{
  "url": "https://openlegislation.uk/eu-decision-2006-401/annex-1/annex-i",
  "json_url": "https://openlegislation.uk/eu-decision-2006-401/annex-1/annex-i.json",
  "legislation": "eudn/2006/401",
  "legislation_title": "Commission Decision of 20 January 2006 laying down detailed rules for the implementation of Council Decision 2004/904/EC as regards Member States management and control systems, and rules for the administrative and financial management of projects co-financed by the European Refugee Fund (notified under document number C(2006) 51/3) (Only the Czech, Dutch, English, Estonian, Finnish, French, German, Greek, Hungarian, Italian, Swedish, Latvian, Lithuanian, Polish, Portuguese, Slovakian, Slovenian and Spanish texts are authentic) (2006/401/EC)",
  "legislation_url": "https://openlegislation.uk/eu-decision-2006-401",
  "path": "annex/1/annex/i",
  "kind": "appendix",
  "number": "Annex (i)",
  "heading": "to Draft Annual Programme 2005",
  "text": "In view of the responsibility of the Member State to manage projects supported by the ERF in accordance with Article 12(2)(c) of Decision 2004/904/EC. Please describe the implementing system put in place in order to (a) ensure co-ordination and consistency of actions, (b) select projects and ensure that the selection procedure is transparent and (c) manage, monitor, check, evaluate and audit projects.\nThe implementing system shall respect the implementing rules adopted by the Commission according to Article 13(5) of Decision 2004/904/EC.\nFor your description of the implementing system, please make use of the questionnaire attached. Please submit this questionnaire together with the proposal for the 2005 annual programme.\nPlease note that an updated description of management and control systems should be provided to the Commission whenever substantial changes are made to the systems and procedures.\nDate:\n1.\nACTION FRAMEWORK\n1.1.\nLegal framework\n(Indicate the legislation and national rules applicable to management and control procedures for ERF actions).\nNational legislation applicable to ERF management\n…\n…\n…\n…\n…\n…\nSpecific national rules adopted for ERF management\n…\n…\n…\n…\n…\n1.2.\nResponsible authority and delegated body\nThe responsible authority within the meaning of Article 13 of Decision 2004/904/EC\n(Attach the official document designating the public body in question as the ‘responsible authority’ for managing the ERF).\nName: …\nAddress: …\nName of person responsible: …\nContact person: …\nFunction of contact person: …\nTel.: …\nFax: …\nE-mail: …\nDelegated body within the meaning of Article 13 of Decision 2004/904/EC (where appropriate)\n(Attach the official document whereby the responsible authority delegated responsibility for implementing ERF actions to the intermediary).\nName: …\nAddress: …\nName of person responsible: …\nContact person: …\nFunction of contact person: …\nTel.: …\nFax: …\nE-mail: …\n2.\nSTRUCTURE AND RESOURCES OF THE RESPONSIBLE AUTHORITY/DELEGATED BODY\nAttach a detailed organisation chart including a brief description of functions. If implementation of the ERF has been delegated, attach an organisation chart and a brief description of functions for the delegated body.\n2.1.\nStatus of the responsible authority/delegated body\nWhat is the legal status of the responsible authority?\n\nPublic body\n\nPublic law establishment or agency\nWhat is the legal status of the delegated body?\n\nPublic body\n\nPublic law establishment or agency\n\nPrivate body\n\nOther (please specify) …\n2.2.\nStaff list\nResponsible authority (key members of staff involved in managing ERF funds)\nFunction\nName\nStatus\nDelegated body (where appropriate)\nFunction\nName\nStatus\n2.3.\nUse of external bodies\n(Please specify whether the responsible authority/intermediary uses external bodies to carry out one or more tasks entrusted to it and, where applicable, specify the arrangements made for that purpose).\n…\n…\n…\n…\n3.\nDESCRIPTION OF DUTIES INHERENT IN MANAGEMENT AND CONTROL SYSTEMS\n3.1.\nDistribution of tasks\nIndicate external consultants where applicable.\nNB: Verifications to be performed by the responsible authority or under its responsibility (external auditors, public bodies) for control purposes (Article 25(a)), i.e. not directly linked to the monitoring of day-to-day project management (analysis and decision, payment applications), etc.\nTasks\nUnits/Departments/persons responsible\nPreparation of the national multi-annual and annual programme\nPublication of calls for proposals (grants)\nReceipt and registration of proposals\nAdministrative analysis of proposals (eligibility)\nFinancial analysis of proposals\nEvaluation of proposals\nTechnical analysis of proposals\nSelection of proposals (decision)\nNotification of decisions to grant applicants\nPreparation of related grant agreements\nSigning of grant agreements\nMonitoring of project implementation\nReceipt of payment applications/invoices\nAnalysis of recipients’ payment applications/invoices\nAuthorisation of payments\nChecks on projects\nPayment function\nPreparation and publication of Call for Tender\nReceipt and registration of tender offers\nAdministrative analysis of tenders\nFinancial analysis of tenders\nTechnical analysis of tenders\nTender Award Procedure\nSigning of contracts\nDrafting annual implementation report\nDrafting of expenditure statements by the Member State sent to the European Commission\nDrafting of payment applications by the Member State sent to the European Commission\nSending of payment applications from the Member State to the European Commission\nAudit of management systems\nEvaluation\n3.2.\nSegregation of duties\n(If management, payment and control duties are carried out within the same unit (department), please specify how these activities are clearly segregated).\n…\n…\n…\n…\n…\n…\n…\nEntry of ERF revenue and expenditure in the accounts\n3.2.1.