Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL establishing the Asylum and Migration Fund
Date: 2011-11-15
Institutions: European Commission
Subjects: area of freedom, security and justice, fund (EU), immigration, migration control, return migration, right of asylum

EUROPEAN COMMISSION 

Brussels, 15.11.2011 
COM(2011) 751 final 

2011/0366 (COD) 

Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

establishing the Asylum and Migration Fund  

 
 
  
 
EXPLANATORY MEMORANDUM 

1. 

CONTEXT OF THE PROPOSAL 

The policies relating to the Area of Freedom, Security and Justice have been growing steadily 
over the last years. Their importance has been confirmed by the Stockholm Programme1 and 
its Action Plan2, the implementation of which is a strategic priority for the next five years and 
covers  areas  such  as  migration  (legal  migration and integration; asylum; irregular  migration 
and  return),  security  (prevention  of  and  fight  against  terrorism  and  organised  crime;  police 
cooperation) and management of the external borders (including visa policy), as well as the 
external  dimension  of  these  policies.  The  Lisbon  Treaty  also  enables  the  Union  to 
demonstrate greater ambition in responding to the day-to-day concerns of citizens in the area 
of freedom, security and justice.  

The  Stockholm  programme  recognises  both  the  opportunities  and  challenges  posed  by 
increased mobility of persons, and underlines that well-managed migration can be beneficial 
to  all  stakeholders.  The  European  Council  equally  recognised  that,  in  the  context  of  the 
important  demographic  challenges  that  the  Union  will  face  in  the  future  with  an  increased 
demand  for  labour,  flexible  migration  policies  will  make  an  important  contribution  to  the 
Union’s economic development and performance in the longer term. 

On  29  June  2011,  the  Commission  adopted  a  proposal  for  the  next  Multi-Annual  Financial 
Framework  for  the  period  2014-20203: a budget for delivering the Europe 2020 strategy. In 
the area of home affairs policies, covering security, migration and the management of external 
borders, the Commission proposed to simplify the structure of the expenditure instruments by 
reducing the number of programmes to a two pillar structure: an Asylum and Migration Fund 
and an Internal Security Fund.  

This  Regulation  establishes  the  Asylum  and  Migration  Fund  which  draws  on  the  capacity 
building process developed with the assistance of the European Refugee Fund4, the European 
Fund  for  the  Integration  of  third-country  nationals5  and  the  European  Return  Fund6  and 
extends it to cover more comprehensively different aspects of the common Union asylum and 
immigration policy, including actions in or in relation to third countries addressing primarily 
EU interests and objectives in those policy areas, and takes into account new developments. 

In  the  framework  of  developing  a  common  policy  on  asylum  with  a  view  to  offering 
appropriate status to any third-country national requiring international protection and ensuring 
compliance with the principle of non-refoulement as stated in the Treaty on the Functionning 
of the European Union, it is necessary, based on solidarity between Member States, to set up 
mechanisms to promote a balance of effort between Member States in receiving and bearing 
the  consequences  of  receiving  persons  in  need  of  international  protection  and  displaced 
persons. This also includes a strong resettlement and relocation component. 

1 
2 
3 
4 
5 
6 

OJ C 115, 4.5.2010, p.1. 
COM(2010)171 final of 20/04/2010. 
COM(2011)500 Final. 
Decision No 573/2007/EC of the European Parliament and of the Council (OJ L 144, 6.6.2007, p. 1) 
Council Decision 2007/435/EC (OJ L 168, 28.6.2007, p. 18) 
Decision No 575/2007/EC of the European Parliament and of the Council (OJ L 144, 6.6.2007, p. 45) 

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A  well  organised  legal  immigration  policy  and  more  effective  integration  strategies,  in  line 
with  the  Stockholm  Programme  and  supported  by  the  Union's  legal  instruments,  have  a 
central  role  to  play  in  ensuring  the  Union's  long-term  competitiveness  and  ultimately  the 
future of its social model. In this light, better integration, economically and socially, of legally 
residing third-country nationals remains the key to maximising the benefits of immigration. 

An effective and sustainable return policy is an essential element of a well-managed migration 
system  within  the  Union.  It  is  also  a  necessary  complement  to  a  credible  legal  immigration 
and  asylum  policy,  as  well  as  an  important  component  in  the  fight  against  irregular 
immigration.  

Recent  events  at  the  Greek/Turkish  border  and  in  the  Southern  Mediterranean  have  also 
demonstrated  how  important  it  is  for  the  Union  to  have  a  comprehensive  approach  to 
migration, covering various aspects such as strengthened  border  management and Schengen 
governance,  better  targeted  legal  migration,  enhanced  dissemination  of  best  practices  on 
integration, a reinforced Common European Asylum System, and a more strategic approach 
to relations with third countries on migration. 

2. 

RESULTS OF CONSULTATIONS WITH THE INTERESTED PARTIES AND 
IMPACT ASSESSMENT 

In  accordance  with  the  greater  emphasis  placed  on  evaluation  as  a  tool  to  inform  policy 
making, this proposal is informed by evaluation results, stakeholder consultation and impact 
assessment. 

The  results  of  the  reports  on  the  ex-post  evaluation  of  the  European  Refugee  Fund  for  the 
period  2005-2007  and  on  the  mid-term  evaluation  of  the  implementation  of  the  European 
Fund for the Integration of third-country nationals for 2007-2009 and of the European Return 
Fund for 2008-2009 were particularly important in this respect. 

Work on the preparation of the future financial instruments for home affairs started in 2010 
and continued into  2011. As part of this preparatory work, an evaluation/impact assessment 
study was launched in December 2010 with the aid of an external contractor. This study was 
completed  in  July  2011  and  brought  together  available  evaluation  results  for  the  existing 
financial  instruments  and  informed  the  problems,  objectives  and  policy  options,  including 
their  likely  impact,  examined  in  the  impact  assessment.  Building  upon  this  study,  the 
Commission  prepared  an  impact  assessment  report  on  which  the  Impact  Assessment  Board 
delivered its opinion on 9 September 2011.  

The  impact  assessment  takes  into  account  the  results  of  a  dedicated  on-line  public 
consultation on the future of home affairs funding. The consultation ran from 5 January to 20 
March  2011 and was open to all stakeholders. A total of 115 responses were received from 
individuals and on behalf of organisations, including 8 position papers. Respondents from all 
Member  States  contributed  to  the  consultation  as  well  as  respondents  from  some  third 
countries.  

In  April  2011  the  conference  "The  future  of  EU  funding  for  Home  Affairs:  A  fresh  look" 
brought  together  key  stakeholders  (Member  States,  international  organisations,  civil  society 
organisations etc) and gave them the opportunity to share their views on the future of Union 

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funding for home affairs. The conference was also an occasion to validate the outcome of the 
stock taking and the public consultation.  

The  future  of  Union  funding  for  home  affairs  was  raised  and  discussed  with  institutional 
stakeholders  on  numerous  occasions,  including  at  an  informal  lunch  discussion  during  the 
JHA Council on 21 January 2011, an informal breakfast with the political coordinators of the 
European Parliament on 26 January 2011, at the hearing of Commissioner Malmström before 
the  Parliament's  SURE  Committee  on  10  March  2011  and  during  an  exchange  of  views 
between the Director-General of DG Home Affairs and the Parliament's LIBE Committee on 
17 March 2011.  

Specific expert advice on the future financial instruments in the area of asylum and migration 
was  provided  through  discussions  that  took  place  during  the  Immigration  and  Asylum 
Committee of 22 February 2011, at the meeting of the network of National Contact Points on 
Integration  on  15  March  2011,  at  the  meeting  of  the  Contact  Committee  on  the  Return 
Directive  on  18  March  2011  and  at  the  meeting  of  the  High  Level  Working  Group  on 
Migration  and  Asylum  on  27  April  2011.  Moreover,  technical  aspects  linked  to  the 
implementation  of  the  future  financial  instrument  in  the  area  of  asylum  and  migration  were 
also  discussed  on  the  basis  of  a  written  consultation  in  April  2011  with  Member  States' 
experts  within  the  framework  of  the  common  Committee  for  the  General  Programme  on 
Solidarity and Management of Migration Flows ('SOLID Committee'). 

The  above  consultations,  conferences  and  expert  discussions confirmed that there is general 
agreement  among  key  stakeholders  on  the  need  to  broaden  the  scope  of  action  for  Union 
funding in the field of asylum and migration, including as regards its external dimension, and 
a  need  to  work  towards  more  simplification  of  delivery  mechanisms  and  greater  flexibility, 
notably  to  respond  to  emergencies.  In  the  area  of  asylum  and  migration,  stakeholders 
considered  that  the  broad  thematic  priorities  have  already  been  fixed  by  the  Stockholm 
Programme and its Action Plan. There was broad support to reduce the number of financial 
instruments  to  a  two-Fund  structure  on  the  condition  that  this  would  actually  lead  to 
simplification. They also agreed on the need for a flexible emergency response mechanism to 
allow  the  Union  to  respond  quickly  and  effectively  to  migration  and  security-related  crises. 
Shared  management  with  a  move  to  multi-annual  programming  with  the  definition  of 
common targets at Union level was generally seen as the appropriate management method for 
all  home  affairs  spending  although  non-governmental  organisations  were  of  the  view  that 
direct management should also be continued. Stakeholders also supported enhancing the role 
of the home affairs agencies in order to foster cooperation and increase synergies. 

3. 

LEGAL ELEMENTS OF THE PROPOSAL 

The right to act derives from Article 3(2) of the Treaty on European Union which states that 
"the  Union  shall  offer  its  citizens  an  area  of  freedom,  security  and  justice  without  internal 
frontiers, in which the free movement of persons is ensured in conjunction with appropriate 
measures  with  respect  to  external  border  controls,  asylum,  immigration  and  the  prevention 
and combating of crime". 

Union action is justified on the grounds of the objectives laid out in Article 67 of the Treaty 
on the Functioning of the Union (hereinafter referred to as 'the Treaty'), setting out the means 
to constitute an area of freedom, security and justice. 

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The Regulation is based on legal bases in Title V of the Treaty in the area of freedom, security 
and justice namely on Articles 78(2) and 79(2) and (4) which constitute legal basis for Union 
action  in  area  of  asylum,  immigration,  management  of  migration  flows,  fair  treatment  of 
third-country nationals residing legally in Member States, combating illegal immigration and 
trafficking in human beings, including through co-operation with third countries.  

These  Articles  constitute  compatible  legal  bases  in  the  light  of  the  position  of  the  United 
Kingdom,  Ireland  and  Denmark  with  regard  to  the  areas  they  cover,  thus  provide  for 
compatible voting rules in the Council. Further ordinary legislative procedure applies to each 
of them.  

Attention is also drawn to Article 80 of the Treaty which underlines that these policies of the 
Union  and  their  implementation  shall  be  governed  by  the  principle  of  solidarity  and  fair 
sharing of responsibility, including its financial implications, between the Member States.  

Overall,  this  is  an  area  where  there  is  an  obvious  added  value  in  Union  interventions 
compared  to  Member  States  acting  alone.  The  European  Union  is  in  a  better  position  than 
Member States to provide a framework for expressing Union solidarity in the management of 
migration flows. The financial support provided under this Regulation therefore contributes in 
particular  to  strengthening  national  and  European  capabilities  in  this  area.  For  that  purpose, 
this  Regulation  inter  alia  aims  to  strengthen  and  develop  the  Common  European  Asylum 
System,  to  enhance  the  solidarity  and  responsibility  sharing  between  the  Member  States,  in 
particular  towards  those  most  affected  by  migration  and  asylum  flows,  to  encourage  the 
development of proactive immigration strategies relevant to and supportive of the integration 
process of third-country nationals and promote the integration of third-country nationals with 
particular  focus  on  the  local  and  regional  levels  of  Member  States,  to  enhance  the  Member 
States'  capacities  to  promote  fair  and  effective  return  strategies  and  to  support  the 
development of partnerships and cooperation with third countries. 

However, it is fully acknowledged that interventions should take place at an appropriate level 
and the role of the Union should not go beyond what is necessary. As the 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".7 

4. 

BUDGETARY IMPLICATION 

The Commission's proposal for a Multi-Annual Financial Framework includes a proposal of 
EUR 3,869  million (in current prices) for Asylum and  Migration Fund for the period 2014-
2020.  Indicatively  more  than  80%  of  this  amount  (EUR  3,232  million)  should  be  used  for 
national programmes of Member States while EUR 637 million should be centrally managed 
by  the  Commission  to  fund  Union  actions,  emergency  assistance,  European  Migration 
Network, technical assistance and the implementation of specific operational tasks by Union 
agencies. 

EUR million (current prices) 

Asylum and Migration Fund 

3,869

7 

"The EU Budget Review", COM (2010) 700, 19.10.2010. 

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National programmes 

Centralised management 

3,232

637

5. 

MAIN ELEMENTS OF THE PROPOSAL 

5.1. 

Resources for Member States 

The most important part of the resources available under the Fund will be channelled through 
national  programmes  of  Member  States  covering  the  whole  period  2014-2020.  For  this 
purpose, the amount of resources to be allocated to the Member States within the Fund will be 
composed  of  a  basic  amount  and  a  variable  amount.  Following  a  mid-term  review  an 
additional amount may be allocated as of budget year 2018.  

5.1.1.  Basic amount  

The basic amount is established on the basis of latest available statistical data relating to the 
migration flows, such as the number of first asylum applications, positive decisions granting 
refugee  or  subsidiary  protection,  number  of  resettled  refugees,  stock  and  flows  of  legally 
residing third-country nationals, number of return decisions issued by the national authorities 
and  the  number  of  effected  returns8.  Those  data  are  the  same  as  those  used  so  far  for  the 
calculation  of  allocations  under  the  European  Refugee  Fund,  the  European  Fund  for  the 
Integration  of  third-country  nationals  and  the  European  Return  Fund.  In  order  to  ensure 
critical  mass  for  the  implementation  of  national  programmes,  EUR  5  million  is  added  as  a 
minimum amount to each Member State.  

The  basic  amounts  earmarked  to  individual  Member  States  will  serve  as  a  basis  to  start  the 
policy dialogue, followed by the multiannual programming, to support, on the hand, a limited 
number of compulsory objectives (e.g. strengthening the establishment of Common European 
Asylum  System  by  ensuring  the  efficient  and  uniform  application  of  the  Union  acquis  on 
asylum  or  developing  an  assisted  voluntary  return  programme  including  a  component  on 
reintegration) and, on the other hand, to address the specific needs of each Member State. 

5.1.2.  Variable amount 

The variable amount will be allocated following the policy dialogue mentioned above to those 
Member  States  willing  to  work  in  those  operational  fields  which  depend  on  their  political 
commitment  and  willingness  to  act,  or  ability  to  cooperate  with  other  Member  States.  This 
will  be  the  case  for  the  implementation  of  specific  actions  such  as  for  instance  joint 
processing of asylum applications, joint return operations, setting up of joint migration centres 
as well as for the implementation of resettlement and relocation operations.  

For what concerns resettlement, Member States will receive financial incentives (lump sums) 
every two years on the basis of their pledging which will follow the establishment of common 
Union  resettlement  priorities.  These  will  be  the  result  of  a  political  process  involving  in 
particular the European Parliament and the Council and reflecting the policy developments at 
national  and  Union  level.  Through  these  financial  incentives,  two  objectives  are  to  be 

8 

Data collected by Eurostat under the Regulation (EC) No 862/2007 of the European Parliament and of 
the Council on Community statistics on Migration and International protection. 

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achieved:  a  quantitative  one,  i.e.  to  increase  significantly  the  current  resettlement  figures 
which are too small, and a qualitative one, i.e. to strengthen the European dimension through 
the implementation of defined and dynamic common Union resettlement priorities. 

Moreover, based on a similar pledging exercise and at regular intervals, Member States will 
receive  financial  incentives  (lump  sums)  for  relocation  of  beneficiaries  of  international 
protection. 

5.1.3.  Mid-term allocation 

A part of available resources will be kept for mid-term review.  

