will  be  provided  for  the  setting  up  of  a  Cybercrime  Centre  through  which  Member 
States  and  EU  institutions  will  be  able  to  build  operational  and  analytical  capacity  for 
investigations  and  cooperation  with  international  partners.  In  addition,  funding  is  made 
available  for  particularly  innovative  projects  which  aim  at  developing  new  methods  or 
technologies,  especially  the  testing  and  validating  of  the  outcome  of  EU  funded  security 
research. This will help close the gap between the research results achieved with support from 
the 8th Framework Programme and their serial application in practice for the benefit of the law 
enforcement community. 

Financial  support  will  also  be  provided  for  critical  infrastructure  protection  and  for 
enhancing the capacity of Member States and the EU to manage terrorism and other security 
related risks and crisis situations. The Fund will also support measures cutting off terrorists’ 
access to funding, including through the setting-up of a European Terrorist Finance Tracking 
System  (European  TFTS)11,  explosives  and  Chemical,  Biological,  Radiological  and  Nuclear 
(CBRN) substances. Funding will also be available to promote actions to address the issue of 
violent radicalisation and recruitment and to support victims of terrorism. 

Support  will  also  be  provided  for  the  external  dimension  of  internal  security  policy  for 
example  to  cooperate  with  third  countries  on  issues  directly  affecting  the  Union  such  as 
trafficking in human beings, drugs and weapons, dismantling international criminal networks, 
preventing terrorism and other security-related risks. 

Moreover, in the area of internal security, there may be incidents or newly emerging threats 
which  require  a  quick  and  effective  response  at  EU  level,  for  example  terrorist  attacks  or 
large-scale cyber-attacks. An emergency response mechanism has therefore been built into 

10 

11 

For the reasons set out in Annex 1, the Internal Security Fund is set up through two separate instruments 
which jointly constitute the Fund. 
COM(2011)429 final of 13 July 2011 

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the Internal Security Fund to allow the EU to release funding for a rapid initial intervention in 
collaboration  with  the  Member  States  concerned.  This  mechanism  will  complement  the 
funding  available  under  the  EU  Solidarity  Fund,  created to  come to the aid of any Member 
State in the event  of a major  natural or  man-made disaster, and the funding  under  the Civil 
Protection Financial Instrument which deals with natural and man-made disasters (accidents).  

In  the  area  of  external  borders,  it  is  time  to  further  support  with  the  EU  budget  Member 
States' efforts on border control and to do this in a more consistent and systematic way , based 
on the notion of border control as a 'public service' carried out by the Member States in the 
interest  of  and  on  behalf  of  the  EU.  The  Fund  will  provide  operating  support  to  help 
compensate the efforts made by Member States to secure the external borders of the Union. 
Support  will  also  be  available  for  the  reinforced  implementation  of  the  Schengen  acquis, 
consular co-operation on visa (e.g. increasing local border traffic and creating common visa 
application centres) and the further development of an integrated border management system 
by  improving,  replacing  and  upgrading  equipment/infrastructure  for  visa  and  borders 
according to new technological developments. This would in particular include enhancing the 
operational capabilities of the Member States within the framework of EUROSUR standards.  

In relation to the external dimension of border management, the Fund will provide targeted 
support  to  enhance  cooperation  with  third  countries  and  to  reinforce  certain  key  aspects  of 
their border surveillance and management capabilities in areas which are of particular interest 
and  which  have  a  direct  impact  in  the  EU.  For  example,  in  the  framework  of  EUROSUR, 
funding  could  be  made  available  to  link  third  countries'  systems  and  infrastructures  to  the 
EU's in order to allow for the regular exchange of information.  

Large-scale IT systems: a particular challenge 

The  large-scale  IT  systems  which  support  the  management  of  migration  flows  across  the 
external borders of the Union bring a high EU added value. However, experience has shown 
that the development and management of such system can be particularly challenging. In its 
June  2011  Communication,  the  Commission  proposed  to  set  aside  a  separate  envelope  of 
€822  million  (current  prices)  for  the  management  of  existing  large  scale-IT  systems 
(Schengen Information System II, Visa Information System and Eurodac). The management 
of  these  systems  will  be  transferred  from  the  Commission  to  the  future  IT  Agency  when  it 
begins operations in 2012.  

