CELEX: 52011PC0751
Language: en
Date: 2011-11-15
Title: Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL establishing the Asylum and Migration Fund

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		52011PC0751
		
			Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL establishing the Asylum and Migration Fund /* COM/2011/0751 final - 2011/0366 (COD) */
			
				
		
		
			
			   	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 Programme[1] and its Action Plan[2], 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 2014-2020[3]: 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 Fund[4], the European Fund for the
Integration of third-country nationals[5]
and the European Return Fund[6]
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.
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 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.
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 
 National programmes || 3,232 
 Centralised management || 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 returns[8]. 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 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
Regulation[9]
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.
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 Committee[10],
Having regard to the opinion of the
Committee of the Regions[11],
Acting in accordance with the ordinary
legislative procedure,
Whereas:
(1)              
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.
(2)              
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').
(3)              
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.
(4)              
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.
(5)              
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 granted[12],
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.
(6)              
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.
(7)              
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 2010[13] 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.
(8)              
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.
(9)              
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 in the
framework of Regional Protection Programmes[14],
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 of 16
December 2008 on common standards and procedures in Member States for returning
illegally staying third-country nationals[15].
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 2004[16] , 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.
(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 used[17].
(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 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 thereof[18], 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 Network[19] 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)          
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.
(40)          
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.
(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 powers[20].
(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 management[21].
(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 2013[22]
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 2013[23]
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 2013[24]
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 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].
Article 2
Definitions
For the purpose of this Regulation, the
following definitions shall apply:
(a)                   
'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:
(i)       refugee status within the meaning of point
(d) of Article 2 of Directive 2004/83/EC, or
(ii)      a status which offers similar rights
and benefits under national and Union law as refugee status;
(b)                   
'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.
(c)                   
'third-country national' means any person who is not a citizen of the Union within the
meaning of Article 20(1) of the Treaty;
(d)                   
'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;
(e)                   
'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,
(ii)      implementation of temporary
protection mechanisms within the meaning of 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.
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;
(b)                   
any third-country national or stateless person
enjoying a form of subsidiary protection within the meaning of Directive
2004/83/EC;
(c)                   
any third-country national or stateless person
who has applied for one of the forms of protection referred to in points (a)
and (b);
(d)                   
any third-country national or stateless person
enjoying temporary protection within the meaning of Directive 2001/55/EC;
(e)                   
any third-country national or stateless person
who is being or has been resettled in a Member State;
(f)                     
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;
(g)                   
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;
(h)                   
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;
(i)                     
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:
(a)                   
provision of material aid, education, training, support
services, health and psychological care;
(b)                   
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;
(c)                   
provision of legal aid and language assistance;
(d)                   
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;
(e)                   
information for local communities as well as
training for the staff of local authorities, who will be interacting with those
being received;
(f)                     
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)                   
establishment, development and improvement of
accommodation infrastructure and services;
(b)                   
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)                   
actions enhancing the capacity of Member States to
collect, analyse and disseminate data and statistics on asylum procedures,
reception capacities, resettlement and relocation actions;
(b)              
actions directly contributing to the evaluation
of asylum policies, such as national impact assessments, surveys amongst target
groups, the development of indicators and benchmarking.
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)                   
establishment and development of national
resettlement and relocation programmes; 
(b)              
establishment of appropriate infrastructure and
services to ensure the smooth and effective implementation of resettlement and
relocation actions;
(c)               
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;
(d)              
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;
(e)               
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;
(f)                
information and assistance upon arrival, including
interpretation services;
(g)               
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;
(b)                   
assessment of skills and qualifications and
enhancement of transparency and equivalence of skills and qualifications in the
countries of origin;
(c)                   
vocational training;
(d)                   
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)                   
setting up and developing such integration strategies,
including needs analysis, the improvement of indicators and evaluation;
(b)                   
advice and assistance in areas such as housing,
means of subsistence, administrative and legal guidance, medical, psychological
and social care, child care;
(c)                   
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;
(d)                   
measures focusing on education, including
language training and preliminary actions to facilitate access to the labour
market;
(e)                   
actions designed to promote self-empowerment and
to enable third-country nationals to provide for themselves;
(f)                     
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;
(g)                   
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;
(h)                   
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 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)                   
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;
(b)                   
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;
(c)                   
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;
(d)                   
building sustainable organisational structures
for integration and diversity 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;
(e)                   
contributing to a dynamic two-way process of
mutual interaction, underlying integration strategies at local and regional
level by developing platforms for consultation of third-country nationals,
exchange of information between stakeholders and intercultural and religious
dialogue platforms between third country 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)                   
establishment and improvement of accommodation
infrastructure or services and reception or detention conditions; 
(b)                   
setting up of administrative structures, systems
and training of staff to ensure smooth return procedures;
(c)                   
provision of material aid, health and
psychological care; 
(d)                   
provision of social assistance, information or
help with administrative and/or judicial formalities and information or
counselling;
(e)                   
provision of legal aid and language assistance;
(f)                     
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;
(b)                   
assisted voluntary return measures, including
medical examinations and assistance, travel arrangements, financial
contributions, pre- and post-return counselling and assistance; 
(c)                   
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;
(d)                   
facilities and services in third countries
ensuring appropriate temporary accommodation and reception upon arrival;
(e)                   
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)                   
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;
(b)                   
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;
(c)                   
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;
(d)                   
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;
(e)                   
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
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)                   
EUR 3,232 million for national programmes of
Member States;
(b)                   
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)                   
EUR 2,372 million as indicated in Annex I;
(b)              
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;
(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)                   
specific actions listed in Annex II,
(b)              
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;
–              
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).
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).
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)                   
strengthening the establishment of Common
European Asylum System by ensuring the efficient and uniform application of the
Union acquis on asylum;
(b)              
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;
(c)               
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)                   
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;
(b)                   
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;
(c)                   
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;
(d)                   
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;
(e)                   
preparatory, monitoring, administrative and
technical support, development of an evaluation mechanism, required to
implement the policies on asylum and immigration;
(f)                     
cooperation with third countries, in particular
in the framework of the implementation of readmission agreements, mobility
partnerships and regional protection programmes.
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)                   
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;
(b)                   
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; 
(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)                   
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;
(b)              
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;
(c)               
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].
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 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)                   
Decision No 573/2007/EC;
(b)                   
Decision No 575/2007/EC;
(c)                   
Decision 2007/435/EC; 
(d)                   
Decision 2008/381/EC.
Article 31
Transitional provisions
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                       For
the Council
The President                                                 The
President
ANNEX I
Indicative multiannual breakdowns per
Member States for 2014-2020
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)         
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
(4)         
Joint initiatives aimed at identification and
implementation of new approaches concerning the procedures at first encounter
and standards of protection of unaccompanied minors
(5)         
Joint return operations, including joint actions
on implementation of Union readmission agreements
(6)         
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
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
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
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
structure[26] 