This  will,  on  the  one  hand,  allow  allocating  additional  amounts  to  those  Member  States 
undergoing significant changes in migration flows  and  presenting specific needs concerning 
their asylum and reception systems and, on the other hand, to allocate additional amounts to 
those Member States willing to implement specific actions. The latter may be revised in line 
with the most recent policy developments. 

5.2. 

Union Agencies 

To use more effectively the competence and expertise of relevant Union agencies in the home 
affairs  field,  the  Commission  also  envisages  to  make  use  of  the  possibility  offered  by  the 
Financial  Regulation9  to  entrust,  within  the  resources  available  under  this  Regulation,  the 
implementation of specific tasks to such agencies, in the framework of their missions and in 
complementarity with their work programmes. For the tasks covered by this Regulation this 
concerns  in  particular  the  European  Asylum  Support  Office  (EASO)  and  the  European 
Agency  for  the  Management  of  Operational  Cooperation  at  the  External  Borders  of  the 
Member States of the European Union (Frontex Agency) for activities in and outside the EU 
requiring  operational  expertise  on  issues  related  to  asylum  and  irregular  immigration, 
respectively. 

5.3. 

Actions in or in relation to third countries 

This Fund shall support actions catering primarily for Union interests, having a direct impact 
in  the  Union  and  its  Member  States  and  ensuring  a  necessary  continuity  with  activities 
implemented in the territory of the Union. Actions that are directly development oriented shall 
not  be  supported  through  this  Fund.  In  implementing  such  actions,  full  coherence  will  be 
sought with the principles and general objectives of the Union external action related to the 
country or region in question. 

9 

The  triennial  revision  of  the  Financial  Regulation  introduces  changes  in  the  shared  management 
principles which have to be taken into account. 

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2011/0366 (COD) 

Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

establishing the Asylum and Migration Fund  

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 
Articles 78(2) and 79(2) and (4) thereof, 

Having regard to the proposal from the European Commission, 

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) 

(3) 

The Union's objective to constitute an area of freedom, security and justice, should be 
achieved,  inter  alia,  through  common  measures  framing  a  policy  on  asylum  and 
immigration, based on solidarity between Member States, which is fair towards third-
countries and their nationals. The European Council of 2 December 2009 recognised 
that  financial  resources  within  the  Union  should  be  made  increasingly  flexible  and 
coherent, both in terms of scope and of applicability, to support policy developments 
in the field of asylum and migration. 

In order to contribute to the development of the common Union policy on asylum and 
immigration and to the strengthening of the area of freedom, security and justice in the 
light  of  the  application  of  the  principles  of  solidarity  and  responsibility  sharing 
between  the  Member  States  and  cooperation  with  third  countries,  this  Regulation 
should establish the Asylum and Migration Fund (hereinafter referred to as 'the Fund'). 

The Fund should express solidarity through financial assistance to Member States. It 
should  enhance  the  effective  management  of  migration  flows  to  the  Union  in  areas 
where the Union adds maximum value, in particular by sharing responsibility between 
Member  States  and  sharing  responsibility  and  strengthening  cooperation  with  third 
countries. 

10 
11 

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

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(4) 

(5) 

(6) 

(7) 

(8) 

(9) 

To  ensure  a  uniform  and  high-quality  asylum  policy  and  apply  higher  standards  of 
international protection, the Fund should contribute to the effective functioning of the 
Common European Asylum System, which encompasses measures relating to policy, 
legislation, capacity-building, acting in co-operation with other Member States, Union 
Agencies and third-countries. 

It  is  appropriate  to  support  and  improve  the  efforts  made  by  Member  States  to  fully 
and  properly  implement  the  Union  asylum  acquis,  in  particular  to  grant  appropriate 
reception  conditions  to  asylum  seekers,  displaced  persons  and  beneficiaries  of 
international protection, to ensure correct determination of status, in accordance with 
Council  Directive  2004/83/EC  of  29  April  2004  on  minimum  standards  for  the 
qualification and status of third-country nationals or stateless persons as refugees or as 
persons who otherwise need international protection and the content of the protection 
granted12, to apply fair and effective asylum procedures and to promote good practice 
in  the  field  of  asylum  so  as  to  protect  the  rights  of  persons  requiring  international 
protection and enable Member States asylum systems to work efficiently. 

The Fund should offer adequate support to joint efforts by Member States to identify, 
share and promote best practices and establish effective cooperation structures in order 
to enhance the quality of decision-making in the framework of the Common European 
Asylum System. 

This Fund should complement and reinforce the activities undertaken by the European 
Asylum Support Office (EASO) established by Regulation (EU) No 439/2010 of the 
European Parliament and of the Council of 19 May 201013 with a view to coordinating 
practical  cooperation  between  Member  States  on  asylum,  supporting  Member  States 
subject  to  particular  pressure  on  their  asylum  systems  and  contributing  to  the 
implementation of the Common European Asylum System. 

The Fund should support the efforts by the Union and the Member States relating to 
the  enhancement  of  Member  States'  capacity  to  develop,  monitor  and  evaluate  their 
asylum policies in the light of their obligations under existing Union legislation. 

The Fund should support the efforts made by Member States to provide international 
protection and a durable solution in their territories to refugees and displaced persons 
identified  as  eligible  for  resettlement  by  the  United  Nations  High  Commissioner  for 
Refugees (UNHCR), such as the assessment of the resettlement needs and transfer of 
the persons concerned to their territories, with a view to granting them a secure legal 
status and to promoting their effective integration. 

(10)  The  Fund  should  provide  support  to  burden-sharing  operations  consisting  of  the 
transfer  of  applicants  for  and  beneficiaries  of  international  protection  from  one 
Member State to another. 

(11)  Partnerships and cooperation with third countries to ensure the adequate management 
of  inflows  of  persons  applying  for  asylum  or  other  forms  of  international  protection 
are an essential component of Union asylum policy. With the aim to provide access to 
international protection and durable solutions  at the earliest possible  stage,  including 

12 
13 

OJ L 304, 30.9.2004, p. 12. 
OJ L 132, 29.5.2010, p. 11. 

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in  the  framework  of  Regional  Protection  Programmes14,  the  Fund  should  include  a 
strong Union resettlement component. 

(12)  To  improve  and  reinforce  the  integration  process  in  European  societies,  the  Fund 
should  facilitate  legal  migration  to  the  Union  in  line  with  the  economic  and  social 
needs  of  Member  States  and  anticipates  the  preparation  of  the  integration  process 
already in the country of origin of the third-country nationals coming to the Union. 

(13) 

In order to be efficient and achieve the greatest added value, the Fund should pursue a 
more  targeted  approach,  in  support  of  consistent  strategies  specifically  designed  to 
promote the integration of third-country nationals at local and/or regional level. Those 
strategies should be implemented mainly by local or regional authorities and non-state 
actors,  while  not  excluding  national  authorities  if  the  specific  administrative 
organisation  of  the  Member  State  would  so  require.  The  implementing  organisations 
should choose the measures most appropriate to their particular situation from a range 
of measures available. 

(14)  The scope of the integration measures should also include refugees, asylum seekers or 
persons  granted  other  forms  of  international  protection  in  order  to  ensure  a 
comprehensive  approach  to  integration,  taking  into  account  the  specificities  of  these 
target groups. 

(15)  To  ensure the  consistency  of  the  European  Union's  response  to  integration  of  third-
country  nationals,  actions  financed  under  this  Fund  should  be  specific  and 
complementary  to  actions  financed  under  the  European  Social  Fund.  In  this  context, 
the authorities of the Member States responsible for the implementation of this Fund 
should  be  required  to  establish  cooperation  and  coordination  mechanisms  with  the 
authorities  designated  by  Member  States  for  the  purpose  of  the  management  of  the 
interventions of the European Social Fund. 

(16)  The  Fund  should  support  Member  States  in  setting  up  strategies  organising  legal 
migration,  enhancing  their  capacity  to  develop,  implement,  monitor  and  evaluate  in 
general  all  immigration  and  integration  strategies,  policies  and  measures  for  third 
country  nationals,  including  Union  legal  instruments.  The  Fund  should  also  support 
the  exchange  of  information,  best  practices  and  co-operation  between  different 
departments of administration as well as with other Member States. 

(17)  The Union should continue and expand the use of Mobility Partnerships as the main 
strategic,  comprehensive  and  long-term  cooperation  framework  for  migration 
management with third countries. The Fund should support activities in the framework 
of  Mobility  Partnerships  taking  place  either  in  the  Union  or  in  third  countries  and 
aiming  at  pursuing  Union  needs  and  priorities,  in  particular  actions  ensuring  the 
continuity of funding encompassing both Union and third countries. 

(18) 

It is appropriate to continue supporting and encouraging efforts by the Member States 
to  improve  the  management  of  return  in  all  its  dimensions,  with  a  view  to  the 
continuous, fair and effective implementation of common standards on return, notably 
as set out in the Directive 2008/115/EC of the European Parliament and of the Council 

14 

COM(2005) 388 final. 

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of  16  December  2008  on  common  standards  and  procedures  in  Member  States  for 
returning  illegally  staying  third-country  nationals15.  The  Fund  should  promote  the 
development  of  return  strategies  at  national  level  and  also  measures  supporting  their 
effective implementation in third countries. 

(19)  As regards the voluntary return of persons, including persons who wish to be returned 
even  though  they  are  under  no  obligation  to  leave  the  territory,  incentives  for  such 
returnees,  such  as  preferential  treatment  in  the  form  of  enhanced  return  assistance 
should be foreseen. This kind of voluntary return is in the interests of both returnees, 
and  the  authorities  in  terms  of  the  cost-effectiveness.  Member  States  should  be 
encouraged to give preference to voluntary return. 

(20)  However,  from  a  policy  point  of  view,  voluntary  and  enforced  return  are  interlinked 
and  have  a  mutually  reinforcing  effect  and  Member  States  should  be  encouraged  in 
their return management to reinforce the complementarities of the two forms. There is 
a  need  to  carry  out  enforced  returns  in  order  to  safeguard  the  integrity  of  the 
immigration and asylum policy of the Union and the immigration and asylum systems 
of  the  Member  States.  Thus  the  possibility  of  enforced  return  is  a  prerequisite  for 
ensuring  that  this  policy  is  not  undermined  and  for  enforcing  the  rule  of  law,  which 
itself is essential to the creation of an area of freedom, security and justice. The Fund 
should therefore support actions of Member States to facilitate enforced return. 

(21) 

It is imperative for the Fund to support specific measures for returnees in the country 
of  return  in  order  to  ensure  effective  return  to  their  town  or  region  of  origin  under 
good conditions and to enhance their durable reintegration into their community. 

(22)  Union readmission agreements are an integral component of the  Union return policy 
and a central tool for the efficient management of migration flows as they facilitate the 
swift return of irregular migrants. Those agreements are an important element  in the 
framework of the dialogue and cooperation with third countries of origin and transit of 
irregular migrants and their implementation in third countries should be supported in 
the interest of effective return strategies at national and Union level. 

(23)  The Fund should complement and reinforce the activities undertaken by the European 
Agency for the Management of Operational Cooperation at the External Borders of the 
Member  States  of  the  European  Union  (Frontex  Agency)  established  by  Council 
Regulation (EC) No 2007/2004 of 26 October 200416 , one of the tasks of which is to 
provide the necessary support for organising joint return operations of Member States 
and identify best practices on the acquisition of travel documents and the removal of 
third country nationals illegally present in the territories of the Member States. 

(24)  The  Fund  should  be  implemented  in  full  respect  with  the  rights  and  principles 
enshrined in the Charter of Fundamental Rights of the European Union. In particular, 
eligible actions should take account of the specific situation of vulnerable persons, in 
particular,  with  special  attention  and  dedicated  responses  to  unaccompanied  minors 
and other minors at risk. 

15 
16 

OJ L 348, 24.12.2008, p. 98. 
OJ L 349, 25.11.2004, p. 1. 

EN 

11 

   EN 

 
                                                 
(25)  Measures  in  and  in  relation  to  third  countries  supported  through  the  Fund  should  be 
taken  in  synergy  and  coherence  with  other  actions  outside  the  Union  supported 
through  Union  external  assistance  instruments,  both  geographic  and  thematic.  In 
particular,  in  implementing  such  actions  full  coherence  should  be  sought  with  the 
principles  and  general  objectives  of  the  Union  external  action  and  foreign  policy 
related  to  the  country  or  region  in  question.  They  should  not  be  intended  to  support 
actions directly development-oriented and they should complement, when appropriate, 
the financial assistance provided through external aid instruments. Coherence will also 
be  ensured  with  the  Union  humanitarian  policy,  in  particular  as  regards  the 
implementation of emergency assistance. 

(26)  A  large  part  of  the  available  resources  under  the  Fund  should  be  allocated 
proportionally to the responsibility borne by each Member State through its efforts in 
managing migration flows on the basis of objective criteria. For that purpose, the latest 
available  statistical  data  relating  to  the  migration  flows,  such  as  the  number  of  first 
asylum  applications,  the  number  of  positive  decisions  granting  refugee  or  subsidiary 
protection,  the  number  of  resettled  refugees,  the  number  of  legally  residing  third-
country  nationals,  the  number  of  third-country  nationals  who  have  obtained  an 
authorisation  issued  by  a  Member  State  to  reside,  the  number  of  return  decisions 
issued by the national authorities and the number of effected returns should be used17. 

(27)  Whilst  it  is  appropriate  for  an  amount  to  be  allocated  to  each  Member  State  on  the 
basis of the latest available statistical data, a part of the available resources under the 
Fund  should  also  be  distributed  for  the  implementation  of  specific  actions  which 
require  cooperative  effort  amongst  Member  States  and  generate  significant  added 
value  for  the  Union,  and  for  the  implementation  of  the  Union  Resettlement 
Programme and for the implementation of relocation. 

(28)  For that purpose, this Regulation should establish a list of specific actions eligible for 
resources  from  the  Fund.  Additional  amounts  should  be  allocated  to  those  Member 
States which make a commitment to implement them. 

(29) 

In the light of the progressive establishment of a Union Resettlement Programme, the 
Fund  should  provide  targeted  assistance  in  the  form  of  financial  incentives  (lump 
sums) for each resettled refugee. 

(30)  With  a  view  to  increasing  the  impact  of  the  Union  resettlement  efforts  in  providing 
protection  to  refugees  and  maximising  the  strategic impact of resettlement through a 
better  targeting  of  those  persons  who  are  in  greatest  need  of  resettlement,  common 
priorities with respect to resettlement should be formulated at Union level every two 
years on the basis of the general categories specified in this Regulation. 

(31)  Given  their  particular  vulnerability,  some  categories  of  refugees  should  always  be 

included in the common Union resettlement priorities. 

(32)  Taking into account the resettlement needs set out in the common Union resettlement 
priorities, it is also necessary that additional financial incentives are provided for the 
resettlement of persons with respect to specific geographic regions and nationalities as 

17 

Data collected by Eurostat under the Regulation (EC) No 862/2007 of the European Parliament and of 
the Council on Community statistics on Migration and International protection. 

EN 

12 

   EN 

 
                                                 
well  as  to  the  specific  categories  of  refugees  to  be  resettled,  where  resettlement  is 
determined to be the most appropriate response to their special needs. 

(33)  To  enhance  the  solidarity  and  share  better  the  responsibility  between  the  Member 
States, in particular towards those most affected by asylum flows, a similar mechanism 
based on financial incentives should also be established for relocation of beneficiaries 
of international protection. 

(34)  With  a  view  to  taking  account  of  significant  changes  in  migration  flows  and 
addressing the needs of asylum and reception systems of Member States, a mid-term 
review should be carried out. For that purpose, a financial reserve should be kept for 
the distribution at the mid-term review. 

(35)  The support provided by the Fund will be more efficient and bring greater added value 
if  a  limited  number  of  compulsory  objectives  is  identified  in  this  Regulation  which 
must  be  pursued  in  the  programmes  drawn  up  by  each  Member  State,  taking  into 
account its specific situation and needs. 