In relation to new IT systems, a specific programme with a budget of €1.1 billion (current 
prices) is created within the Internal Security Fund for the development by the Commission 
and  in  the  Member  States  of  future  IT  systems,  such  as  the  Entry/Exit  System  and  the 
Registered  Traveller  Programme  (the  'smart  borders'  package)12.  Development  of  these  new 
systems  will  not  start  until  the  European  Parliament  and  the  Council  have  adopted  the 
systems'  legal  basis  setting  out  clearly  their  specifications.  Therefore  no  expenditure  is 
expected  until  2015,  when  the  Commission  envisages  to  entrust  the  development  of  the 
systems to the IT Agency. A multiannual strategic framework will set out the main actions to 
be  carried  out  and  their  corresponding  budget  as  well  as  a  timetable  for  implementation.  In 
order  to  achieve  cost  savings  and  to  ensure  technical  consistency  and  a  smooth 
implementation,  the  Fund  will  cover  the  costs  for  the  development  of  both  the  central  and 
national  components  of  the  new  systems.  When  these  systems  become  operational,  support 

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for operational costs at central level would be transferred to  the IT Agency. Member  States 
will  be  able  to  use  the  operating  support  under  their  multiannual  programmes  to  cover  the 
operational cost of these systems at national level.  

3. 

IMPROVED DELIVERY OF FUNDING 

3.1. 

Programming and management of home affairs funding: focus on flexibility and 
results 

The bulk of home affairs funding will be implemented under the shared management method, 
i.e.  in  partnership  with  the  Member  States.  Shared  management  will  therefore  become  the 
main delivery mechanism for all home affairs policies, including internal security. However, 
this will not be a mere continuation of the shared management system currently in place but a 
move towards a more results-oriented and simplified shared management.  

Direct  and  indirect  management  will  be  maintained  for  technical  assistance,  specific 
transnational or particularly innovative projects and for most of the actions in and in relation 
to third countries, as well as to support non-state actors, to promote events and studies and to 
release funding quickly in the event of emergencies.  

During  the  public  consultation  on  the  future  of  home  affairs  funding,  stakeholders  raised 
demands  for  simplification  and  easier  access  to  funding.  These  demands  were  taken  into 
account  in  the  design  of  the  new  home  affairs  Funds.  In  its  resolution  of  8  June  2011,  the 
European  Parliament  welcomed  the  Commission's  intention  to  reduce  the  number  of  home 
affairs  financial  instruments  to  a  two-Fund  structure  and  where  possible  to  move  to  shared 
management,  believing  that  this  approach  would  contribute  significantly  to  the  increased 
simplification, rationalisation, consolidation and transparency of home affairs funding13.  

Robust monitoring and evaluation arrangements are essential in order to be able to measure 
the progress made in the implementation of the Funds. However, migration and security are 
areas  which  do  not  lend  themselves  to  the  definition  and  use  of  precise  indicators  because 
they are essentially driven by external factors or difficult to monitor. For example, the number 
of asylum seekers arriving in the EU depends on political instability in third countries and it is 
difficult to measure the extent of irregular immigration due to its clandestine nature. Spending 
levels  for  migration  and  security  should  therefore  not  be  made  dependent  exclusively  on 
numerical  data  which  do  not  necessarily  reflect  the  situation  on  the  ground  or  are  driven 
mainly  by  external  factors.  For  this  reason,  the  evaluation  and  monitoring  arrangements 
proposed  for  the  two  Funds  are  based  on  both  quantitative  and  qualitative  assessments 
(including risk assessments) which take into account a range of indicators. 

3.1.1. 

Shared management 

For  the  resources  implemented  under  shared  management  a  flexible  programming  and 
reporting  cycle  is  needed  to  ensure  that  the  Member  States'  national  programmes  are  fully 
aligned with EU level priorities and objectives.  

The Commission proposes to move from the current system of annual programming within a 
multiannual  framework  in  line  with  broadly  defined  political  priorities  to  multiannual 

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programming preceded by a 'policy dialogue'. At the start of the next Multiannual Financial 
Framework, the Commission will initiate a single senior-level policy dialogue on home affairs 
funding  with  the  individual  Member  States  and,  in  the  case  of  some  parts  of  the  Internal 
Security Fund, the Schengen associated states, prior to the negotiations on their multiannual 
programmes.  By  involving  the  central  responsible  authority  of  each  participating  State  and 
focusing on how it will use EU funding to contribute to achieving all EU home affairs policy 
objectives,  the  policy  dialogue  will  lead  to  a  better  focus  on  objectives,  results  and  impacts 
(rather than inputs and outputs). The Commission will inform the European Parliament of the 
outcome of the dialogue.  

