Annexes to COM(2020)610 - Asylum and migration management and amending Council Directive (EC) 2003/109 and the proposed Regulation (EU) XXX/XXX [Asylum and Migration Fund]

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dossier COM(2020)610 - Asylum and migration management and amending Council Directive (EC) 2003/109 and the proposed Regulation (EU) XXX/XXX ...
document COM(2020)610 EN
date May 14, 2024
agreements’ beneficiaries at the same pace as for the shared management, in order to ensure the disclosure of comparable data.

When the Union contribution will be provided through shared management, the following rules shall apply:

Funding implemented by Member States under shared management will follow the rules set out in the Common Provisions Regulation (COM(2018) 375) referred further as the CPR proposal, in Regulation 2018/2016 (Financial Regulation) and the Asylum and Migration Fund (COM(2018)471), referred further as AMF proposal.

In line with the CPR proposal, each Member State will establish a management and control system for its programme and ensure the quality and the reliability of the monitoring system. Therefore, for shared management, a coherent and efficient reporting, monitoring and evaluation framework is in place. Member States are required to set up a monitoring committee to which the Commission may participate in advisory capacity. Member States may decide to set up a single monitoring committee to cover more than one programme. Monitoring committees will review all issues that affect programme progress towards achieving its objectives.

For the HOME affairs funds, Member States will submit to the Commission an annual performance report on the implementation of the programme and the progress in achieving the milestones and targets. The report should also raise any issues affecting the performance of the programme and describe the action taken to address them.

2.2.       Management and control system(s)

2.2.1.     Justification of the management mode(s), the funding implementation mechanism(s),

the payment modalities and the control strategy proposed

According to the AMF proposal, 60% of the AMF envelope is reserved for programmes of Member States. The remaining 40% of the financial envelope will be managed through a thematic facility. The objective of introducing the thematic facility is to balance the predictability of multiannual allocation of funding to Member States’ programmes with flexibility in disbursing funding periodically to actions with a high level of added value to the Union on the basis of a two-year programming cycle. The thematic facility will be used for resettlement and transfers.

The control strategy will be based on the Financial Regulation and on the CPR proposal.

For the part implemented through direct and indirect management under the thematic facility, the management and control system will build on the experience gained in 2014-2020 in both Union actions and emergency assistance. A simplified

scheme will be established allowing a swift processing of the applications for funding while reducing the risk of errors: eligible applicants will be limited to Member States and International organisations, funding will be based on simplified cost options, standard templates will be developed for funding applications, grant/contribution agreements and reporting, a standing evaluation committee will examine the applications as soon as they are received.

When the Union contribution will be provided through shared management, the following rules shall apply:

The Member States will receive an additional contribution for each person falling in the categories covered by this Regulation.

The corresponding amounts will be allocated to the Member States through the amendment of their programme. These programmes are managed under shared management in line with Article 63 of the Financial Regulation, the CPR proposal and the AMF proposal.

The payment arrangements for shared management are set out in the CPR proposal. CPR proposal provides for an annual pre-financing, followed by a maximum of four interim payments per programme and year based on the payment applications sent by the Member States during the accounting year. As per the CPR proposal, the prefinancing is cleared within the final accounting year of the programmes.

For the part implemented through shared management, the CPR proposal builds on the management and control strategy in place for the 2014-2020 programming period but introduces some measures aimed at simplifying the implementation and reducing the control burden at the level of both beneficiaries and Member States. The new elements include:

-the removal of the designation procedure for the programme authorities;

-management verifications (administrative and on-the-spot) to be carried out by the managing authority on a risk basis (compared to the 100 % administrative controls required in the 2014-2020 programming period).

-managing authorities may apply, under certain conditions, proportionate control arrangements in line with the national procedures.

-conditions to avoid multiple audits on the same operation/expenditure.

The programme authorities will submit to the Commission interim payment claims based on expenditure incurred by beneficiaries. In order to mitigate the risk of reimbursing ineligible expenditure, the CPR caps the Commission’s interim payments at 90%, given that at this moment only part of the national controls have been carried out. The Commission will pay the remaining balance following the annual clearance of accounts exercise, upon receipt of the assurance package from the programme authorities. The assurance package includes the accounts, the management declaration and the audit authority’s opinions on the accounts, the management and control system and the legality and regularity of the expenditure declared in the accounts. This assurance package will be used by the Commission to determine the amount chargeable to the Fund for the accounting year.

Any irregularities detected by the Commission or the European Court of Auditors after the transmission of the annual assurance package may lead to a net financial correction.

2.2.2.     Information concerning the risks identified and the internal control system(s) set up

to mitigate them

RISKS

In past years, DG HOME has not been facing important risks of errors in its spending programmes.

For the relocation and transfers supported through direct/indirect management, the risk of errors is expected to be lower than in the current Union actions and emergency assistance (currently at around 3% of residual error rate). Indeed, many of the risk factors will not exist in the funding of relocation and transfers: eligible applicants will be limited to Member States and International organisations, funding will be exclusively based on simplified cost options, and standardised templates will be developed to simplify both the application and the reporting. Additionally, assurance regarding the reality of the relocations and transfers is high thanks to the existing operational monitoring mechanisms.