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 
þ The
proposal/initiative relates to a new action (home affairs funding for the period 2014-2020)
¨ The
proposal/initiative relates to a new action following a pilot
project/preparatory action[27]

¨ The proposal/initiative
relates to the extension of an existing action 
¨ 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 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
(a)        strengthen
and develop the Common European Asylum System, including its external
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;
(c)        enhance
fair and effective return strategies in the Member States, with emphasis on
sustainability of return and effective readmission in the countries of origin; 
(d)        enhance
the solidarity and responsibility sharing between the Member States, in
particular 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 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 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;
–      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

þ Proposal/initiative of limited
duration 
–     
þ    Proposal/initiative in effect from 01/01/2014 to 31/12/2020
–     
þ    Financial impact from 2014 to 2023
¨ 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) envisaged[28] 

þCentralised direct management by the Commission 
þ Centralised indirect management with
the delegation of implementation tasks to:
–     
þ    executive agencies 
–     
þ    bodies set up by the Communities[29] 
–     
þ    national public-sector bodies/bodies with public-service mission

–     
¨    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

þ Shared management with the Member
States 
þ Decentralised management with third countries 
þ 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.

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).

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.
–      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.
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.
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

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.

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   || Budget line || Type of expenditure || Contribution 
 Number || Diff. ([30]) || from EFTA[31] countries || from candidate countries[32] || 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.
 Heading of multiannual financial framework || Budget line || Type of expenditure || Contribution 
 Number Heading 3 || Diff./non-diff. || from EFTA countries || from candidate countries || from third countries || within the meaning of Article 18(1)(aa) of the Financial Regulation 
 3 || 18 01 04 aa      Asylum and Migration Fund – Technical assistance || Non Diff || NO || NO || NO || NO 
 3 || 18 02 aa           Asylum and Migration Fund || Diff || NO || NO || NO || NO 