As a rule, the distribution of funding between Member States will be based on a combination 
of  a  basic  and  a  flexible  amount.  The  basic  amount,  calculated  on  the  basis  of  objective 
criteria and Member States' needs, will be allocated to the Member States at the start of the 
next  Multiannual  Financial  Framework.  This  will  ensure  continuity  of  funding  and  give 
Member States the predictability they need to plan their national programmes adequately. A 
flexible  amount  will  be  added  to  the  basic  amount  depending  on  each  Member  State's 
willingness  to  finance  under  its  national  programme  actions  that  respond  to  specific  EU 
priorities (to be distinguished from  the  'Union  actions'  under  centralised  management).  This 
funding  would  be  allocated  in  two  phases,  during  the  policy  dialogue  at  the  start  of  the 
Multiannual Financial Framework and following a mid-term review in 2017. The envelope set 
aside for resettlement and/or relocation activities under the Asylum and Migration Fund will 
be distributed between the Member States on the basis of a biennial pledging exercise. 

Taking  into  account  the  outcome  of  these  policy  dialogues,  the  national  multiannual 
programmes will describe the baseline situation; lay down the general objectives the Member 
States are seeking to achieve in the home affairs area and the specific objectives they intend to 
achieve  with  the  resources  of  the  Fund.  For  those  objectives,  the  programme  will  identify 
targets  and  examples  of  key  actions.  In  addition,  a  financial  plan  will  indicate  how  the 
allocated resources are to be committed and spent over the entire seven year period.  

In  order  to  assess  progress,  the  Member  States  will  have  to  report  annually  on  the  results 
achieved  under  their  programmes  and  financial  management.  The  policy  dialogue  will  be 
resumed in the event a Member State requests changes to its multiannual programme. A mid-
term review in 2017 will be the occasion to re-examine the situation in the Member States, the 
delivery of the programmes so far, and to allocate new resources for the last three years of the 
next Multiannual Financial Framework (2018-2020). These additional resources will be made 
available  taking  into  account  risks/needs  assessments  and/or  changing  EU  priorities.  The 
Commission  will  inform  the  European  Parliament  of  significant  changes  to  the  multiannual 
programmes and of progress in the implementation of the programmes in general. 

The  management  and  control  systems  to  be  set  up  by  the  participating  States  will  be 
simplified.  In  line  with  the  revised  Financial  Regulation,  they  will  aim  to  strengthen 
accountability  by  assigning  responsibility  for  financial  management  to  one  authority,  to 
reduce  the  number  of  layers  of  control  and  to  contribute  to  providing  assurance  on  the 
accounts, the proper functioning of the system, the legality and regularity of transactions and 
respect of the principle of sound financial management.  

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3.1.2.  Centralised management (direct and indirect) 

The  funding  that  will  be  channelled  through  the  Member  States’  national  multiannual 
programmes  will  be  complemented  by  appropriations  earmarked  for  policy-driven  activities 
to be managed under direct and indirect management.  

Eligible actions are defined broadly in  order to provide for a range of tools for law making 
and policy coordination. The so-called 'Union Actions' will provide support for transnational 
actions,  particularly  innovative  actions  and  most  of  the  actions  in  and  in  relation  to  third 
countries  (external  dimension).  Funding  will  also  be  available  for  emergency  actions 
implemented under a rapid emergency mechanism, to support networks such as the European 
Migration Network, technical assistance, studies and events, as well as the development under 
the  responsibility  of  the  Commission  of  new  IT  systems  for  the  management  of  migration 
flows across the external borders of the Union.  

These  allocations  will  be  treated  as  a  single  envelope,  to  be  spent  in  view  of  policy 
developments or the situation in Member States or third countries. It is therefore possible that 
in  a  given  year  the  full  envelope  will  be  spent  on  only  one  type  of  actions,  for  example 
emergency actions. 