(36) 

It  is  important  for  enhanced  solidarity  that  the  Fund  provides  additional  support  to 
address emergency situations of heavy migratory pressure in Member States or third-
countries  or  in  the  event  of  mass  influx  of  displaced  persons,  pursuant  to  Council 
Directive  2001/55/EC  of  20  July  2001  on  minimum  standards  for  giving  temporary 
protection in the event of mass influx of displaced persons and on measures promoting 
a  balance  efforts  between  Member  States  in  receiving  such  persons  and  bearing  the 
consequences thereof18, through emergency assistance. 

(37)  This  Regulation  should  ensure  the  continuation  of  the  European  Migration  Network 
set  up  by  Council  Decision  2008/381/EC  of  14  May  2008  establishing  a  European 
Migration Network19 and provide financial assistance necessary for its activities in line 
with its objectives and tasks as set out in this Regulation. 

(38)  Decision 2008/381/EC should therefore be repealed. 

(39) 

(40) 

In the light of the purpose of financial incentives allocated to the Member States for 
resettlement and/or relocation in the form of lump sums and because they represent a 
small  fraction  of  the  actual  costs,  this  Regulation  should  provide  for  certain 
derogations from the rules on the eligibility of expenditure. 

In order to supplement or amend provisions of this Regulation on the lump sums for 
resettlement  and  relocation,  the  definition  of  specific  actions  and  of  common  Union 
resettlement priorities, 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.  It  is  of  particular  importance  that  the  Commission  should  carry  out 
appropriate  consultations  during  its  preparatory  work,  including  at  expert  level.  The 
Commission,  when  preparing  and  drawing-up  delegated  acts,  should  ensure  a 
simultaneous,  timely  and  appropriate  transmission  of  relevant  documents  to  the 
European Parliament and Council. 

18 
19 

OJ L 212, 7.8.2001, p. 12. 
OJ L 131, 21.5.2008, p. 7. 

EN 

13 

   EN 

 
                                                 
(41) 

In order to ensure a uniform, efficient and timely application of the provisions of this 
Regulation,  implementing  powers  should  be  conferred  on  the  Commission.  Those 
powers should be exercised in accordance with Regulation (EU) No 182/2011 of the 
European  Parliament  and  of  the  Council  of  16  February  2011  laying  down  the  rules 
and  general  principles  concerning  mechanisms  for  control  by  Member States  of  the 
Commission's exercise of implementing powers20. 

(42)  Funding  from  the  Union  budget  should  concentrate  on  activities  where  the  Union 
intervention can bring additional value compared to action of Member States alone. As 
the European Union is in a better position than Member States to provide a framework 
for  expressing  Union  solidarity  in  the  management  of  migration  flows,  financial 
support provided under this Regulation should contribute in particular to strengthening 
national and Union capabilities in this area. 

(43)  For the purpose of its management and implementation, the Fund should form part of 
a coherent framework consisting of this Regulation and Regulation (EU) No […/…] of 
the  European  Parliament  and  of  the  Council  laying  down  general  provisions  on  the 
Asylum  and  Migration  Fund  and  on  the  instrument  for  financial  support  for  police 
cooperation, preventing and combating crime, and crisis management21. 

(44)  Since  the  objective  of  this  Regulation,  namely  to  contribute  to  an  effective 
management of migration flows in the Union as part of the area of freedom, security 
and  justice,  in  accordance  with  the  common  policy  on  asylum,  subsidiary  protection 
and temporary protection and the common immigration policy, cannot be sufficiently 
achieved by the Member States and can be better achieved at Union level, the Union 
may  adopt  measures,  in  accordance  with  the  principle  of  subsidiarity  as  set  out  in 
Article  5  of  the  Treaty  on  European  Union.  In  accordance  with  the  principle  of 
proportionality, as set out in that Article, this Regulation does not go beyond what is 
necessary in order to achieve that objective. 

(45)  Decision No 573/2007/EC of the European Parliament and of the Council of 23 May 
2007 establishing the European Refugee Fund for the period 2008 to 201322 should be 
repealed. 

(46)  Decision No 575/2007/EC of the European Parliament and of the Council of 23 May 
2007 establishing the European Return Fund for the period 2008 to 201323 should be 
repealed. 

(47)  Council  Decision  2007/435/EC  of  25  June  2007  establishing  the  European  Fund  for 
the  Integration  of  third-country  nationals  for  the  period  2007  to  201324  should  be 
repealed. 

(48) 

In  accordance  with  Article  3  of  the  Protocol  on  the  position  of  the  United  Kingdom 
and  Ireland  in  respect  of  the  area  of  freedom,  security  and  justice,  annexed  to  the 
Treaty  on  European  Union  and  to  the  Treaty  on  the  Functioning  of  the  European 

20 
21 
22 
23 
24 

OJ L 55, 28.2.2011, p. 13. 
OJ L , , p. . 
OJ L 144, 6.6.2007, p. 1. 
OJ L 144, 6.6.2007, p. 45. 
OJ L 168, 28.6.2007, p. 18. 

EN 

14 

   EN 

 
                                                 
Union, and without prejudice to Article 4 of that Protocol, Ireland [is not taking part in 
the adoption of this Regulation and is not bound by it or subject to its application / has 
notified its wish to take part in the adoption and application of this Regulation]. 

(49) 

In  accordance  with  Article  3  of  the  Protocol  on  the  position  of  the  United  Kingdom 
and  Ireland  in  respect  of  the  area  of  freedom,  security  and  justice,  annexed  to  the 
Treaty  on  European  Union  and  to  the  Treaty  on  the  Functioning  of  the  European 
Union, and without prejudice to Article 4 of that Protocol, the United Kingdom [is not 
taking part in the adoption of this Regulation and is not bound by it or subject to its 
application / has notified its wish to take part in the adoption and application of this 
Regulation]. 

(50) 

In  accordance  with  Articles  1  and  2  of  the  Protocol  on  the  position  of  Denmark 
annexed to the Treaty on European Union and to the Treaty on the Functioning of the 
European Union, Denmark is not taking part in the adoption of this Regulation and is 
not bound by it or subject to its application, 

HAVE ADOPTED THIS REGULATION: 

CHAPTER I 

GENERAL PROVISIONS 

Article 1 

Purpose and scope 

1. This Regulation establishes for the period from 1 January 2014 to 31 December 2020 the 
Asylum and Migration Fund (hereinafter referred to as 'the Fund'). 

2. This Regulation lays down: 

(a) 

the objectives of financial support and the eligible actions;  

(b) 

the general framework for the implementation of eligible actions;  

(c) 

the available financial resources and their distribution; 

(d) 

the principles and mechanism for establishment of common Union resettlement 
priorities; 

(e) 

the objectives, tasks and composition of the European Migration Network. 

3.  This  Regulation  provides  for  the  application  of  the  rules  set  out  in  Regulation  (EU)  No 
.../… [Horizontal Regulation]. 

EN 

Article 2 

Definitions 

15 

   EN 

 
For the purpose of this Regulation, the following definitions shall apply: 

(a) 

(b) 

(c) 

(d) 

(e) 

'resettlement' means the process whereby, on a request from the United Nations High 
Commissioner  for  Refugees  (UNHCR)  based  on  a  person’s  need  for  international 
protection,  third-country  nationals  or  stateless  persons  having  the  status  defined  by 
the Geneva Convention of 28 July 1951 and who are permitted to reside as refugees 
in one of the Member States are transferred from a third-country and established in a 
Member State where they are permitted to reside with one of the following statuses: 

refugee  status  within  the  meaning  of  point  (d)  of  Article  2  of  Directive 

(i) 
2004/83/EC, or 

a status which offers similar rights and benefits under national and Union law 

(ii) 
as refugee status; 

'relocation' means the process whereby, persons referred to in points (a) and (b) of 
Article 4(1)are transferred from the Member State which granted them international 
protection to another Member State where they will be granted equivalent protection, 
or  persons  falling  within  the  category  referred  to  in  point  (c)  of  Article  4(1)are 
transferred  from  the  Member  State  which  is  responsible  for  examining  their 
application  to  another  Member  State  where  their  application  for  international 
protection will be examined. 

'third-country  national'  means  any  person  who  is  not  a  citizen  of  the  Union  within 
the meaning of Article 20(1) of the Treaty; 

'unaccompanied  minor'  means  any  third-country  national  or  stateless  person  below 
the  age  of  18  years,  who  arrives  or  arrived  on  the territory  of  the  Member  States 
unaccompanied  by  an  adult  responsible  for  them  whether  by  law  or  the  national 
practice of the Member State concerned, and for as long as they are not effectively 
taken into the care of such an adult; it includes a minor who is left unaccompanied 
after entering the territory of the Member States; 

'family members' means any persons who are dependant relatives in the descending 
or  ascending  line,  including  adopted  children,  spouses,  unmarried  partners  with  a 
duly attested long-term relationship or in a registered partnership, if applicable under 
the national law of the Member State concerned; 

(f) 

'emergency situation' means a situation resulting from: 

(i) 
heavy  migratory  pressure  in  one  or  more  Member  States  characterised  by  a 
large  and disproportionate inflow of third-country nationals which place significant 
and urgent demands on their reception and detention facilities, asylum systems and 
procedures, 

implementation  of  temporary  protection  mechanisms  within  the  meaning  of 

(ii) 
Directive 2001/55/EC, or 

(iii)  heavy migratory pressure in third countries where refugees are stranded due to 
events such as political developments or conflicts. 

EN 

16 

   EN 

 
Article 3 

Objectives 

1.  The  general  objective  of  the  Fund  shall  be  to  contribute  to  an  effective  management  of 
migration  flows  in  the  Union  as  part  of  the  area  of  freedom,  security  and  justice,  in 
accordance  with  the  common  policy  on  asylum,  subsidiary  protection  and  temporary 
protection and the common immigration policy. 

2. Within its general objective, the Fund shall contribute to the following specific objectives: 

(a) 

to  strengthen  and  develop  the  Common  European  Asylum  System,  including  its 
external dimension; 

The  achievement  of  this  objective  shall  be  measured  by  indicators,  inter  alia,  the 
level  of  improvement  in  asylum  reception  conditions,  in  the  quality  of  asylum 
procedures,  in  the  convergence  of  recognition  rates  across  Member  States,  and  in 
Member States' resettlement efforts. 

(b) 

to support legal migration to the Union in line with the economic and social needs of 
Member  States  and  promote  the  effective  integration  of  third-country  nationals, 
including of asylum seekers and beneficiaries of international protection; 

The  achievement  of  this  objective  shall  be  measured  by  indicators,  inter  alia,  the 
level of increased participation of third-country nationals in employment, education 
and in democratic processes. 

(c) 

to enhance fair and effective return strategies in the Member States with emphasis on 
sustainability of return and effective readmission in the countries of origin; 

The  achievement  of  this  objective  shall  be  measured  by  indicators,  inter  alia,  the 
number of returnees. 

(d) 

to  enhance  the  solidarity  and  responsibility  sharing  between  the  Member  States,  in 
particular towards those most affected by migration and asylum flows. 

The  achievement  of  this  objective  shall  be  measured  by  indicators,  inter  alia,  the 
level  of  increased  mutual  assistance  between  Member  States  including  through 
practical cooperation and relocation. 

Article 4 

Target groups 

1. The Fund shall contribute to the financing of actions targeting one or more of the following 
categories of persons: 

(a) 

any  third-country  national  or  stateless  person  having  the  status  defined  by  the 
Geneva Convention and who is permitted to reside as a refugee in one of the Member 
States; 

EN 

17 

   EN 

 
(b) 

(c) 

(d) 

(e) 

(f) 

(g) 

(h) 

(i) 

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

any third-country national or stateless person who has applied for one of the forms of 
protection referred to in points (a) and (b); 

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

any third-country national or stateless person who is being or has been resettled in a 
Member State; 

any third-country national who is residing legally in a Member State or who is in the 
process of acquiring legal residence in a Member State; 

any  third-country  national  who  is  on  the  territory  of  a  third  country,  who  intend  to 
migrate  to  the  Union  and  who  comply  with  specific  pre-departure  measures  and/or 
conditions set out in national law, including those relating to the ability to integrate 
in the society of a Member State; 

any  third-country  national  who  has  not  yet  received  a  final  negative  decision  in 
relation  to  their  request  to  stay,  legal  residence  and/or  international  protection  in  a 
Member State and who may choose to make use of voluntary return, provided they 
have  not  acquired  a  new  nationality  and  have  not  left  the  territory  of  that  Member 
State; 

any  third-country  national  enjoying  the  right  to  stay,  legal  residence  or  a  form  of 
international  protection  within  the  meaning  of  Directive  2004/83/EC  or  temporary 
protection within the meaning of Directive 2001/55/EC in a Member State, and who 
has chosen to make use of voluntary return, provided they have not acquired a new 
nationality and have not left the territory of that Member State; 

(j) 

any third-country national who does not or no longer fulfil the conditions for entry 
and/or stay in a Member State. 

2.  The  target  group  shall  comprise  family  members  of  persons  referred  to  above,  where 
appropriate, and in so far as the same conditions apply. 

CHAPTER II 

COMMON EUROPEAN ASYLUM SYSTEM 

Article 5 

Reception and asylum systems 

1.  Within  the  specific  objective  defined  in  point  (a)  of  Article  3(2)  and  in  the  light  of  the 
agreed conclusions of the policy dialogue as provided for in Article 13 of the Regulation (EU) 
No …/… [Horizontal Regulation], the Fund shall support actions targeting persons referred to 
in points (a) to (e) of Article 4(1) and relating, in particular, to one or more of the following: 

EN 

18 

   EN 

 
(a) 

(b) 

(c) 

(d) 

(e) 

(f) 

provision  of  material  aid,  education,  training,  support  services,  health  and 
psychological care; 

provision of social assistance, information or help with administrative and/or judicial 
formalities  and  information  or  counselling  on  the  possible  outcomes  of  the  asylum 
procedure, including on aspects such as voluntary return; 

provision of legal aid and language assistance; 

specific  assistance  for  vulnerable  persons  such  as  minors,  unaccompanied  minors, 
disabled  persons,  elderly  people,  pregnant  women,  single  parents  with  minor 
children,  victims  of  trafficking,  persons  with  serious  physical  illnesses,  mental 
illnesses or post-traumatic disorders, and persons who have been subjected to torture, 
rape or other serious forms of psychological, physical or sexual violence; 

information for local communities as well as training for the staff of local authorities, 
who will be interacting with those being received; 

provision  of  integrative  actions  from  the  list  set  out  in  Article  9(1),  where  this  is 
combined with the reception of persons referred to in points (a) to (e) of Article 4(1). 

2. In the new Member States accessing the Union as of 1 January 2013 and in Member States 
faced  with  specific,  structural  deficiencies  in  the  area  of  accommodation  infrastructure  and 
services,  in  addition  to  the  eligible  actions  listed  under  paragraph  1,  the  Fund  may  also 
support actions aiming at: 

(a) 

(b) 

establishment,  development  and  improvement  of  accommodation  infrastructure  and 
services; 

setting  up  of  administrative  structures,  systems  and  training  of  staff  and  relevant 
judicial authorities to ensure smooth access to asylum procedures for asylum seekers 
and efficient and quality asylum procedures. 

Article 6 

Member States' capacity to develop, monitor and evaluate their asylum policies 

Within the specific objective defined in point (a) of Article 3(2) and in the light of the agreed 
conclusions  of  the  policy  dialogue  as  provided  for  in  Article  13  of  the  Regulation  (EU)  No 
…/… [Horizontal Regulation], the following actions, shall in particular be eligible: 

(a) 

(b) 

actions enhancing the capacity of Member States to collect, analyse and disseminate 
data  and  statistics  on  asylum  procedures,  reception  capacities,  resettlement  and 
relocation actions; 

actions  directly  contributing  to  the  evaluation  of  asylum  policies,  such  as  national 
impact  assessments,  surveys  amongst  target  groups,  the  development  of  indicators 
and benchmarking. 