For the support provided through shared management:

The management and control system follows the general requirements set in the CPR proposal and complies with the requirements of the Financial Regulation.

Regarding the financial contribution for relocation, and transfers, Member States may include them in the payment applications to the Commission only provided that the person in respect of whom the contribution is claimed was effectively transferred. Member States are obliged to carry out controls and audits to verify whether the conditions to claim to the Commission the contribution have been met. In addition, Member States are obliged to keep appropriate supporting documents for the time period set up in the CPR proposal.

Multi-annual programming coupled with annual clearance based on the payments made by the Responsible Authority aligns the eligibility periods with the annual accounts of the Commission.

INTERNAL CONTROL SYSTEM – MITIGATING CONTROLS

The first DG HOME Anti-Fraud Strategy was adopted in 2013. The current Anti-Fraud Strategy was updated in February 2018 and will be valid until the current MFF comes to an end. In view of the MFF 2021-2027 and the new Commission Anti-Fraud Strategy adopted in 2019, DG HOME is currently working on updating its Anti-Fraud Strategy. The aim of the new DG HOME Strategy will be to adapt to the evolving situation and further strengthen the DG’s anti-fraud activities. The new DG HOME Anti-Fraud Strategy will be adopted at the latest by 2021.

DG HOME has also

established in

2016

a control strategy for emergency assistance

that will be the basis for the establishment of the control strategy for the part on the direct/indirect management.

Additionally for shared management, in November 2015, DG HOME adopted an Audit Strategy for the shared management part of Asylum, Migration and Integration Fund (AMIF) and the Internal Security Fund (ISF). A Control Strategy for AMIF/ISF shared management is currently being developed by DG HOME. This strategy will

include all controls needed for the management of the national programmes under AMIF and ISF.

2.2.3.

Estimation and justification of the cost-effectiveness of the controls (ratio of "control costs ÷ value of the related funds managed"), and assessment of the expected levels of risk of error (at payment & at closure)

Negligible control costs and very low error risk.

The costs of controls are expected to remain the same as in the current period.

For direct/indirect management, the cost of controls is expected to be smaller than for the Union actions, due to standardised procedures for application, evaluation and reporting, simplified costs and strong limitations to the eligible applicants.

For shared management, the cost of controls may potentially be reduced for Member States due to the risk-based approach to management and controls being introduced in the CPR proposal. For the present (2014-2020) programming cycle, as of 2017 the cumulative cost of control by the Member States is estimated at approximately 5 % of the total amount of payments requested by the Member States for the year 2017.

2.3.

Measures to prevent fraud and irregularities

Specify existing or envisaged prevention and protection measures, e.g. from the Anti-Fraud Strategy.

DG HOME's Anti-fraud strategy mentioned in 2.2.2 applies.

3.

ESTIMATEDFINANCIALIMPACTOFTHE PROPOSAL/INITIATIVE

3.1.       Heading of the multiannual financial framework and new expenditure budget

line(s) proposed

Heading of multiannual

financial framework
Budget lineType of expenditureContribution
Heading 4: Migration and Border Management

Chapter 10: Migration
Diff./Non-

diff.63
from

EFTA

countries64
from

candidate

countries65
from

third

countrie

s
within the

meaning of

Article [21(2)(b)]

of the Financial

Regulation
410 02 01 – Asylum and Migration FundDiff.NONOYES66NO
410 01 01 – Support expenditure for the "Asylum and Migration Fund”Non-diff.NONOYESNO
4XX 01 01 01 (Headquarters and Commission Representation Offices)Non-diff.NONONONO
4XX 01 01 02 (Headquarters and Commission Representation Offices)Non-diff.NONONONO
4XX 01 01 02 (Headquarters and Commission Representation Offices)Non-diff.NONONONO

63 64 65 66

Diff. = Differentiated appropriations / Non-diff. = Non-differentiated appropriations.

EFTA: European Free Trade Association.

Candidate countries and, where applicable, potential candidates from the Western Balkans.

possible voluntary contribution from the Schengen Associated Countries if these would participate in

the new Dublin system

3.2.       Estimated impact on expenditure

3.2.1.     Summary of estimated impact on expenditure

ing of multiannual framework

EUR

(to

million (to three decimal

places)

Migration and Border Management

2021202220232024202520262027Post 2027TOTAL
Operational appropriations (split according to the budget lines listed under 3.1)Commitments(1)87.800120.100225.500226.300226.300227.5001 113.500
Payments(2)70.240113.640204.420226.140226.300227.26045.5001 113.500
Appropriations of an administrative nature financed from the envelope of the programme67Commitments = Payments(3)
TOTAL appropriations for the envelope of the programmeCommitments= 1+3
87.800120.100225.500226.300226.300227.5001 113.500
Payments= 2+ 3
70.240113.640204.420226.140226.300227.26045.5001 113.500

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

EN

106

EN

4

67

Heading of multiannual financial framework

7

European Public Administration

This section should be filled in using the 'budget data of an administrative nature' to be firstly introduced in the Annex Financial Statement , which is uploaded to DECIDE for interservice consultation purposes.