At a time of an expected reduction in the human and administrative resources available to the 
Commission, far less recourse will be made to calls for proposals which are time-consuming 
and  labour  intensive.  In  order  to  ensure  flexibility  and  the  quick  and  efficient  delivery  of 
funding,  emergency  actions  and  'Union  Actions'  will  be  implemented  by  a  range  of  actors 
such  as  international  organisations  (contribution  agreements)  and  civil  society  organisations 
(framework  partnerships)  or  by  entrusting  specific  tasks  to  existing  EU  agencies  such  as 
Frontex, Europol and the EASO; the latter bearing in mind that agencies are also subject to 
staff reductions. 

4. 

WHAT CHANGES? THE MAIN INNOVATIONS 

Simplification  is  a  major  concern  of  stakeholders.  The  Stockholm  Programme  calls  for 
"better/easier access" of beneficiaries to home affairs funding. During the public consultation 
on  the  future  of  home  affairs  funding,  stakeholders  also  stressed  the  need  to  reduce 
administrative burden and simplify.  

Considerable efforts have therefore been made to ensure that the new Funds are designed to 
optimise  the  delivery  of  funding.  That  is  why  there  are  significant  differences  between  the 
architecture  and  regulatory  framework  of  the  new  Funds  and  the  set-up  of  the  current 
generation of home affairs spending programmes. The main innovations are:  

An Asylum and Migration Fund and an Internal Security Fund. Reducing the number of 
home  affairs  Funds  to  two  comprehensive  financing  frameworks  facilitates  an  integrated 
approach to spending on migration and security, making it easier to fund actions which are at 
present on the nexus between financial instruments. For example, due to the narrow definition 
of  the  target  groups  which  can  benefit  from  assistance,  support  for  the  improvement  of 
reception and detention centres is currently spread across the European Refugee Fund and the 
Return Fund, depending on the type of target group that will benefit from the improvements 
(asylum  seekers  or  those  awaiting  return).  By  bringing  support  for  such  measures  together 
under  a  single  Asylum  and  Migration  Fund,  synergies  can  be  created  and  ultimately, 

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economies  of  scale.  Reducing  the  number  of  spending  programmes  also  increases  the 
visibility of home affairs funding and therefore ensures that the impacts and added value of 
home affairs spending are properly appreciated. The actions funded by the home affairs Funds 
will  seek  full  coherence  with  other  EU  policies,  such  as  cohesion  policy  and  justice  and 
citizenship,  and  will  be  implemented  in  complementarity  with  the  financial  assistance 
provided through the EU instruments which support those policies.  

A  common  regulatory  framework.  A  shared  set  of  rules  on  programming,  reporting, 
financial  management,  controls  and  evaluation  will  generate  a  better  understanding  of  the 
rules  by  all  stakeholders  and  will  ensure  a  high  degree  of  coherence  and  consistency. 
Coherence is also reinforced by aligning the regulatory framework of the home affairs Funds 
with the revised Financial Regulation, its implementing rules and the rules that will apply to 
the  other  EU  instruments  under  shared  management,  in  particular  those  covered  by  the 
Common Strategic Framework.  

A policy dialogue for improved and more results-oriented shared management. Moving, 
under  shared  management,  to  multiannual  programming  with  a  senior-level  policy  dialogue 
will  ensure  that  the  Member  States'  national  programmes  are  fully  aligned  with  EU  policy 
objectives  and  priorities  and  focus  on  achieving  results and impacts. The discontinuation of 
annual  programmes  will  reduce significantly the administrative burden for the Commission, 
the  Member  States  and  the  beneficiaries.  The  distribution  of  appropriations  between  the 
Member States on the basis of a combination of a basic and flexible amount will reconcile the 
need for continuity and stability with the need for flexibility and adaptation to change. 

An external dimension. The external dimension components in each Fund will give the EU 
the means to pursue and achieve EU home affairs policy priorities and cater primarily for EU 
interests and objectives, supporting actions in third countries having a direct impact in the EU 
and its Member States. By ensuring continuity of financing, starting in the EU and continuing 
third countries and vice-versa, the internal and external aspects of migration management and 
internal security will be addressed more coherently for example in relation to the resettlement 
of  refugees,  implementation  of  readmission  agreements,  regional  protection  programmes,  as 
well as cooperation with third countries to fight against trafficking of human beings, prevent 
terrorism and reinforce their external borders. Except for some specific actions, in particular 
under  the  Asylum  and  Migration  Fund,  these  activities  will  be  implemented  by  the 
Commission  (centralised  management)  in  partnership  with  third  countries  and  key 
international  organisations  and  in  full  coherence  and  complementarity  with  the  Union's 
foreign  policy  and  the  funding  provided  through  EU  external  aid  programmes.  The  EU's 
external  aid  instruments  will  remain  the  main  source  of  funding  to  support  third  countries' 
capacity building in the areas of migration and security. 