EN 

19 

   EN 

 
Article 7 

Resettlement and relocation 

Within the specific objective defined in points (a) and (d) of Article 3(2) and in the light of 
the agreed conclusions of the policy dialogue as provided for in Article 13 of the Regulation 
(EU)  No  …/…  [Horizontal  Regulation],  the  Fund  shall,  in  particular,  support  the  following 
actions related to resettlement of persons referred to in point (e) of Article 4 and/or relocation 
of persons referred to in points (a), (b) and (c) of Article 4(1): 

(a) 

(b) 

(c) 

(d) 

(e) 

(f) 

(g) 

establishment and development of national resettlement and relocation programmes;  

establishment  of  appropriate  infrastructure  and  services  to  ensure  the  smooth  and 

effective implementation of resettlement and relocation actions; 

setting up of structures, systems and training of staff to conduct missions to the third 
countries and/or other Member States, to carry out interviews, medical and security 
screening; 

assessment of potential resettlement and/or relocation cases by the competent Member 
States'  authorities,  such  as  conducting  missions  to  the  third  country  and/or  other 
Member State, interviews, medical and security screening; 

pre-departure  health  assessment  and  medical  treatment,  pre-departure  material 
provisions,  pre-departure  information  measures  and  travel  arrangements,  including 
the provision of medical escort services; 

information and assistance upon arrival, including interpretation services; 

strengthening  of  infrastructure  and  services  in  the  countries  designated  for  the 

implementation of Regional Protection Programmes. 

CHAPTER III 

INTEGRATION OF THIRD-COUNTRY NATIONALS AND LEGAL MIGRATION 

Article 8 

Immigration and pre-departure measures 

In order to facilitate legal migration to the Union and better to prepare persons referred to in 
point  (g)  of  Article  4(1)  for  their  integration  into  the  receiving  society  within  the  specific 
objective defined in point (b) of Article 3(2) and in the light of the agreed conclusions of the 
policy  dialogue  as  provided  for  in  Article  13  of  the  Regulation  (EU)  No  …/…  [Horizontal 
Regulation], the following actions taking place in the country of origin, shall in particular be 
eligible: 

(a) 

information  packages  and  awareness-raising  campaigns,  including  via  user  friendly 
communication and information technology and websites; 

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(b) 

(c) 

(d) 

assessment  of  skills  and  qualifications  and  enhancement  of  transparency  and 
equivalence of skills and qualifications in the countries of origin; 

vocational training; 

comprehensive civic orientation courses and language tuition. 

Article 9 

Integration measures at local and regional level 

1. Within the specific objective defined in point (b) of Article 3(2), eligible actions shall take 
place  in  the  framework  of  consistent  strategies,  implemented  by  non-governmental 
organisations, local and/or regional authorities and specifically designed for the integration, at 
the  local  and/or  regional  level,  as  appropriate,  of  persons  referred  to  in  points  (a)  to  (g)  of 
Article 4(1). In this context, eligible actions shall in particular include the following: 

(a) 

(b) 

(c) 

(d) 

(e) 

(f) 

(g) 

(h) 

setting  up  and  developing  such  integration  strategies,  including  needs  analysis,  the 
improvement of indicators and evaluation; 

advice and assistance in areas such as housing, means of subsistence, administrative 
and legal guidance, medical, psychological and social care, child care; 

actions  introducing  third-country  nationals  to  the  receiving  society  and  actions 
enabling  them  to  adapt  to  it,  to  inform  them  on  their  rights  and  obligations,  to 
participate in civil and cultural life and to share the values enshrined in the Charter of 
Fundamental Rights of the European Union; 

measures focusing on education, including language training and preliminary actions 
to facilitate access to the labour market; 

actions designed to promote self-empowerment and to enable third-country nationals 
to provide for themselves; 

actions  that  promote  meaningful  contact  and  constructive  dialogue  between  third-
country nationals and the receiving society and actions to increase acceptance by the 
receiving society, including through the involvement of the media; 

actions  promoting  both  equality  of  access  and  equality  of  outcomes  in  relation  to 
third-country  nationals'  dealings  with  public  and  private  services,  including 
adaptation of these services to dealing with third-country nationals; 

capacity  building  of  implementing  organisations,  including  exchange  of  experience 
and good practices, and networking. 

2.  Actions  referred  to  in  paragraph  1  shall  take  into  account  the  specific  needs  of  different 
categories  of  third-country  nationals  and  their  family  members,  including  those  entering  or 
residing for employment or self-employment and family reunification purposes, beneficiaries 
of  international  protection,  asylum  seekers,  resettled  or  relocated  persons  and  vulnerable 
groups  of  migrants,  in  particular,  minors,  unaccompanied  minors,  disabled  persons,  elderly 
people,  pregnant  women,  single  parents  with  minor  children,  victims  of  trafficking,  and 

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persons  who  have  been  subjected  to  torture,  rape  or  other  serious  forms  of  psychological, 
physical or sexual violence. 

3. Actions referred to in paragraph 1 may include, where appropriate, citizens of a Member 
State with a migration background, meaning having at least one parent (i.e. mother or father) 
who is a third country national. 

4. For the purpose of programming and implementation of actions referred to in paragraph 1, 
the  partnership  referred  to  in  Article  12  of  the  Regulation  (EU)  No  …/…  [Horizontal 
Regulation]  shall  include  authorities  designated  by  Member  States  for  the  purpose  of  the 
management of the interventions of the European Social Fund. 

Article 10 

Capacity building measures 

Within the specific objective defined in point (b) of Article 3(2) and in the light of the agreed 
conclusions  of  the  policy  dialogue  as  provided  for  in  Article  13  of  the  Regulation  (EU)  No 
…/… [Horizontal Regulation], eligible actions shall in particular include the following: 

(a) 

(b) 

(c) 

(d) 

(e) 

building  up  strategies  promoting  legal  migration  with  a  view  to  facilitating  the 
development  and  implementation  of  flexible  admission  procedures,  inter  alia  by 
supporting cooperation between recruitment agencies and employment services from 
Member  States  and  third  countries,  as  well  as  supporting  Member  States  in  their 
implementation  of  Union  migration  law,  consultation  processes  with  relevant 
stakeholders and expert advice or information exchanges on approaches which target 
specific nationalities or categories of third-country nationals with respect to needs of 
the labour markets; 

reinforcing  the  capacity  of  Member  States  to  develop,  implement,  monitor  and 
evaluate  their  immigration  strategies,  policies  and  measures  across  the  different 
levels  and  departments  of  administrations,  in  particular  enhancement  of  their 
capacity  to  collect,  analyse  and  disseminate  data  and  statistics  on  migration 
procedures  and  flows,  residence  permits  and  development  of  monitoring  tools, 
evaluation  schemes,  indicators  and  benchmarking  for  measuring  achievements  of 
these strategies; 

furthering  intercultural  capacities  of  implementing  organisations  providing  public 
and  private  services,  including  educational  institutions,  promoting  the  exchange  of 
experience and good practices, cooperation and networking; 

integration  and  diversity 
building  sustainable  organisational  structures 
management,  in  particular  through  cooperation  between  different  stakeholders 
enabling  officials  at  various  levels  of  national  administrations  to  swiftly  gain 
information  about  experiences  and  best  practices  elsewhere  and,  where  possible,  to 
pool resources; 

for 

contributing  to  a  dynamic  two-way  process  of  mutual  interaction,  underlying 
integration  strategies  at  local  and  regional  level  by  developing  platforms  for 
consultation  of 
information  between 
stakeholders and intercultural and religious dialogue platforms between third country 

third-country  nationals,  exchange  of 

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nationals' communities and/or between these communities and the receiving society 
and/or between those communities and policy and decision-making authorities. 

CHAPTER IV 

RETURN 

Article 11 

Measures accompanying return procedures 

Within the specific objective defined in point (c) of Article 3(2) and in the light of the agreed 
conclusions  of  the  policy  dialogue  as  provided  for  in  Article  13  of  the  Regulation  (EU)  No 
…/… [Horizontal Regulation], the Fund shall support actions targeting persons referred to in 
points (h) to (j) of Article 4(1) and relating, in particular, to one or more of the following: 

(a) 

(b) 

(c) 

(d) 

(e) 

(f) 

establishment  and  improvement  of  accommodation  infrastructure  or  services  and 
reception or detention conditions;  

setting up of administrative structures, systems and training of staff to ensure smooth 
return procedures; 

provision of material aid, health and psychological care;  

provision of social assistance, information or help with administrative and/or judicial 
formalities and information or counselling; 

provision of legal aid and language assistance; 

specific  assistance  for  vulnerable  persons  such  as  minors,  unaccompanied  minors, 
disabled  persons,  elderly  people,  pregnant  women,  single  parents  with  minor 
children, victims of trafficking, and persons who have been subjected to torture, rape 
or other serious forms of psychological, physical or sexual violence. 

Article 12 

Return measures 

Within the specific objective defined in point (c) of Article 3(2) and in the light of the agreed 
conclusions  of  the  policy  dialogue  as  provided  for  in  Article  13  of  the  Regulation  (EU)  No 
…/… [Horizontal Regulation], the Fund shall support actions targeting persons referred to in 
points (h) to (j) of Article 4(1) and relating, in particular, to one or more of the following: 

(a) 

co-operation  with  consular  authorities  and  immigration  services  of  third  countries 
with  a  view  to  obtaining  travel  documents,  facilitating  repatriation  and  ensuring 
readmission; 

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(b) 

(c) 

(d) 

(e) 

assisted  voluntary  return  measures,  including  medical  examinations  and  assistance, 
travel  arrangements,  financial  contributions,  pre-  and  post-return  counselling  and 
assistance;  

measures  to  launch  the  progress  of  reintegration  for  the  returnee's  personal 
development,  such  as  cash-incentives, 
training,  placement  and  employment 
assistance and start-up support for economic activities; 

facilities  and  services 
accommodation and reception upon arrival; 

in 

third  countries  ensuring  appropriate 

temporary 

specific  assistance  for  vulnerable  persons  such  as  minors,  unaccompanied  minors, 
disabled  persons,  elderly  people,  pregnant  women,  single  parents  with  minor 
children, victims of trafficking, and persons who have been subjected to torture, rape 
or other serious forms of psychological, physical or sexual violence. 

Article 13 

Practical co-operation and capacity building measures 

Within the specific objective defined in point (c) of Article 3(2) and in the light of the agreed 
conclusions  of  the  policy  dialogue  as  provided  for  in  Article  13  of  the  Regulation  (EU)  No 
…/… [Horizontal Regulation], the following actions shall, in particular, be eligible: 

(a) 

(b) 

(c) 

(d) 

(e) 

actions  to  promote  and  reinforce  the  operational  cooperation  between  the  return 
services  of  Member  States,  including  as  regards  co-operation  with  consular 
authorities and immigration services of third countries; 

actions  to  support  cooperation  between  return  services  from  Member  States  and 
third-countries, including measures aiming at strengthening third countries' capacities 
to  conduct  such  readmission  and  reintegration  activities  in  the  framework  of 
readmission agreements; 

actions enhancing the capacity to develop effective and sustainable return policies, in 
particular  by  exchanging  information  on  the  situation  in  countries  of  return,  best 
practices, sharing experience and pooling resources between Member States; 

actions enhancing the capacity to collect, analyse and disseminate data and statistics 
on return procedures and measures, reception and detention capacities, enforced and 
voluntary returns, monitoring and reintegration; 

actions  directly  contributing  to  the  evaluation  of  return  policies,  such  as  national 
impact  assessments,  surveys  amongst  target  groups,  the  development  of  indicators 
and benchmarking. 

CHAPTER V 

FINANCIAL AND IMPLEMENTATION FRAMEWORK 

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Article 14 

Global resources and implementation 

1. The global resources for the implementation of this Regulation shall be EUR 3,869 million. 

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

3. The global resources shall be implemented through the following means: 

(a)  national programmes, in accordance with Article 20; 

(b)  Union actions, in accordance with Article 21; 

(c) 

emergency assistance, in accordance with Article 22; 

(d)  European Migration Network, in accordance with Article 23; 

(e) 

technical assistance, in accordance with Article 24. 

4.  The  global  resources  available  under  this  Regulation  shall  be  implemented  under  shared 
management  in  accordance  with  [point  (b)  of  Article  55(1)  of  the  New  Financial 
Regulation]25,  with  the  exception  of  Union  actions  referred  to  in  Article  21,  the  emergency 
assistance referred to in Article 22, the European Migration Network referred to in Article 23, 
and technical assistance referred to in Article 24. 

5. The global resources shall be used indicatively as follows: 

(a) 

(b) 

EUR 3,232 million for national programmes of Member States; 

EUR  637  million  for  Union  actions,  emergency  assistance,  European  Migration 
Network and technical assistance of the Commission. 

Article 15 

Resources for eligible actions in the Member States 

1. EUR 3,232 million shall be allocated to the Member States indicatively as follows: 

(a) 

(b) 

25 

EUR 2,372 million as indicated in Annex I; 

EUR 700 million based on the distribution mechanism for specific actions as referred 
to in Article 16, for the Union Resettlement Programme as referred to Article 17 and 
for relocation as referred to in Article 18; 

Commission proposal – Regulation on the financial rules applicable to the annual budget of the Union 
(COM(2010)815  final  of  22.12.2010).  This  proposal  constitutes  a  formal  withdrawal  by  the 
Commission of the previous legislative proposals COM(2010)71 final and COM(2010)260 final. 

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(c) 

EUR 160 million in the framework of the mid-term review and from the period as of 
budget year 2018, to take into account important changes in migration flows and/or 
address the specific needs established by the Commission provided for in Article 19. 

2. The amount referred to in point (b) of paragraph 1 shall support: 

(a) 

(b) 

specific actions listed in Annex II, 

resettlement of persons referred to in point (e) of Article 4 and/or relocation of persons 

referred to in points (a), (b) and (c) of Article 4(1). 

Article 16 

Resources for specific actions 

1.  An  additional  amount  as  referred  to  in  point  (a)  of  Article  15(2)  may  be  allocated  to  the 
Member States provided that it is earmarked as such in the programme and shall be used to 
implement specific actions. Those specific actions are listed in Annex II. 

2.  To  take  into  account  new  policy  developments,  the  Commission  shall  be  empowered  to 
adopt delegated acts in accordance with Article 26 to revise the Annex II in the context of the 
mid-term  review.  On  the  basis  of  the  revised  list  of  specific  actions,  Member  States  may 
receive an additional amount as laid down in paragraph 1, subject to available resources.  

3. The additional amounts referred to in paragraphs 1 and 2 shall be allocated to the Member 
States in the individual financing decisions approving or revising their national programme in 
the context of the mid-term review according to the procedure laid down in Articles 14 and 15 
of the Regulation (EU) No …/… [Horizontal Regulation]. Those amounts shall only be used 
for the implementation of the specific actions. 

Article 17 

Resources for Union Resettlement Programme 

1. Member States shall, in addition to their allocation calculated in accordance with point (a) 
of Article 15(1), receive every two years an additional amount as set out in point (b) of Article 
15(2) based on a lump sum of EUR 6,000 for each resettled person. 

2. The lump sum referred to in paragraph 1 shall be increased to EUR 10,000 for each person 
resettled  according  to  the  common  Union  resettlement  priorities  established  pursuant  to 
paragraphs 3 and 4 and listed in Annex III. 

3. The Commission shall be empowered to adopt delegated acts in accordance with Article 26 
to  specify  every  two  years  the  common  Union  resettlement  priorities  on  the  basis  of  the 
following general categories: 

– 

persons  from  a  country  or  region  designated  for  the  implementation  of  a 
Regional Protection Programme; 

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– 

– 

persons  from  a  country  or  region  which  has  been  identified  in  the  UNHCR 
resettlement  forecast  and  where  Union  common  action  would  have  a 
significant impact in addressing the protection needs; 

persons  belonging  to  a  specific  category  falling  within  the  UNHCR 
resettlement criteria. 