3.2.                
Estimated impact on expenditure 
3.2.1.          
Summary of estimated impact on expenditure 

EUR million (to 3 decimal places)
 Heading of multiannual financial framework: || Number 3 || Security and Citizenship 
 DG HOME ||   ||   || 2014 || 2015 || 2016 || 2017 || 2018 || 2019 || 2020 ||   || TOTAL 
  Operational appropriations (current prices) ||   ||   ||   ||   ||   ||   ||   ||   ||   
 18 02 aa  Asylum and Migration Fund || Commitments || (1) || 517.492 || 527.892 || 538.500 || 549.320 || 560.356 || 571.613 || 586.266 || - || 3,851.439 
 Payments || (2) || 90.085 || 102.823 || 270.844 || 420.790 || 532.681 || 543.385 || 554.303 || 1,336.528 || 3,851.439 
   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   
   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   
 Appropriations of an administrative nature financed from the envelope for specific programmes[33] ||   ||   ||   ||   ||   ||   ||   ||   ||   
 18 01 01 aa             Asylum and Migration Fund ||   || (3) || 2.500 || 2.500 || 2.500 || 2.500 || 2.500 || 2.500 || 2.500 ||   || 18.500 
 TOTAL appropriations for DG HOME || Commitments || =1+1a +3 || 519.992 || 530.392 || 541.000 || 551.820 || 562.856 || 574.113 || 588.766 ||   || 3,868.939 
 Payments || =2+2a +3 || 92.585 || 105.323 || 273.344 || 423.290 || 535.181 || 545.885 || 556.803 || 1,336.528 || 3,868.939 
 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. 
EUR million (to 3 decimal places)
   ||   ||   || 2014 || 2015 || 2016 || 2017 || 2018 || 2019 || 2020 || After 2020 || TOTAL 
 DG: HOME || 
  Human resources || 20.841 || 20.841 || 20.841 || 20.841 || 20.841 || 20.841 || 20.841 ||   || 145.887 
  Other administrative expenditure || 0,156 || 0,159 || 0,162 || 0,165 || 0,168 || 0,172 || 0,175 ||   || 1,157 
 TOTAL DG HOME || 20.997 || 21.000 || 21.003 || 21.006 || 21.009 || 21.013 || 21.016 ||   || 147.044 || 165,589 
 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 ||   || 147.044 
EUR million (to 3 decimal places)
   ||   ||   || 2014 || 2015 || 2016 || 2017 || 2018 || 2019 || 2020 ||   || TOTAL 
 TOTAL appropriations under HEADINGS 1 to 5 of the multiannual financial framework || Commitments || N/A || N/A || N/A || N/A || N/A || N/A || N/A || N/A ||   
 Payments ||   ||   ||   ||   ||   ||   ||   ||   ||   

3.2.2.          
Estimated impact on operational appropriations 

–     
¨  The proposal/initiative does not require the use of operational
appropriations 
–     
þ  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   ò ||   ||   || 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 
 Type of output[34] || Average cost of the output || Number of outputs || Cost || Number of outputs || Cost || Number of outputs || Cost || Number of outputs || Cost || Number of outputs || Cost || Number of outputs || Cost || Number of outputs || Cost || Total number of outputs || Total cost 
 SPECIFIC OBJECTIVE No 1[35]… ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   
 - Output ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   
 - Output ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   
 - Output ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   
 Sub-total for specific objective N°1 ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   
 SPECIFIC OBJECTIVE No 2… ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   
 - Output ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   
 Sub-total for specific objective N°2 ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   
 TOTAL COST ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   

3.2.3.          
Estimated impact on appropriations of an
administrative nature
3.2.3.1.    
Summary 

–     
¨  The proposal/initiative does not require the use of administrative
appropriations 
–     
þ 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 framework[36] || 2014 || 2015 || 2016 || 2017 || 2018 || 2019 || 2020 || TOTAL 
 Human resources HOME || 20.841 || 20.841 || 20.841 || 20.841 || 20.841 || 20.841 || 20.841 || 145,887 
 Other administrative expenditure || 0,156 || 0,159 || 0,162 || 0,165 || 0,168 || 0,172 || 0,175 || 1,157 
 Subtotal HEADING 5 of the multiannual financial framework || 20.997 || 21.000 || 21.003 || 21.006 || 21.009 || 21.013 || 21.016 || 147.044 
 Outside HEADING 5[37] of the multiannual financial framework [38] || 2014 || 2015 || 2016 || 2017 || 2018 || 2019 || 2020 || TOTAL 
 Human resources HOME || 0.640 || 0.640 || 0.640 || 0.640 || 0.640 || 0.640 || 0.640 || 4.480 
 Other expenditure of an administrative nature || 1.860 || 1.860 || 1.860 || 1.860 || 1.860 || 1.860 || 1.860 || 13.020 
 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 

3.2.3.2.    
 Estimated requirements of human resources 

–     
¨  The proposal/initiative does not require the use of human
resources 
–     
þ 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 
  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) ||   ||   ||   ||   ||   ||   ||   
  External personnel (in Full Time Equivalent unit: FTE)[39] || 
 18 02 01 (CA, INT, SNE from the "global envelope") || 16 || 16 || 16 || 16 || 16 || 16 || 16 
 XX 02 02 (CA, INT, JED, LA and SNE in the delegations) || 10 || 10 || 10 || 10 || 10 || 10 || 10 
 18 01 04 aa [40] || - at Headquarters[41] || 10 || 10 || 10 || 10 || 10 || 10 || 10 
 - 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 || N/A || N/A || N/A || N/A || N/A || N/A || N/A 
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 
 External personnel || The tasks are similar to those of officials and temporary agents, except for tasks that cannot be fulfilled by external personnel 
 Personnel in delegations || 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. 