A better use of the expertise of the home affairs agencies. The home affairs agencies play 
an important role in supporting practical co-operation between the Member States. In order to 
use  more  effectively  the  competences  and  expertise  of  the  home  affairs  agencies,  the 
Commission  envisages  making  use  of  the  possibility  offered  by  the  Financial  Regulation  to 
entrust the agencies with specific tasks in the framework of their missions, in accordance with 
their legal bases and in complementarity to their work programmes. This would be the case 
for actions which are of an ad hoc nature and where their successful implementation relies on 
the operational and technical expertise of the agencies. This is without prejudice to the overall 
staff reductions foreseen. 

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An effective and rapid response to crises. Recent events in Northern Africa illustrate how 
important it is for the EU to be able to react quickly and effectively to rapidly evolving crisis 
situations. A flexible emergency response mechanism in the two Funds will allow the EU to 
respond appropriately to mixed migratory flows and to crises in the area of internal security, 
such as terrorist attacks or cyber attacks. Fast-track procedures will ensure that funding can be 
released  in  a  matter  of  days.  Within  the  framework  of  shared  management,  Member  States 
also  have  the  possibility  of  including  a  reserve  amount  for  unforeseen  events  in  their 
multiannual programme. The Member  State  would  be required to notify the Commission of 
its  intention  to  use  this  reserve  but  no  revision  of  the  multiannual  programme  would  be 
required, thus increasing flexibility in the event of crises. 

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Annex 1 

LEGAL ARCHITECTURE OF THE TWO FUNDS 

Four legislative proposals are needed to establish, in accordance with the Treaty, two Funds 
which can cover the policy objectives of migration and security in a comprehensive manner, 
and  to  properly  underpin  the  operation  of  the  two  Funds  through  a  common  and  simple 
framework.  

Unlike the Asylum and Migration Fund, which is established through a single Regulation, the 
creation  of  the  Internal  Security  Fund  requires  the  adoption  of  two  legislative  instruments. 
This is due to the Treaty provisions that apply to the home affairs area, in particular different 
voting rules in the Council stemming from variable geometry pursuant to Protocols 19 (on the 
Schengen acquis), 21 (the position of the United Kingdom and Ireland in respect of the area of 
Freedom, Security and Justice) and 22 (on the position of Denmark, including in relation to 
Title V, part three of the Treaty). 

The  Internal  Security  Fund  is  therefore  created  as  a  comprehensive  financing  framework 
which is composed of two separate acts, setting up the different components of the Fund and 
laying down the objectives, the eligible actions and the envelopes of each component: 

• 

• 

A  Regulation  establishing,  as  part  of  the  Internal  Security  Fund,  the  instrument  for 
financial support for police co-operation, preventing and combating crime, and crisis 
management; 

A  Regulation  establishing,  as  part  of  the  Internal  Security  Fund,  the  instrument  for 
financial support for external borders and visa. 

The two Funds should function as much as possible with identical delivery mechanisms and 
have a structure that resembles as closely as possible that of other EU financial instruments 
under  shared  management,  in  particular  the  Funds  covered  by  the  Common  Strategic 
Framework. This is achieved through the creation of a horizontal instrument, applicable to the 
Asylum  and  Migration  Fund  and  the  two  components  of  the  Internal  Security  Fund  (either 
directly  or  through  cross-references),  laying  down  the  rules  on  programming,  management 
and  control,  financial  management  reporting  and  evaluation.  It  will  also  provide  for  the 
establishment of a common Committee.  

The  creation  of  this  common  instrument  presents  three  distinct  advantages.  First,  it  avoids 
duplication and reduces significantly the number of (otherwise identical parallel) provisions in 
the two Funds. Second, it achieves simplification and consistency because the same rules will 
apply  to  all  beneficiaries,  regardless  of  which  home  affairs  instrument  their  funding  comes 
from, thereby facilitating understanding of and access to the Funds. Third, the establishment 
of a common Committee for both Funds will encourage each participating State to designate 
one single interlocutor for all home affairs policies.  

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