4. The following vulnerable groups of refugees shall in any event be included in the common 
Union resettlement priorities and qualify for the lump sum provided for in paragraph 2 : 

– 

– 

– 

– 

women and children at risk, 

unaccompanied minors, 

persons having medical needs that can be addressed only through resettlement, 

persons in need of  emergency  resettlement  or  urgent  resettlement  for  legal  or 
physical protection needs. 

5. Where a Member State resettles a person according to more than one of categories referred 
to in paragraphs 1 and 2, it shall receive the lump sum for that person only once. 

6.  The  Commission  shall  establish  by  way  of  implementing  acts  the  timetable  and  other 
implementation  conditions  related  to  the  allocation  mechanism  of  resources  for  Union 
Resettlement Programme in accordance with the procedure referred to in Article 27(2). 

7. The additional amounts referred to in paragraph 1 shall be allocated to the Member States 
every  two  years,  for  the  first  time  in  the  individual  financing  decisions  approving  their 
national  programme  according  to  the  procedure  laid  down  in  Article  14  of  the  Regulation 
(EU) No …/… [Horizontal Regulation] and later in a financing decision to be annexed to the 
decisions approving their national programme. Those amounts shall not be transferred to other 
actions under the national programme. 

8. To effectively pursue the objectives of the Union Resettlement Programme and within the 
limits of available resources, the Commission shall be empowered to adopt delegated acts in 
accordance  with  Article  26  to  adjust,  if  deemed  appropriate,  the  lump  sums  referred  to  in 
paragraphs 1 and 2. 

Article 18 

Resources for relocation 

1. Member States shall, in addition to their allocation calculated in accordance with point (a) 
of Article 15(1), receive, when deemed appropriate, an additional amount as set out in point 
(b)  of  Article  15(2)  based  on  a  lump  sum  of  EUR  6,000  for  each  person  relocated  from 
another Member State. 

2. The Commission shall establish the timetable and other implementation conditions related 
to  the  allocation  mechanism  of  resources  for  relocation  in  accordance  with  the  procedure 
referred to in Article 26(2). 

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3. The additional amounts referred to in paragraph 1 shall be allocated to the Member States 
on  a  regular  basis,  for  the  first  time  in  the  individual  financing  decisions  approving  their 
national  programme  according  to  the  procedure  laid  down  in  Article  14  of  the  Regulation 
(EU) No …/… [Horizontal Regulation] and later in a financing decision to be annexed to the 
decision approving their national programme. Those amounts shall not be transferred to other 
actions under the national programme. 

4.  To  effectively  pursue  the  objectives  of  solidarity  and  responsibility  sharing  between  the 
Member  States  and  within  the  limits  of  available  resources,  the  Commission  shall  be 
empowered  to  adopt  delegated  acts  in  accordance  with  Article  26  to  adjust  the  lump  sum 
referred to in paragraph 1. 

Article 19 

Resources in the framework of the mid-term review 

1. In order to allocate the amount indicated in point (c) of Article 15(1), by 31 May 2017 the 
Commission  shall  assess  the  needs  of  Member  States  as  regards  their  asylum  and  reception 
systems,  their  situation  concerning  migration  flows  in  the  period  2014  to  2016  and  the 
expected developments. 

The  Commission  shall  use  for  its  assessment,  inter  alia,  the  information  collected  from 
Eurostat, the European Migration Network, the EASO and the Frontex Agency risk analysis. 

Based on that analysis, the Commission shall determine the level of specific needs as regards 
the asylum and reception systems and as regards the migratory pressure in Member States by 
aggregating factors defined as follows: 

(a) 

asylum and reception systems: 

(i) 

factor 1 for no specific needs 

(ii) 

factor 1,5 for medium specific needs 

(iii) 

factor 3 for high specific needs 

(b) 

migratory pressure: 

(i) 

factor 1 for no particular pressure 

(ii) 

factor 1,5 for medium particular pressure 

(iii) 

factor 3 for high particular pressure 

2. On the basis of that pattern, the Commission shall determine by way of implementing acts 
the  Member  States  which  shall  receive  an  additional  amount  and  establish  a  distribution 
matrix for allocation of the available resources amongst those Member States in accordance 
with the procedure referred to in Article 27(3). 

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Article 20 

National programmes 

1. Under the programmes, to be examined and approved in accordance with Article 14 of the 
Regulation (EU) No …/… [Horizontal Regulation], Member States shall pursue in particular 
the following objectives: 

(a) 

(b) 

(c) 

strengthening the establishment  of  Common  European  Asylum  System  by  ensuring 
the efficient and uniform application of the Union acquis on asylum; 

supporting the establishment and development of the Union Resettlement Programme 
by  offering  durable  solutions  to  refugees  stranded  in  third-countries,  in  particular 
according to common Union resettlement priorities; 

setting  up  and  developing  integration  strategies  at  local/regional  level  encompassing 
different  aspects  of  the  two  way  dynamic  process,  addressing  specific  needs  of 
different  categories  of  migrants  and  developing  effective  partnerships  between  all 
stakeholders; 

(d) 

developing  an  assisted  voluntary  return  programme  including  a  component  on 

reintegration. 

2. Member States shall ensure that all actions supported under this Fund are compatible with 
the Union acquis on asylum and immigration, even if they are not bound by or subject to the 
application of the relevant measures. 

Article 21 

Union actions 

1.  At  the  Commission's  initiative,  the  Fund  may  be  used  to  finance  transnational  actions  or 
actions  of  particular  interest  to  the  Union,  concerning  the  general  and  specific  objectives 
referred to in Article 3.  

2. To be eligible for funding, Union actions shall, in particular, support: 

(a) 

(b) 

(c) 

the furthering of Union cooperation in implementing Union law and good practices 
in  the  field  of  asylum,  including  resettlement  and  relocation,  legal  migration, 
including integration of third-country nationals, and return; 

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

studies  on  possible  new  forms  of  Union  cooperation  in  the  field  of  asylum, 
immigration,  integration  and  return  and  relevant  EU  law,  the  dissemination  and 
exchange  of  information  on  best  practices  and  on  all  other  aspects  of  asylum, 
immigration, integration and return policies, including corporate communication on 
the political priorities of the Union; 

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(d) 

(e) 

(f) 

development and application by Member States of common statistical tools, methods 
and  indicators  for  measuring  policy  developments  in  the  field  of  asylum,  legal 
migration and integration and return; 

preparatory,  monitoring,  administrative  and  technical  support,  development  of  an 
evaluation  mechanism,  required  to  implement  the  policies  on  asylum  and 
immigration; 

the 
cooperation  with 
implementation  of  readmission  agreements,  mobility  partnerships  and  regional 
protection programmes. 

the  framework  of 

third  countries, 

in  particular 

in 

3. The actions referred to in this Article shall be implemented in accordance with Article 7 of 
the Regulation (EU) No …/… [Horizontal Regulation]. 

Article 22 

Emergency assistance 

1.  The  Fund  shall  provide  financial  assistance  to  address  urgent  and  specific  needs  in  the 
event of an emergency situation. 

2. Emergency assistance shall be implemented in accordance with Article 8 of the Regulation 
(EU) No …/…[Horizontal Regulation].  

Article 23 

European Migration Network 

1. The Fund shall support the European Migration Network and provide financial assistance 
necessary for its activities and its future development.  

2. The objective of the European Migration Network shall be: 

(a) 

(b) 

to  serve  as  an  Union  advisory  council  for  migration  and  asylum  through  co-
ordination and cooperation at both national and Union level with representatives of 
Member  States,  academia,  civil  society,  think-tanks  and  other  Union/international 
entities; 

to meet the migration and asylum information needs of Union institutions and of the 
Member  States  by  providing  up-to-date,  objective,  reliable  and  comparable 
information  on  migration  and  asylum,  in  order  to  support  policymaking  in  the 
European Union in these areas;  

(c) 

to provide the general public with the information referred to in point (b). 

3. To achieve its objective the European Migration Network shall: 

(a) 

collect  and  exchange  up-to-date,  objective,  reliable  and  comparable  data  and 
information  from  a  wide  range  of  sources,  including  in  meetings,  by  electronic 
means, through common studies and via ad-hoc queries;  

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(b) 

undertake  analysis  of  the  data  and  information  referred  to  in  point  (a),  including 
improving comparability, and provide it in format readily accessible to policymakers 
in particular; 

(c) 

produce  and  publish  periodic  reports  on  the  migration  and  asylum  situation  in  the 

Union and the Member States; 

(d) 

through  the  provision  of  the  information  produced  by  it,  serve  as  a  reference  to  the 

wider public for objective, impartial information on migration and asylum. 

4.  The  European  Migration  Network,  EASO  and  Frontex  Agency  shall  ensure  that  their 
respective activities are consistent and coordinated. 

5. The European Migration Network shall be composed of: 

(a) 

(b) 

(c) 

the  Commission,  which  shall  coordinate  the  work  of  the  European  Migration 
Network, and ensure, in particular, that it appropriately reflects the political priorities 
of the Union in the area of migration and asylum; 

a  Steering  Board  to  provide  political  guidance  on  and  approve  the  activities  of  the 
European  Migration  Network,  comprising  of  the  Commission  plus  experts  from 
Member States, the European Parliament and from other relevant entities; 

National Contact Points designated by the Member States, each one comprising of at 
least  three  experts  who  collectively  have  expertise  in  the  area  of  asylum  and 
migration,  covering  aspects  of  policymaking,  law,  research  and  statistics,  and  who 
shall co-ordinate and provide the national contributions to the activities referred to in 
Article 19(1) in order to have contributions from all relevant stakeholders; 

(d) 

other relevant national and Union level entities in the field of migration and asylum. 

6.  The  Commission  shall  establish  by  way  of  implementing  acts  the  detailed  rules  for  the 
functioning of the European Migration Network in accordance with the procedure referred to 
in Article 27(2). 

7.  The  amount  made  available  for  the  European  Migration  Network  under  the  annual 
appropriations  of  the  Fund  and  the  work  programme  laying  down  the  priorities  for  its 
activities shall be adopted in accordance with the procedure referred to in Article 27(3) and, if 
possible, combined with the work programme for Union actions and emergency assistance. 

8.  Financial  assistance  provided  for  the  activities  of  the  European  Migration  Network  shall 
take form of grants to the National Contact Points and public contracts as appropriate, in line 
with the Financial Regulation. 

Article 24 

Technical assistance 

1. At the initiative and/or on behalf of the Commission, up to EUR 2,5 million of the Fund 
shall be annually used for technical assistance in accordance with Article 10 of the Regulation 
(EU) No …/… [Horizontal Regulation]. 

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2. At the initiative of a Member State, the Fund shall contribute up to 5% of the total amount 
allocated  to  the  Member  State  to  technical  assistance  under  the  national  programme  in 
accordance with Article 20 of the Regulation (EU) No …/… [Horizontal Regulation]. 

CHAPTER VI 

FINAL PROVISIONS 

Article 25 

Specific provisions concerning lump sums for resettlement and relocation 

By way of derogation from the rules on the eligibility of expenditure laid down in Article 18 
of  the  Regulation  (EU)  No  …/…  [Horizontal  Regulation],  in  particular  as  regards  the  lump 
sums  and  flat  rates,  the  lump  sums  allocated  to  the  Member  States  for  resettlement  and/or 
relocation pursuant to this Regulation shall be: 

– 

– 

exempt  from  the  obligation  that  they  are  to  be  based  on  statistical  or  historic  data; 
and 

granted provided that the person in respect of whom the lump sum is allocated was 
effectively resettled and/or relocated in accordance with this Regulation. 

Article 26 

Exercise of the delegation 

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

2.  The  delegation  of  powers  referred  to  in  this  Regulation  shall  be  conferred  on  the 
Commission  for  a  period  of  7  years  from  date  of  entry  into  force  of  this  Regulation.  The 
delegation of powers shall be tacitly extended for periods of an identical duration, unless the 
European Parliament or the Council opposes such extension not later than three months before 
the end of each period. 

3. The delegation of powers referred to in this Regulation may be revoked at any time by the 
European  Parliament  or  by  the  Council.  A  decision  of  revocation  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. 

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

5.  A  delegated  act  adopted  pursuant  to  this  Regulation  shall  enter  into  force  only  if  no 
objection  has  been  expressed  either  by  the  European  Parliament  or  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 

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32 

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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 27 

Committee procedure 

1.  The  Commission  shall  be  assisted  by  the  common  Committee  'Asylum,  Migration  and 
Security'  established  by  Article  55(1)  of  the  Regulation  (EU)  No  …/…  [Horizontal 
Regulation]. 

2. Where reference is made to this paragraph, Article 4 of Regulation (EU) No 182/2011 shall 
apply. 

3. Where reference is made to this paragraph, Article 5 of Regulation (EU) No 182/2011 shall 
apply. 

Article 28 

Review 

On  the  basis  of  a  proposal  from  the  Commission,  the  European  Parliament  and  the  Council 
shall review this Regulation by 30 June 2020 at the latest. 

Article 29 

Applicability of the Regulation (EU) No …/… [Horizontal Regulation] 

The provisions of [Regulation (EU) No .../…] shall apply to this Fund. 

Article 30 

Repeal 

The following Decisions are repealed with effect from 1 January 2014: 

(a) 

(b) 

(c) 

(d) 

Decision No 573/2007/EC; 

Decision No 575/2007/EC; 

Decision 2007/435/EC;  

Decision 2008/381/EC. 

Article 31 

Transitional provisions 

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33 

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1.  This  Regulation  shall  not  affect  the  continuation  or  modification,  including  the  total  or 
partial cancellation, of the projects and annual programmes concerned, until their closure, or 
of  assistance  approved  by  the  Commission  on  the  basis  of  Decisions  No  573/2007/EC,  No 
575/2007/EC  and  2007/435/EC  or  any  other  legislation  applying  to  that  assistance  on  31 
December 2013. 

This Regulation shall not affect the continuation or modification, including the total or partial 
cancellation,  of  financial  support  approved  by  the  Commission  on  the  basis  of  Decision 
2008/381/EC or any other legislation applying to that assistance on 31 December 2013. 

2. When adopting decisions on co-financing under this Regulation, the Commission shall take 
account  of  measures  adopted  on  the  basis  of  Decisions  No  573/2007/EC,  No  575/2007/EC, 
2007/435/EC and 2008/381/EC before [date of publication in the Official Journal] which have 
financial repercussions during the period covered by that co-financing. 

3.  Sums  committed  for  co-financing  approved  by  the  Commission  between  1  January  2011 
and 31 December 2013 for which the documents required for closure of the actions have not 
been  sent  to  the  Commission  by  the  deadline  for  submitting  the  final  report  shall  be 
automatically  decommitted  by  the  Commission  by  31  December  2017,  giving  rise  to  the 
repayment of amounts unduly paid. 

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

Article 32 

Entry into force and application 

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 the Member States in 
accordance with the Treaties. 