3.2.4.          
Compatibility with the current multiannual
financial framework 

–     
þ  Proposal/initiative is compatible the next multiannual
financial framework.
–     
¨  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.
–     
¨  Proposal/initiative requires application of the flexibility
instrument or revision of the multiannual financial framework[42].
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 
–     
þ 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 || MS || MS || MS || MS || MS || MS || MS ||   
 TOTAL appropriations cofinanced || tbd || tbd || tbd || tbd || tbd || tbd || tbd ||   

3.3.                
Estimated impact on revenue 

–     
þ  Proposal/initiative has no financial impact on revenue.
–     
¨  Proposal/initiative has the following financial impact:
–                   
¨         on own resources 
–                   
¨         on miscellaneous revenue 
EUR million (to 3 decimal places)
 Budget revenue line: || Appropriations available for the ongoing budget year || Impact of the proposal/initiative[43] 
 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) 
 Article …………. ||   ||   ||   ||   ||   ||   ||   ||   
For miscellaneous
assigned revenue, specify the budget expenditure line(s) affected.
Specify the method for
calculating the impact on revenue.
[1]               OJ C 115, 4.5.2010, p.1.
[2]               COM(2010)171 final of 20/04/2010.
[3]               COM(2011)500 Final.
[4]               Decision No 573/2007/EC of the European Parliament
and of the Council (OJ L 144, 6.6.2007, p. 1)
[5]               Council Decision 2007/435/EC (OJ L 168, 28.6.2007, p.
18)
[6]               Decision No 575/2007/EC of the European Parliament
and of the Council (OJ L 144, 6.6.2007, p. 45)
[7]               "The EU Budget Review", COM (2010) 700,
19.10.2010.
[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.
[9]               The triennial revision of the Financial Regulation
introduces changes in the shared management principles which have to be taken
into account.
[10]             OJ C , , p. .
[11]             OJ C , , p. .
[12]             OJ L 304, 30.9.2004, p. 12.
[13]             OJ L 132, 29.5.2010, p. 11.
[14]             COM(2005) 388 final.
[15]             OJ L 348, 24.12.2008, p. 98.
[16]             OJ L 349, 25.11.2004, p. 1.
[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.
[18]             OJ L 212, 7.8.2001, p. 12.
[19]             OJ L 131, 21.5.2008, p. 7.
[20]             OJ L 55, 28.2.2011, p. 13.
[21]             OJ L , , p. .
[22]             OJ L 144, 6.6.2007, p. 1.
[23]             OJ L 144, 6.6.2007, p. 45.
[24]             OJ L 168, 28.6.2007, p. 18.
[25]             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.
[26]             ABM: Activity-Based Management – ABB: Activity-Based
Budgeting.
[27]             As referred to in Article 49(6)(a) or (b) of the
Financial Regulation.
[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
[29]             As referred to in Article 185 of the Financial
Regulation.
[30]             Diff. = Differentiated appropriations / Non-Diff. =
Non-differentiated appropriations
[31]             EFTA: European Free Trade Association. 
[32]             Candidate countries and, where applicable, potential
candidate countries from the Western Balkans.
[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.
[34]             Outputs are products and services to be supplied (e.g.:
number of student exchanges financed, number of km of roads built, etc.).
[35]             As described in Section 1.4.2. "Specific
objective(s)…"
[36]             Global envelope, based on the 2011 Final Allocation for
Human Resources, including officials and external staff
[37]             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.
[38]             External staff financed from former BA lines, based on
the 2011 Final Allocation for Human Resources, including external staff at
Headquarters and in Delegations
[39]             CA= Contract Agent; INT= agency staff ("Intérimaire");
JED= "Jeune Expert en Délégation" (Young Experts in
Delegations); LA= Local Agent; SNE= Seconded National Expert; 
[40]             Under the ceiling for external personnel from
operational appropriations (former "BA" lines).
[41]             Essentially for Structural Funds, European Agricultural
Fund for Rural Development (EAFRD) and European Fisheries Fund (EFF).
[42]             See points 19 and 24 of the Interinstitutional
Agreement.
[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.