Legislative

EUR

(to

million (to three decimal

places)

2021202220232024202520262027Post 2027TOTAL
Human resources1.8151.8151.8151.8151.8151.81510.890
Other administrative expenditure0.1200.1200.1200.1200.1200.1200.720
TOTAL appropriations under HEADING 7 of the multiannual financial framework(Total commitments = Total payments)1.9351.9351.9351.9351.9351.935-11.610

EUR

(to

million (to three decimal

places)

2021202220232024202520262027Post 2027TOTAL
TOTAL appropriations across HEADINGS

of the multiannual financial framework
Commitments89.735122.035227.435228.235228.235229.4351 125.110
Payments72.175115.575206.355228.075228.235229.19545.5001 125.110

EN

107

EN

3.2.2.        Summary of estimated impact on appropriations of an administrative nature

IZI The proposal/initiative does not require the use of appropriations of an administrative nature

IZI The proposal/initiative requires the use of appropriations of an administrative nature, as explained below:

EUR million (to three deci mal places)

Years

2021

2022

2023

2024

2025

2026

2027

TOTAL

HEADING 7

of the multiannual

financial framework
Human resources
Other administrative expenditure
Subtotal HEADING 7

of the multiannual

financial framework

1.815

0.120

1.815

1.815

0.120              0.120

1.815

1.815

0.120              0.120

1.815            10.890

0.120

0.720

1.935

1.935

1.935

1.935

1.935

1.935            11.610

68

Outside HEADING 7

of the multiannual financial framework
Human resources
Other expenditure of an administrative nature
Subtotal outside HEADING 7

of the multiannual financial framework

TOTAL

1.935

1.935

1.935

1.935

1.935

1.935

11.610

The appropriations required for human resources and other expenditure of an administrative nature will be met by appropriations 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 allocation procedure and in the light of budgetary constraints.

under the annual

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

68

of

3.2.2.1. Estimated requirements of human resources

IZI The proposal/initiative does not require the use of human resources.

El The proposal/initiative requires the use of human resources, as explained below:

Estimate to be expressed in full time equivalent units

Years2021202220232024202520262027
• Establishment plan posts (offi c i a l s a n d temporary staff)
Headquarters and Commission’s Representation Offices11111111111111
Delegations
Research
• External sta ff (i n Fu l l T i m e E q u i v a l e n t u n i t: FTE) - AC, AL, END, INT and JED Heading 7
Financed from HEADING 7 of the multiannual financial framework- at Headquarters
2222222
- in Delegations
Financed from the envelope of the

70 programme
- at Headquarters
- in Delegations
Research
Other (specify)
TOTAL13131313131313

The human resources required will be met by staff from the DG who 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 procedure and in the light of budgetary constraints.

Description of tasks to be carried out:

Officials

External

and temporary staff

Support, process and monitor the activities related to the implementation of this proposal, mainly regarding the solidarity mechanism and the legal framework necessary to implement it. 9 FTE (7 AD, 1 CA and 1 SNE) shall be assigned to the relevant policy unit and 4 FTE (2 AD and 2 AST) to the relevant fund management unit.

Support, process and monitor the activities related to the implementation of this proposal, mainly regarding the operation of proposal with respect to the determination of responsibility established for the Member States to examine applications for international protection.

AC= Contract Staff; AL = Local Staff; END = Seconded National Expert; INT =

JPD= Junior Professionals in Delegations.

Sub-ceiling for external staff covered by operational appropriations (former ‘BA’ lines).

agency staff;

staff

69

70

3.2.3.     Third-party contributions71

The proposal/initiative:


does not provide for co-financing by third parties

provides for the co-financing by third parties estimated below:

Appropriations in EUR million (to three decimal

places)

Years2021202220232024202520262027TOTAL
Specify the co-financing bodyp.m.p.m.p.m.p.m.p.m.p.m.
TOTAL appropriations co-financedp.m.p.m.p.m.p.m.p.m.p.m.

3.3.              Estimated im p act on revenue

S The proposal/initiative has no financial impact on revenue. D The proposal/initiative has the f oll owing fina nc ial impact:


on own resources

on other revenue

please indicate, if the revenue is assigned to expenditure lines IZI

EUR million (to three decimal places)

Budget revenue line:Impact of the proposal/initiative72
2021202220232024202520262027
Article ………….

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

affected.

Other remarks (e.g. method/formula used for calculating the impact on revenue or any other information).

Possible contribution from the Schengen Associated Countries if these would participate in the new Dublin system

As regards traditional own resources (customs duties, sugar levies), the amounts indicated must be net amounts, i.e. gross amounts after deduction of 20 % for collection costs.

7

2