Done at Brussels, 

For the European Parliament 
The President 

For the Council 
The President 

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ANNEX I 

Indicative multiannual breakdowns per Member States for 2014-2020 

Member State
Austria
Belgium
Bulgaria
Cyprus
Czech Republic
Estonia
Finland
France
Germany
Greece
Hungary
Ireland
Italy
Latvia
Lithuania
Luxembourg
Malta
Netherlands
Poland
Portugal
Romania
Slovakia
Slovenia
Spain
Sweden
United Kingdom
MS Totals

Minimum amount
5.000.000 €
5.000.000 €
5.000.000 €
5.000.000 €
5.000.000 €
5.000.000 €
5.000.000 €
5.000.000 €
5.000.000 €
5.000.000 €
5.000.000 €
5.000.000 €
5.000.000 €
5.000.000 €
5.000.000 €
5.000.000 €
5.000.000 €
5.000.000 €
5.000.000 €
5.000.000 €
5.000.000 €
5.000.000 €
5.000.000 €
5.000.000 €
5.000.000 €
5.000.000 €
130.000.000,00 €

Statistical data
63.223.378 €
74.592.179 €
6.492.853 €
22.924.043 €
24.608.422 €
5.283.369 €
17.858.874 €
259.144.969 €
207.601.650 €
255.226.050 €
19.064.351 €
17.950.380 €
322.612.301 €
8.728.530 €
4.327.992 €
2.200.106 €
9.484.725 €
86.470.175 €
56.510.753 €
25.748.854 €
15.536.629 €
8.604.418 €
10.451.804 €
246.997.020 €
117.165.199 €
353.190.975 €
2.242.000.000 €

TOTAL

68.223.378 €
79.592.179 €
11.492.853 €
27.924.043 €
29.608.422 €
10.283.369 €
22.858.874 €
264.144.969 €
212.601.650 €
260.226.050 €
24.064.351 €
22.950.380 €
327.612.301 €
13.728.530 €
9.327.992 €
7.200.106 €
14.484.725 €
91.470.175 €
61.510.753 €
30.748.854 €
20.536.629 €
13.604.418 €
15.451.804 €
251.997.020 €
122.165.199 €
358.190.975 €

2.372.000.000 €

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ANNEX II 

List of specific actions according to Article 16 

(1)  Establishment  and  development  in  the  Union  of  transit  and  processing  centres  for 
refugees,  in  particular  to  support  resettlement  operations  in  cooperation  with  the 
UNHCR 

(2)  New  approaches,  in  cooperation  with  the  UNHCR,  concerning  access  to  asylum 
procedures  targeting  main  countries  of  transit  such  as  protection  programmes  for 
particular groups or certain procedures for examination of applications for asylum 

(3) 

(4) 

(5) 

(6) 

Joint  initiatives  amongst  Member  States  in  the  field  of  integration,  such  as 
benchmarking exercises, peer reviews or testing of European modules,  for example on 
the acquisition of language skills or the organisation of introductory programmes 

Joint  initiatives  aimed  at  identification  and  implementation  of  new  approaches 
concerning 
the  procedures  at  first  encounter  and  standards  of  protection  of 
unaccompanied minors 

Joint return operations, including joint actions on implementation of Union readmission 
agreements 

Joint reintegration projects in the countries of origin with a view to sustainable return, as 
well  as  joint  actions  to  strengthen  third  countries'  capacities  to  implement  Union 
readmission agreements 

(7) 

Joint  initiatives  aimed  at  restoring  family  unity  and  reintegration  of  unaccompanied 
minors in their countries of origin 

(8)  Setting  up  of  joint  migration  centres  in  third-countries,  as  well  as  joint  projects  to 
promote  cooperation  between  recruitment  agencies  and  employment  services  from 
Member States and third countries 

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ANNEX III 

List of common Union resettlement priorities for 2014-2015 

(1)  The Regional Protection Programme in Eastern Europe (Belarus, Moldova, Ukraine) 

(2)  The Regional Protection Programme in the Horn of Africa (Djibouti, Kenya, Yemen) 

(3)  The Regional Protection Programme in North Africa (Egypt, Libya, Tunisia) 

(4)  Refugees in the region of Eastern Africa / Great Lakes 

(5) 

Iraqi refugees in Syria, Lebanon, Jordan 

(6) 

Iraqi refugees in Turkey 

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LEGISLATIVE FINANCIAL STATEMENT  

1. 

FRAMEWORK OF THE PROPOSAL/INITIATIVE  

1.1.  Title of the proposal/initiative  

1.2.  Policy area(s) concerned in the ABM/ABB structure 

1.3.  Nature of the proposal/initiative  

1.4.  Objective(s)  

1.5.  Grounds for the proposal/initiative  

1.6.  Duration and financial impact  

1.7.  Management method(s) envisaged  

2. 

MANAGEMENT MEASURES  

2.1.  Monitoring and reporting rules  

2.2.  Management and control system  

2.3.  Measures to prevent fraud and irregularities  

3. 

ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE  

3.1.  Heading(s)  of  the  multiannual  financial  framework  and  expenditure  budget  line(s) 
affected  

3.2.  Estimated impact on expenditure  

3.2.1. Summary of estimated impact on expenditure  

3.2.2. Estimated impact on operational appropriations  

3.2.3. Estimated impact on appropriations of an administrative nature 

3.2.4. Compatibility with the current multiannual financial framework 

3.2.5. Third-party participation in financing  

3.3.  Estimated impact on revenue 

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LEGISLATIVE FINANCIAL STATEMENT 

1. 

FRAMEWORK OF THE PROPOSAL/INITIATIVE  

1.1. 

Title of the proposal/initiative  

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

Proposal for a Regulation laying down general provisions on the Asylum and Migration Fund and on 
the instrument for financial support for police cooperation, preventing and combating crime, and crisis 
management; 

Proposal for a Regulation establishing the Asylum and Migration Fund. 

1.2. 

Policy area(s) concerned in the ABM/ABB structure26  

Currently Heading 3, Title 18 – Home Affairs 

Future  Multiannual  Financial  Perspectives:  Heading  3  (Security  and  citizenship)  –  "Asylum  and 
Migration Fund"  

Nature of the proposal/initiative  

(cid:59) The proposal/initiative relates to a new action (home affairs funding for the period 2014-2020) 

(cid:133) The proposal/initiative relates to a new action following a pilot project/preparatory action27  

(cid:133) The proposal/initiative relates to the extension of an existing action  

(cid:133) The proposal/initiative relates to an action redirected towards a new action  

1.3. 

Objectives 

1.3.1.  The Commission's multiannual strategic objective(s) targeted by the proposal/initiative  

The final aim of home affairs policies is to create an area without internal borders where EU citizens 
and third-country nationals may enter, circulate, live and work, bringing new ideas, capital, knowledge 
and  innovation  or  filling  gaps  in  the  national  labour  markets,  confident  that  their  rights  are  fully 
respected  and  their  security  assured.  Cooperation  with  non-EU  countries  and  international 
organisations is crucial to achieving this goal. 

The  growing  importance  of  home  affairs  policies  has  been  confirmed  by  the  Stockholm  Programme 
and its Action Plan, the implementation of which is a strategic priority for the Union and covers areas 
such  as  migration  (legal  migration  and  integration;  asylum;  irregular  migration  and  return),  security 
(prevention of and fight against terrorism and organised crime; police cooperation) and management of 

26 
27 

ABM: Activity-Based Management – ABB: Activity-Based Budgeting. 
As referred to in Article 49(6)(a) or (b) of the Financial Regulation. 

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39 

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the  external  borders  (including  visa  policy),  as  well  as  the  external  dimension  of  these  policies.  The 
Lisbon Treaty also enables the Union to demonstrate greater ambition in responding to the day-to-day 
concerns  of  citizens  in  the  area  of  freedom,  security  and  justice.  Home  affairs  policy  priorities,  in 
particular  the  integration  of  third-country  nationals,  should  also  be  seen  in  the  context  of  the  seven 
flagship  initiatives  presented  in  the  Europe  2020  Strategy  which  aim  to  help  the  EU  overcome  the 
current financial and economic crisis and achieve smart, sustainable and inclusive growth.  

The Asylum and Migration Fund will provide the financial assistance needed to turn the Union's home 
affairs objectives into tangible results. 

1.3.2. 

Specific objective(s) and ABM/ABB activity(ies) concerned  

ASYLUM AND MIGRATION FUND 

strengthen  and  develop  the  Common  European  Asylum  System,  including  its  external 

(a) 
dimension;  

(b) 
support  legal  migration  to  the  Union  in  line  with  the  economic  and  social  needs  of  Member 
States and promote the effective integration of third-country nationals, including of asylum seekers and 
beneficiaries of international protection; 

enhance  fair  and  effective  return  strategies  in  the  Member  States,  with  emphasis  on 

(c) 
sustainability of return and effective readmission in the countries of origin;  

enhance  the  solidarity  and  responsibility  sharing  between  the  Member  States,  in  particular 

(d) 
towards those most affected by migration and asylum flows.  

Current ABB activities concerned: 18.03 (European Refugee Fund, emergency measures and European 
Fund  for  the  Integration  of  Third-Country  Nationals)  and  18.02  (as  far  as  European  Return  Fund  is 
concerned).  

1.3.3.  Expected result(s) and impact 

Specify the effects which the proposal/initiative should have on the beneficiaries/groups targeted. 

The effects of the proposal on beneficiaries/target groups are described in more detail in Section 4.1.2 
of the Impact Assessment. 

In general, simplification introduced at all levels of the funding process and in each management mode 
will have a clear beneficial effect on the processes under which financial support will be managed.  

The main beneficiaries of  the financial  support for  asylum  and  migration  will  be  the  Member  States' 
departments responsible for the implementation of relevant acquis or policies as well as international 
organisations or NGOs working in the field of asylum and migration (admission procedures, integration 
measures and return operations). 

The  target  groups  benefitting  from  the  changes  are  the  asylum  seekers,  beneficiaries  of  international 
protection, resettled refugees and other third-country nationals arriving to the EU for various reasons 
and  having  different  needs  (e.g.  economic,  family  reunification,  unaccompanied  minors,  etc.).  These 
target groups will be easier to reach as the merging of different actions concerning the management of 

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40 

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migration into one Fund renders the access to funding easier (one responsible authority, better visibility 
and clearer scope of intervention) and will allow more flexible support (e.g. same kind of action aiming 
at  several  target  groups).  The  scope  of  intervention  will  also  be  broadened,  covering  the  whole 
migration  chain  with  different  target  groups,  including  extended  target  groups,  i.e.  third-country 
nationals of second generation (having mother or father third-country national). 

1.3.4. 

Indicators of results and impact 

Specify the indicators for monitoring implementation of the proposal/initiative. 

Due  to  the  necessity  to  conduct  a  policy  dialogue  before  defining  the  national  programmes,  it  is  not 
possible  to  establish  at  this  stage  the  definitive  set  of  indicators  that  will  be  used  to  measure 
achievement of the above-mentioned specific objectives. 

However,  with  regard  to  the  area  of  asylum  and  migration  indicators  would  include,  inter  alia,  the 
level  of  improvement  in  asylum  reception  conditions,  in  the  quality  of  asylum  procedures,  in  the 
convergence of recognition rates across Member States, and in Member States' resettlement efforts, the 
level of increased participation of third-country nationals in employment, education and in democratic 
processes, the number of returnees and the level of increased mutual assistance between Member States 
including through practical cooperation and relocation. 

1.4. 

Grounds for the proposal/initiative  

1.4.1.  Requirement(s) to be met in the short or long term 

The EU will continue to face important challenges in the home affairs area in the period 2014-2020. 
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. 
The  EU  also  needs  to  properly  address  irregular  migration  and  fight  against  trafficking  in  human 
beings.  At  the  same  time,  we  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.  

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. 

1.4.2.  Added value of EU involvement 

The  management  of  migration  flows  presents  challenges  which  cannot  be  dealt  with  by  the  Member 
States acting alone. This is an area where there is obvious added value in mobilising the EU budget.  

Some Member States bear a heavy burden due to their specific geographic situation and the length of 
the  external  borders  of  the  Union  that  they  have  to  manage.  The  principle  of  solidarity  and  the  fair 
sharing of responsibilities between Member States is therefore at the heart of the common policies on 

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41 

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asylum  and  immigration.  The  EU  budget  provides  the means to address  the financial implications of 
this principle.  

In relation to the external dimension of home affairs, it is clear that 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 EU on those migration related issues which are primarily in the interest of 
the EU and the Member States. 

The  EU's  right  to  act  in  the  home  affairs  area  derives  from  Title  V  "Area  of  Freedom,  Security  and 
Justice" of the Treaty on the Functioning of the European Union (TFEU), in particular Articles 77(2), 
78(2),  79(2)  and  (4)  82(1),  84  and  87(2)  TFEU.  Cooperation  with  third  countries  and  international 
organisations  is  covered  by  Article  212(3)  TFEU.  The  proposals  respect  the  principle  of  subsidiarity 
because  the  majority  of  funding  will  be  implemented  in  accordance  with  the  principle  of  shared 
management and respecting the institutional competencies of the Member States.  

1.4.3.  Lessons learned from similar experiences in the past 

Although  the  current  home  affairs  financial  instruments  are  generally  considered  to  achieve  their 
objectives and function effectively, the lessons learned from the mid-term review and the stakeholder 
consultation are that there is a need to: 

–  Simplify  and  streamline  the  future  home  affairs  instruments  by  reducing  the  number  of  financial 
programmes to two through the creation of an Asylum and Migration Fund and an Internal Security 
Fund. This will allow the EU to make a more strategic use of its instruments so that they are more 
responsive to the EU's political priorities and needs;  

–  Strengthen the role of the EU as a global player, by including an external dimension component in 
the future Funds to reinforce the EU's leverage in respect of the external policy dimension of home 
affairs policies; 

–  Give  preference  to  shared  management  rather  than  centralised  management  where  possible  to 

remove unnecessary bureaucratic burdens;  

–  Establish  a  more  results-oriented  approach  to  shared  management  by  moving  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; 

–  Improve centralised management to provide a range of tools for policy-driven activities, including 
support for transnational actions, particularly innovative actions and actions in and related to third 
countries (external dimension), as well as emergency actions, studies and events; 

–  Establish  a  common  regulatory  framework  with  a  shared  set  of  rules  on  programming,  reporting, 
financial  management  and  controls  which  is  as  similar  as  possible  to  that  of  the  other  EU  Funds 
managed in the shared management mode in order to generate a better understanding of the rules by 
all stakeholders and to ensure a high degree of coherence and consistency; 

–  Provide for a quick and effective response in case of emergencies, designing the Funds so that the 

EU can react appropriately in fast evolving situations; 

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–  Enhance the role of the home affairs agencies to foster practical cooperation between Member States 
and  by  entrusting  them  with  the  implementation  of  specific  actions,  whilst  ensuring  appropriate 
political control over the agencies' activities. 

More  details  can  be  found  in  the  impact  assessment  and  the  explanatory  memoranda  of  each 
Regulation.  

1.4.4.  Coherence and possible synergy with other relevant instruments 

A number of other EU instruments will provide support to activities which are complementary to the 
activities that will be financed under the Asylum and Migration Fund and the Internal Security Fund: 

The  European  Social  Fund  currently  supports  integration  measures  on  access  to  the  labour  market 
whereas  the  Integration  Fund  finances  measures  such  as  civic  orientation  courses,  participation  in 
social and civic life, equal access to services, etc. Integration measures will continue to be supported 
along the same lines under the Asylum and Migration Fund and the future European Social Fund.  

The external dimension component of the Asylum and Migration Fund will 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.  In  this  context, 
the successor to the Thematic Programme Migration & Asylum and the Instrument for Stability will be 
of particular interest for the home affairs area. While external aid 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. They 
will therefore fill a specific gap and will contribute to completing the toolbox at the disposal of the EU.  

1.5. 

Duration and financial impact 

(cid:59) Proposal/initiative of limited duration  

–  (cid:59)  Proposal/initiative in effect from 01/01/2014 to 31/12/2020 

–  (cid:59)  Financial impact from 2014 to 2023 

(cid:133) Proposal/initiative of unlimited duration 

–  Implementation with a start-up period from YYYY to YYYY, 

–  followed by full-scale operation. 

1.6.  Management mode(s) envisaged28  

(cid:59)Centralised direct management by the Commission  

28 

Details  of  management  modes  and  references  to  the  Financial  Regulation  may  be  found  on  the  BudgWeb  site: 
http://www.cc.cec/budg/man/budgmanag/budgmanag_en.html 

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(cid:59) Centralised indirect management with the delegation of implementation tasks to: 

–  (cid:59)  executive agencies  

–  (cid:59)  bodies set up by the Communities29  

–  (cid:59)  national public-sector bodies/bodies with public-service mission  

–  (cid:133)  persons entrusted with the implementation of specific actions pursuant to Title V of the Treaty 
on European Union and identified in the relevant basic act within the meaning of Article 49 of the 
Financial Regulation  

(cid:59) Shared management with the Member States  

(cid:59) Decentralised management with third countries  

(cid:59) Joint management with international organisations (to be specified) 

If more than one management mode is indicated, please provide details in the "Comments" section. 

Comments: 

The  proposals  will  be  mainly  implemented  through  shared  management,  with  multi-annual  national 
programmes.  

The  objectives  to  be  achieved  under  the  national  programmes  will  be  complemented  by  "Union 
actions" and a rapid response mechanism to deal with emergency situations. These will mainly take the 
form of grants and procurement under centralised direct management and will include actions in and in 
relation to third countries.  

All  possible  means  will  be  used  to  avoid  fragmentation  by  concentrating  resources  on  achieving  a 
limited number of EU objectives and using the expertise of key stakeholders, where appropriate, on the 
basis of partnership agreements and framework agreements. 

Technical  assistance  at  the  initiative  of  the  Commission  will  be  implemented  by  centralised  direct 
management. 

29 

As referred to in Article 185 of the Financial Regulation. 

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2. 

MANAGEMENT MEASURES  

2.1.  Monitoring and reporting rules  

Specify frequency and conditions. 

For  shared  management,  a  coherent  and  efficient  reporting,  monitoring  and  evaluation  framework  is 
proposed.  For  each  national  programme,  Member  States  will  be  requested  to  set  up  a  Monitoring 
Committee to which the Commission may participate. 

On an annual basis Member States will report on the implementation of the multiannual programme. 
These reports are a precondition for annual payments. To feed into the mid term review process, they 
will  be  requested  in  2017  to  provide  additional  information  on  the  progress  made  in  achieving  the 
objectives.  A  similar  exercise  will  be  undertaken  in  2019,  to  allow,  where  appropriate,  adjustments 
during the last financial year (2020). 

Supporting the development of an evaluation-based culture in the area of home affairs, the Funds will 
have  a  common  evaluation  and  monitoring  framework  with  broad  policy  related  indicators  which 
underline the result-oriented approach of the Funds and the essential role they could play in the policy 
mix to achieve the objective of creating an area of freedom, security and justice. These indicators relate 
to the impact the Funds could make: the development of a common culture of border security, police 
cooperation  and  crisis  management;  effective  management  of  migration  flows  into  the  EU;  fair  and 
equal  treatment  of  third-country  nationals;  solidarity  and  co-operation  between  Member  States  in 
addressing migration and internal security issues and a common EU approach on both migration and 
security towards third countries. 

To  ensure  adequate  application  of  the  principles  on  evaluation,  and  bearing  in  mind  the  practical 
experience  with  evaluation  in  Member  States  under  the  current  EU  funding  on  home  affairs,  the 
Commission  and  the  Member  States  will  work  together  to  develop  the  common  evaluation  and 
monitoring framework, inter alia by defining templates and common output and result indicators. 

All measures will be established at the beginning of the programming period, thus enabling Member 
States  to  set  up  their  reporting  and  evaluation  systems  on  the  basis  of  the  agreed  principles  and 
requirements.  

To  reduce  administrative  burden  and  ensure  synergies  between  reporting  and  evaluation,  the 
information  required  for  evaluation  reports  will  build  on  and  complete  the  information  provided  by 
Member States in the annual implementation reports of the national programmes.  

In 2018, the Commission will also submit a report on the mid term review carried out of the national 
programmes. 

More globally, the Commission will submit an intermediate report on the implementation of the Funds 
by 31.12.2018 and an ex-post evaluation report by 30.06.2024, covering the whole implementation (i.e. 
not only national programmes under shared management). 

EN 

45 

   EN 

 
2.2.  Management and control system  

2.2.1.  Risk(s) identified  

DG HOME has not been facing important risks of errors in its spending programmes. This is confirmed 
by the recurrent absence of significant findings in the annual reports of the Court of Auditors as well as 
by the absence of residual error rate above 2% in the past years in DG HOME (and former DG JLS) 
annual activity reports. 

In shared management, the general risks in relation to the implementation of the current programmes 
fall mainly into three categories: 

–  Risk of inefficient or insufficiently targeted use of funds; 

–  Errors derived from the complexity of rules and weaknesses in management and control systems; 

–  Inefficient use of administrative resources (limited proportionality of requirements); 

Specific elements concerning the system of the 4 Funds under the General Programme "Solidarity and 
Management of Migration Flows" are also worth mentioning. 

–  The system of annual programmes ensures that final payments are made regularly based on certified 
and audited expenditure. However, the eligibility period of the annual programmes is disconnected 
from the EU financial year and the chain of assurance is therefore not totally satisfactory, despite a 
very heavy system. 

–  Detailed eligibility rules are set by the Commission. This ensures in principle the homogeneity of 
the expenditure financed. However it also creates unnecessary workload for national authorities and 
the Commission and increases the risk of errors from beneficiaries and/or Member States due to the 
misinterpretations of EU rules. 

–  The  current  management  and  control  systems  are  very  close  to  those  under  the  Structural  Funds. 
However, they present slight differences, notably in the chain of responsibilities between certifying 
authorities and Audit Authorities. This creates confusion in the Member States, in particular when 
authorities are acting in the 2 types of Funds. It also increases the risk of errors and requires more 
intense monitoring. 

These elements will be changed significantly in this proposal: 

–  The management and control systems will follow the general requirements set in the CSF Funds and 
will fully comply with the new requirements of the New Financial Regulation: the 3 authorities will 
be replaced by 2 authorities (Responsible Authority and Audit Authority) whose roles are clarified 
in view of providing better assurance.  

–  Multi-annual  programming  coupled  with  annual  clearance  based  on  the  payments  made  by  the 
Responsible Authority will align the eligibility periods with the annual accounts of the Commission, 
without increasing the administrative burden compared to the current system. 

–  On  the  spot  checks  will  be  carried  out  as  part  of  the  1st  level  controls,  i.e.  by  the  Responsible 

Authority and will support its annual management declaration of assurance. 

EN 

46 

   EN 

 
–  Clarification and simplification of the eligibility rules as well as their harmonisation with other EU 
financial  support  instruments will reduce mistakes  made by  beneficiaries  who  use assistance from 
different  sources.  These  eligibility  rules  will  be  set  at  national  level,  except  for  some  basic 
principles, similar to those used for the CSF Funds. 

–  The use of simplified costs options is encouraged, especially for small grants. 

In centralised management, the main risks are the following: 

–  Risk  of  weak  correspondence  between  the  projects  received  and  the  political  priorities  of  DG 

HOME; 

–  Risk of poor quality of selected projects and poor technical implementation of the project, reducing 
the  programmes'  impact;  due  to  inadequate  selection  procedures,  lack  of  expertise  or  insufficient 
monitoring; 

–  Risk  of  inefficient  or  non-economic  use  of  funds  awarded,  both  for  grants  (complexity  of 
reimbursing  actual  eligible  costs  coupled  with  limited  possibilities  to  check  eligible  costs  at  the 
desk)  and  for  procurement  (sometimes  limited  number  of  economic  providers  with  the  required 
specialist knowledge entailing insufficient possibilities to compare price offers); 

–  Risk relating to the capacity of (especially) smaller organisations to effectively control expenditure 

as well as to ensure the transparency of operations carried out. 

–  Reputational  risk  for  the  Commission,  if  fraud  or  criminal  activities  are  discovered;  only  partial 
assurance  can  be  drawn  from  the  third  parties'  internal  control  systems  due  to  the  rather  large 
number  of  heterogeneous  contractors  and  beneficiaries,  each  operating  their  own  control  system, 
often rather small in size. 

Most of these risks are expected to be reduced thanks to a better targeting of proposals and the use of 
simplified elements included in the New Financial Regulation. 

2.2.2.  Control method(s) envisaged  

Shared management: 

At Member State level, the proposed architecture of the management and control systems represents 
an evolution of the set-up in place in 2007-2013 and preserves most of the functions carried out in the 
current period including administrative and on-the spot verifications, audits of management and control 
systems and project audits. The  sequence of these functions is nevertheless changed to render on-the 
spot checks a clear responsibility of the Responsible Authority as part and parcel of the preparation for 
the annual clearance of account exercise. 

In  order  to  reinforce  accountability,  Responsible  Authorities  would  be  accredited  by  a  national 
accrediting body in charge of their ongoing supervision. The reduction of the number of authorities – 
no  more  Certifying  Authority  and  reduction  of  the  number  of  Funds  –  is  expected  to  reduce  the 
administrative  burden  and  enhance  the  possibility  for  building  stronger  administrative  capacity,  but 
also permit a clearer division of responsibilities. 

EN 

47 

   EN 

 
To  date  no  reliable  estimation  is  available  regarding  the  cost  of  controls  of  the  shared  management 
Funds in the Home Affairs area. The only estimation available is related to the ERDF and the Cohesion 
Fund  where  the  costs  of  tasks  related  to  controls  (at  national  level  excluding  the  costs  of  the 
Commission)  are  estimated  around  2%  of  the  total  funding  administered  in  the  period  2007-2013. 
These costs are related to the following areas of control: 1% is derived from national coordination and 
programme preparation, 82% relate to programme management, 4% to certification and 13% to audit.  

The following proposals will increase the costs of control: 

–  the creation and functioning of an accrediting body and in general the change of system; 

–  the submission of a management declaration accompanying the annual accounts;  

–  the on-the-spot checks to be made by the Responsible Authority; 

–  the need for additional audit activity by the Audit Authorities to audit the management declaration.  

There are however also proposals which will reduce the costs of control:  

–  Certifying Authority will cease to exist. Although their functions will be partially transferred to the 
Responsible  Authority,  this  will  allow  the  Member  State  to  save  a  substantial  part  of  the  costs 
relating  to  certification  due  to  better  administrative  efficiency,  reduced  need  for  coordination  and 
reduction of the scope of audits; 

–  The controls to be performed by the Audit Authority will be more oriented towards re-performing (a 
sample  of)  the  1st  level  administrative  and  on-the  spot  controls  carried  out  by  the  Responsible 
Authority.  This  will  speed  up  the  adversarial  procedure  and  ensure  that  all  necessary  controls  are 
carried out before the submission of the annual accounts; 

–  The  use  of  simplified  costs  will  reduce  administrative  costs  and  burdens  at  all  levels,  for  both 

administrations and beneficiaries; 

–  Annual closure, and the limitation of the period for conformity clearance to 36 months will reduce 
the  period  of  retention  of  documents  for  control  purposes  for  public  administrations  and 
beneficiaries; 

–  The setting-up of electronic communication flows between the Commission and the Member States 

will be mandatory. 

To  these  must  be  added  the  elements  of  simplification  listed  under  §2.2.1  above  that  will  also 
contribute to the reduction of administrative burden for beneficiaries and thus represent a simultaneous 
reduction of risks of error and of administrative burden.  

Therefore, overall it is expected that these proposals will lead to a redistribution of control costs rather 
than  an  increase  or  a  reduction.  It  is  however  anticipated  that  this  redistribution  of  costs  (across 
functions  and  due  to  the  proportionate  control  arrangements,  also  across  Member  States  and 
programmes)  will  enable  a  more  effective  mitigation  of  risks  and  a  better  and  quicker  chain  of 
assurance. 

EN 

48 

   EN 

 
At Commission level, the cost of management and controls for shared management is not expected to 
decrease  in  the  first  half  of the  programming  period.  This  is  firstly  the  case  because  the  amount  and 
policy areas concerned by shared management will expand compared to the current period. Therefore 
maintaining the same resources will already require gains in efficiency. In addition, the first years will 
be characterised by the conjunction of many important tasks to carry out: closure of programmes 2007-
2013  (last  closure  reports  due  by  31 March 2016),  policy  dialogues  and  approval  of  the  multi-annual 
national programmes 2014-2020, the setting-up of the new clearance of accounts system. In the second 
half  of  the  period  the  potential  resources  available  will  be  used  to  improve  the  evaluation  and 
monitoring. 

Centralised management 

As regards centralised management, the Commission will continue to apply its current control system 
that  is  composed  of  the  following  building  blocks:  supervision  of  operations  by  the  operational 
directorates, the ex-ante control by the Budget and Control Unit, the Internal Procurement Committee 
(JPS/HPC),  the  ex-post  controls  for  grants  or  the  audits  from  the  Internal  Audit  Capacity  and/or  the 
Internal  Audit  Service.  The  ex-post  control  sector  applies  a  "detection  strategy"  aimed  at  detecting  a 
maximum of anomalies in view of recovering undue payments. Based on this strategy, the audits are 
carried out on a sample of projects selected almost entirely on the basis of a risk analysis.  

Thanks to this combination of ex-ante and ex-post controls as well as desk checks and on-site audits, in 
the  past  years  the  quantifiable  average  residual  error  rate  was  lower  than  2%.  Therefore,  the  internal 
control system as well as its cost is deemed adequate in DG HOME to achieve the objective of a low 
error rate. 

However,  within  this  framework,  DG  HOME  will  continue  to  explore  possibilities  to  enhance  the 
management and to increase simplification. In particular, all simplified options made available in the 
New Financial Regulation will be used as much as possible as it is expected that they will contribute to 
the reduction of administrative burden for beneficiaries and thus represent a simultaneous reduction of 
risks of error and of administrative burden for the Commission. 

New strands 

The  proposals  foresee  new  strands  for  EU  funding  in  the  home  affairs  area,  e.g.  a  better  use  of  the 
expertise existing in the EU agencies, the development of the external dimension and the strengthening 
of the emergency mechanisms. 
These will require new management and control methods for DG Home. 
The  amounts  that  will  be  devoted  to  these  new  strands  are  not  fixed  yet,  but  they  are  unlikely  to  be 
significant compared to the overall home affairs budget. However, it will be very important to set up 
the internal means and working arrangements to implement these new tasks as early as possible within 
the period, in full respect of the principles of sound financial management.  

The  analysis  above  shows  clearly  that,  despite  all  simplifications  introduced,  the  level  of  human 
resources required to implement the increased budget of DG HOME will have to be reinforced. 
The  human  resources  required  will  be  met  by  staff  from  the  DG  that  are  already  assigned  to 
management of the action and/or have been redeployed within the DG, together if necessary with any 
additional allocation which may be granted to the managing DG under the annual allocation and in the 
light of budgetary constraints 

EN 

49 

   EN 

 
 
 
 
 
2.3.  Measures to prevent fraud and irregularities  

Specify existing or envisaged prevention and protection measures. 

In  addition  to  the  application  of  all  regulatory  control  mechanisms,  DG  HOME  will  devise  an  anti-
fraud strategy in line with the Commission's new anti-fraud strategy (CAFS) adopted on 24 June 2011 
in order to ensure inter alia that its internal anti-fraud related controls are fully aligned with the CAFS 
and  that  its  fraud  risk  management  approach  is  geared  to  identify  fraud  risk  areas  and  adequate 
responses.  Where  necessary,  networking  groups  and  adequate  IT  tools  dedicated  to  analysing  fraud 
cases related to the Funds will be set up. 

As regards shared management, the CAFS identifies clearly the need for the Commission proposals for 
2014-2020 regulations to request Member States to put in place fraud prevention measures which are 
effective  and  proportionate  to  the  identified  fraud  risks.  The  current  proposal  includes  in  Article  5  a 
clear requirement for the Member States to prevent, detect and correct irregularities and to report to the 
Commission.  Further  details  as  regards  these  obligations  will  be  part  of  the  detailed  rules  on  the 
functions of the Responsible Authority as foreseen in Article 24(5)(c).  

In  addition,  the  re-use  of  funds  coming  from  financial  correction  based  on  commission  or  Court  of 
Auditors findings has been clearly indicated in Article 41. 

EN 

50 

   EN 

 
3. 

ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE  

3.1. 

Heading(s)  of  the  multiannual  financial  framework  and  expenditure  budget  line(s) 
affected  

•  Existing expenditure budget lines  

In order of multiannual financial framework headings and budget lines. 

Heading of 
multiannual 
financial 
framework 

Number 

Budget line 

Type of  
expenditure

Diff. (30) 

Contribution  

from 
EFTA31 
countries 

from 
candidate 
countries32 

from third 
countries 

within the meaning 
of Article 18(1)(aa) 
of the Financial 
Regulation  

3  

Diff 

NO 

NO 

NO 

NO 

•  New budget lines requested  

In order of multiannual financial framework headings and budget lines. 

Budget line 

Type of 
expenditure

Contribution  

Heading of 
multiannual 
financial 
framework 

Number  
Heading 3 

3 

3 

18 01 04 aa 
Asylum and Migration Fund – 
Technical assistance 

18 02 aa 
Asylum and Migration Fund 

Diff./non-
diff. 

from 
EFTA 
countries 

from 
candidate 
countries 

from third 
countries 

within the meaning 
of Article 18(1)(aa) 
of the Financial 
Regulation  

Non 
Diff 

NO 

NO 

NO 

NO 

Diff 

NO 

NO 

NO 

NO 

30 
31 
32 

Diff. = Differentiated appropriations / Non-Diff. = Non-differentiated appropriations 
EFTA: European Free Trade Association.  
Candidate countries and, where applicable, potential candidate countries from the Western Balkans. 

EN 

51 

   EN 

 
 
 
  
 
 
 
                                                 
3.2. 

Estimated impact on expenditure  

3.2.1. 

Summary of estimated impact on expenditure  

Heading of multiannual financial 
framework:  

Number 3  Security and Citizenship 

EUR million (to 3 decimal places) 

DG HOME 

2014 

2015 

2016 

2017 

2018 

2019 

2020 

TOT

(cid:121) Operational appropriations (current prices)  

18 02 aa  
Asylum and Migration Fund 

Commitments 

Payments 

(1) 

(2) 

517.492 

527.892 

538.500 

549.320 

90.085 

102.823 

270.844 

420.790 

560.356 
532.681 

571.613 
543.385 

586.266 
554.303 

- 

1,336.528 

3,8

3,8

Appropriations  of  an  administrative  nature  financed 
from the envelope for specific programmes33  

18 01 01 aa 
Asylum and Migration Fund 

TOTAL appropriations 
for DG HOME 

(3) 

2.500 

2.500 

2.500 

2.500 

2.500 

2.500 

2.500 

Commitments 

Payments 

=1+1a 
+3 

=2+2a 

+3 

519.992 

530.392 

541.000 

551.820 

562.856 

574.113 

588.766 

3,8

92.585 

105.323 

273.344 

423.290 

535.181 

545.885 

556.803 

1,336.528 

3,8

33 

Technical and/or administrative assistance and expenditure in support of the implementation of EU programmes and/or actions (former "BA" lines), indirect research, direct 
research. 

EN 52 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
Heading of multiannual financial 
framework:  

5 

" Administrative expenditure " 

As there are common elements in the implementation of the Asylum and Migration Fund and the Internal Security Fund such as a policy dialogue with 
each Member States and given that the internal organisation of DG HOME in order to ensure the management of the new Funds (as well as the closure 
of the programmes currently managed) may evolve, it is not possible to split the Administrative expenditure between the Asylum and Migration Fund 
and the Internal Security Fund. 

Therefore the figures related to Heading 5 below correspond to the total administrative expenditure deemed necessary to ensure management of both 
Funds by DG and there is no total of appropriations.  

2014 

2015 

2016 

2017 

2018 

2019 

2020 

After 2020 

TOT

EUR million (to 3 decimal places) 

DG: HOME 

(cid:121) Human resources  
(cid:121) Other administrative expenditure  

20.841 

20.841 

20.841 

20.841 

20.841 

20.841 

20.841 

0,156 

0,159 

0,162 

0,165 

0,168 

0,172 

0,175 

TOTAL DG HOME 

20.997 

21.000 

21.003 

21.006 

21.009 

21.013 

21.016 

147.044 

TOTAL appropriations 
under HEADING 5 
of the multiannual financial framework  

(Total  commitments 
= Total payments) 

20.997 

21.000 

21.003 

21.006 

21.009 

21.013 

21.016 

1

1

1

2014 

2015 

2016 

2017 

2018 

2019 

2020 

TO

EUR million (to 3 decimal places) 

TOTAL appropriations  
under HEADINGS 1 to 5 

Commitments 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

of the multiannual financial framework   Payments 

EN 53 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
3.2.2.  Estimated impact on operational appropriations  

–  (cid:133)  The proposal/initiative does not require the use of operational appropriations  

–  (cid:59)  The proposal requires the use of operational appropriations, as explained below: 

Home Affairs policy is implemented mainly by shared management. While spending priorities are set at the EU level, actual day-to-day 
management is vested in Responsible Authorities at national level. Common output indicators and targets will be decided together by the 
Commission  and  the  Responsible  Authorities  as  part  of  their  national  programmes,  and  approved  by  the  Commission.  It  is  therefore 
difficult to indicate targets for outputs until the programmes are drafted, negotiated and approved in 2013/14. 
As regards centralised management, it is also not possible for DG HOME to provide an exhaustive list of all outputs to be delivered by 
means of the financial intervention under the Funds, their average costs and numbers, as requested by this section. There are no statistical 
tools  at  the  moment  allowing  the  calculation  of  meaningful  average  costs  on  the  basis  of  the  current  programmes,  and  such  a  precise 
definition would be contrary to the principle that the future programme should provide enough flexibility to cater for adapting to political 
priorities between 2014-2020. This is particularly true for emergency assistance and actions in and in relation to third countries. 

Commitment appropriations in EUR million (to 3 decimal places) 

Indicate 
objectives and 
outputs  

Year 
N 

Year 
N+1 

Year 
N+2 

Year 
N+3 

… enter as many years as necessary to show 
the duration of the impact (see point 1.6) 

TOTAL 

OUTPUTS 

Cost 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

Cost 

Total 
number 
of 
outputs 

Total  
cost 

(cid:216) 

Type 
of 
output
34 

Avera
ge 
cost  
of the 
output 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

SPECIFIC OBJECTIVE No 135… 

- Output 

- Output 

34 
35 

Outputs are products and services to be supplied (e.g.: number of student exchanges financed, number of km of roads built, etc.). 
As described in Section 1.4.2. "Specific objective(s)…" 

EN 54 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
- Output 

Sub-total for specific objective N°1 

SPECIFIC OBJECTIVE No 2… 

- Output 

Sub-total for specific objective N°2 

TOTAL COST 

EN 55 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
3.2.3.  Estimated impact on appropriations of an administrative nature 

3.2.3.1.  Summary  

–  (cid:133)  The  proposal/initiative  does  not 

require 

the  use  of  administrative 

appropriations  

–  (cid:59)  The  proposal  requires  the  use  of  administrative  appropriations,  as  explained 

below: 

As there are common elements in the implementation of the Asylum and Migration Fund and 
the Internal Security Fund such as a policy dialogue with each Member States and given that 
the internal organisation of DG HOME in order to ensure the management of the new Funds 
(as well as the closure of the programmes currently managed) may evolve, it is not possible to 
split the Administrative expenditure between the Asylum and Migration Fund and the Internal 
Security Fund. 

Therefore  the  figures  related  to  Heading  5  below  correspond  to  the  total  administrative 
expenditure  deemed  necessary  to  ensure  management  of  both  Funds  by  DG  and  there  is  no 
total of appropriations.  

EUR million (to 3 decimal places) HOME 

HEADING 5 
of the multiannual 
financial 
framework36 

Human 
HOME 

resources 

Other  administrative 
expenditure  

Subtotal HEADING 5 
of the multiannual 
financial framework  

Outside HEADING 537 
of the multiannual 
financial framework 38 

Human 
HOME  

resources 

Other 
expenditure  
of  an  administrative 
nature 

2014 

2015 

2016 

2017 

2018 

2019 

2020 

TOTAL 

20.841 

20.841 

20.841 

20.841 

20.841 

20.841 

20.841 

145,887 

0,156 

0,159 

0,162 

0,165 

0,168 

0,172 

0,175 

1,157 

20.997 

21.000 

21.003 

21.006 

21.009 

21.013 

21.016 

147.044 

2014 

2015 

2016 

2017 

2018 

2019 

2020 

TOTAL 

0.640 

0.640 

0.640 

0.640 

0.640 

0.640 

0.640 

4.480 

1.860 

1.860 

1.860 

1.860 

1.860 

1.860 

1.860 

13.020 

36 

37 

38 

Global  envelope,  based  on  the  2011  Final  Allocation  for  Human  Resources,  including  officials  and 
external staff 
Technical  and/or  administrative  assistance  and  expenditure  in  support  of  the  implementation  of  EU 
programmes and/or actions (former "BA" lines), indirect research, direct research. 
External  staff  financed  from  former  BA  lines,  based  on  the  2011  Final  Allocation  for  Human 
Resources, including external staff at Headquarters and in Delegations 

EN 

56 

   EN 

 
 
                                                 
Subtotal  
outside HEADING 5 
of the multiannual 
financial framework  

2.500 

2.500 

2.500 

2.500 

2.500 

2.500 

2.500 

17.500 

TOTAL 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A

EN 

57 

   EN 

 
 
3.2.3.2.   Estimated requirements of human resources  

–  (cid:133)  The proposal/initiative does not require the use of human resources  

–  (cid:59)  The  proposal/initiative  requires  the  use  of  human  resources,  as  explained 

below: Figures used for the year n are the ones for 2011.  

As there are common elements in the implementation of the Asylum and Migration Fund and 
the Internal Security Fund such as a policy dialogue with each Member States and given that 
the internal organisation of DG HOME in order to ensure the management of the new Funds 
(as well as the closure of the programmes currently managed) may evolve, it is not possible to 
split the Administrative expenditure between the Asylum and Migration Fund and the Internal 
Security Fund. 

Therefore  the  figures  related  to  Heading  5  below  correspond  to  the  total  administrative 
expenditure  deemed  necessary  to  ensure  management  of  both  Funds  by  DG  and  there  is  no 
total of appropriations.  

Estimate to be expressed in full amounts (or at most to one decimal place) 

Year 
N 

Year
N+1 

Year 
N+2 

Year N+3 

Year
N+4 

Year
N+5 

Year
N+6 

(cid:121) Establishment plan posts (officials and temporary agents) HOME 

18 01 01 01 (Headquarters and 
Commission’s Representation 
Offices) 

136 

136 

136 

136 

136 

136 

136 

XX 01 01 02 (Delegations) 

15 

15 

15 

15 

15 

15 

15 

18 01 05 01 (Indirect research) 

10 01 05 01 (Direct research) 

(cid:121) External personnel (in Full Time Equivalent unit: FTE)39 

18 02 01 (CA, INT, SNE from 
the "global envelope") 

XX 02 02 (CA, INT, JED, LA 
and SNE in the delegations) 

18 01 
04 aa 40 

- at 
Headquarters41 

- in delegations  

XX 01 05 02 (CA, INT, SNE - 
Indirect research) 

10 01 05 02 (CA, INT, SNE - 
Direct research) 

Other 13 01 04 02) 

TOTAL 

16 

10 

16 

10 

10 

10 

* 

* 

16 

10 

10 

* 

16 

10 

10 

* 

16 

16 

16 

10 

10 

10 

10 

10 

* 

* 

10 

* 

N/A 

N/A 

N/A 

N/A 

N/A  N/A  N/A 

39 

40 
41 

CA= Contract Agent; INT= agency staff ("Intérimaire"); JED= "Jeune Expert en Délégation" (Young 
Experts in Delegations); LA= Local Agent; SNE= Seconded National Expert;  
Under the ceiling for external personnel from operational appropriations (former "BA" lines). 
Essentially  for  Structural  Funds,  European  Agricultural  Fund  for  Rural  Development  (EAFRD)  and 
European Fisheries Fund (EFF). 

EN 

58 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
XX is the policy area or budget title concerned. 

The  human  resources  required  will  be  met  by  staff  from  the  DG  that  are  already 
assigned to management of the action and/or have been redeployed within  the DG, 
together  if  necessary  with  any  additional  allocation  which  may  be  granted  to  the 
managing DG under the annual allocation and in the light of budgetary constraints. 
Amounts  and  imputations  would  be  adjusted  in  the  event  of  any  externalisation 
process to an Executive Agency. 

Description of tasks to be carried out: 

Officials  and  temporary  agents  at 
headquarters 

The  tasks  to  be  carried  out  comprise  all  tasks  necessary  to  the  management  of  a 
financial programme, such as: 

- providing input to the budgetary procedure; 
- conducting the policy dialogue with Member States;  
-  preparing  annual  work  programmes/financing  decisions,  establishing  annual 
priorities, approving national programmes; 
-  managing  national  programmes,  calls  for  proposals  and  calls  for  tenders  and  the 
subsequent selection procedures; 
-  communicating  with  stakeholders  (potential/actual  beneficiaries,  Member  States, 
etc); 
- drafting guidelines to Member States 
- managing projects, operationally and financially; 
-  performing  controls,  as  described  above  (ex  ante  verification,  procurement 
committee, ex post audits, internal audit, clearance of accounts); 
- accounting; 
- developing and managing grant and national programme management IT tools;  
- monitoring and reporting on achievement of objectives, including in Annual Activity 
Report and Authorizing Officer by sub-Delegation reports 

The tasks are similar to those of officials and temporary agents, except for tasks that 
cannot be fulfilled by external personnel 

To accompany the development of policy implementation in the home affairs area, and 
in  particular  its  external  dimension,  EU  delegations  will  need  to  be  equipped  with 
sufficient home affairs expertise. This could be staff from the European Commission 
and/or the European External Action Service. 

External personnel 

Personnel in delegations 

EN 

59 

   EN 

 
 
 
 
 
 
 
 
 
3.2.4.  Compatibility with the current multiannual financial framework  

–  (cid:59)  Proposal/initiative is compatible the next multiannual financial framework. 

–  (cid:133)  Proposal/initiative  will  entail  reprogramming  of  the  relevant  heading  in  the 

multiannual financial framework. 

Explain what reprogramming is required, specifying the budget lines concerned and the corresponding 
amounts. 

–  (cid:133)  Proposal/initiative requires application of the flexibility instrument or revision 

of the multiannual financial framework42. 

Explain what is required, specifying the headings and budget lines concerned and the corresponding 
amounts. 

3.2.5.  Third-party contributions  

–  The proposal/initiative does not provide for co-financing by third parties  

–  (cid:59)  The  proposal  provides  that  European  funding  needs  to  be  co-financed.  The 
exact  amount  cannot  be  quantified.  The  regulation  establishes  maximum  co-
financing rates differentiated in line with the types of actions: 

Appropriations in EUR million (to 3 decimal places) 

2014 

2015 

2016 

2017 

2018 

2019 

2020 

Total 

Specify  the  co-financing 
body  

TOTAL 
cofinanced  

appropriations 

MS 

MS 

MS 

MS 

MS 

MS 

MS 

tbd 

tbd 

tbd 

tbd 

tbd 

tbd 

tbd 

42 

See points 19 and 24 of the Interinstitutional Agreement. 

EN 

60 

   EN 

 
 
 
 
 
 
                                                 
3.3. 

Estimated impact on revenue  

–  (cid:59)  Proposal/initiative has no financial impact on revenue. 

–  (cid:133)  Proposal/initiative has the following financial impact: 

– 

– 

(cid:133) 

(cid:133) 

on own resources  

on miscellaneous revenue  

Appropriations 
available for the 
ongoing budget 
year 

Budget revenue line: 

Article …………. 

EUR million (to 3 decimal places) 

Impact of the proposal/initiative43 

Year 
N 

Year 
N+1 

Year 
N+2 

Year 
N+3 

… insert as many columns as necessary 
in order to reflect the duration of the 
impact (see point 1.6) 

For miscellaneous assigned revenue, specify the budget expenditure line(s) affected. 

Specify the method for calculating the impact on revenue. 

43 

As regards traditional own resources (customs duties, sugar levies), the amounts indicated must be net 
amounts, i.e. gross amounts after deduction of 25% for collection costs. 

EN 

61 

   EN