\nAccounting arrangements\nWhat accounting instrument is used to record ERF appropriations?\n\nSpecific budget line in the national budget\n\nNon-budget item\n\nSpecific special bank account\n\nOther (please specify) …\n3.2.2.\nDescription of the circuit whereby funds are made available and sent from the account in the Member State into which they are paid to the specific account of the final recipient\nLevels\nAccount name\nPerson responsible\nArrival of funds paid by the EC\nFinal recipient\nIs the authorisation circuit for ERF payments similar to that for payments made under the national budget?\n\nYes\n\nNo\nIf not, please describe the differences, stating the underlying reasons:\n…\n…\n…\n…\n…\n…\n3.2.3.\nDescription of the rules (if in use) for carrying over ERF appropriations and national co-financing appropriations where public funds are involved\n…\n…\n…\n…\n…\n…\n…\n…\n4.\nANALYSIS OF THE MANAGEMENT PROCESS — DESCRIPTION OF CIRCUITS AND PROCEDURES\n4.1.\nPreparation of the multi-annual and annual programme\nWho prepares the multi-annual and annual programme to be submitted to the Commission?\n…\n…\n…\n…\nIn particular, how are the financial plans included in these programmes?\n…\n…\n…\n…\n…\n…\nDo these preparations entail contacts with appropriate partners to establish the multi-annual work programme or with potential recipients prior to establishing the annual programme, (call for expression of interest, call for proposals, tender procedures?\n…\n…\n…\n…\n4.2.\nCalls for proposals and selection of proposals/tender procedures\nHave documents (manuals, circulars, guides to procedures) laying down the procedures described below been adopted by the responsible authority/delegated body?\nYes\n\nNo\n\n4.2.1.\nEstablishment of calls for proposals/Call for Tender\nPreparation and validation of the calls for proposals/Call for Tender\nIs provision made for this?Y/N/NA\nEntity/Department responsible\nForm of procedure (manual, circular, guide to procedures, checklists, etc.)\nDocuments to be attached\n2005 call for proposals (including application forms); Call for Tenders\nWho is consulted before the calls for proposals/Call for Tender are finalised?\nOther departments\n\nOther national authorities\n\nEuropean Commission\n\nOther\n (please specify) …\n4.2.2.\nPublication of call for proposals/Call for Tender\nIs provision made for this?Y/N/NA\nEntity/Department responsible\nForm of procedure (manual, circular, guide to procedures, checklists, etc.)\n—\nPublication arrangements:\n—\nNational Official Journal and the Official Journal of EC (if required under procurement procedure)\n\n—\nspecific internet sites\n\n—\ngeneral press\n\n—\nspecialist press\n\n—\nbrochures and folders\n\n—\nOther\n (please specify) …\n4.2.3.\nAssistance for applicants in preparing proposals/tenders (i.e. documents or services explaining calls for proposals/tenders, such as guides for applicants, etc.)\nIs provision made for this?Y/N/NA\nEntity/Department responsible\nForm of procedure (manual, circular, guide to procedures, checklists, etc.)\nDocuments to be attached\nExisting documents or drafts\n4.2.4.\nReceipt and registration of proposals/Tender Documents\nIs provision made for this?Y/N/NA\nEntity/Department responsible\nForm of procedure (manual, circular, guide to procedures, checklists, etc.)\nReceipt of the proposal/Tender is confirmed by:\n—\nacknowledgement of receipt\n\n—\nletter/fax/e-mail\n\n—\nother\n (please specify) …\n—\nno confirmation\n\nVerification of compliance with dispatch/receipt dates and that proposals/tender documents received are complete:\nIs provision made for this?Y/N/NA\nEntity/Department responsible\nForm of procedure (manual, circular, guide to procedures, checklists, etc.)\n4.2.5.\nAnalysis of proposals/Tender documents\n(a) Administrative analysis\n(information on applicants, checks on eligibility criteria, etc.)\nIs provision made for this?Y/N/NA\nEntity/Department responsible\nForm of procedure (manual, circular, guide to procedures, checklists, etc.)\n(b) Technical analysis\n(analysis in the light of the selection and award criteria as defined in the call for proposals/Tender specifications)\nIs provision made for this?Y/N/NA\nEntity/Department responsible\nForm of procedure (manual, circular, guide to procedures, checklists, etc.)\nHave precise selection and award criteria been defined?\nYes\n\nNo\n\nIf so, are they set out in a document (analytical checklist, etc.)?\nYes\n\nNo\n\n(c) Financial analysis\nIs provision made for this?Y/N/NA\nEntity/Department responsible\nForm of procedure (manual, circular, guide to procedures, checklists, etc.)\nHave precise criteria been defined (reference values/ceilings per type of expenditure)?\nYes\n\nNo\n\nIf yes, are they set out in a document (checklist, etc.)?\nYes\n\nNo\n\n4.2.6.\nRelation with other Community initiatives or programmes\nAre checks carried out for any possible overlap with actions/projects funded in your Member State within the framework of other Community initiatives or programmes, for example EQUAL?\nIs provision made for this?Y/N/NA\nEntity/Department responsible\nForm of procedure (manual, circular, guide to procedures, checklists, etc.)\n4.2.7.\nEvaluation and selection of proposals/Tender Award Procedures\nIs provision made for this?Y/N/NA\nEntity/Department responsible\nForm of procedure (manual, circular, guide to procedures, checklists, etc.)\n(Describe the parties involved (internal evaluation, external assessors, evaluation committees) in assessing proposals/tenders submitted).\n…\n…\n…\n…\n…\n4.2.8.\nDecision to select/reject proposals/tenders\nWho is officially responsible for deciding whether to select or reject proposals?\nIs provision made for this?Y/N/NA\nEntity/Department responsible\nForm of procedure (manual, circular, guide to procedures, checklists, etc.)\n4.2.9.\nNotification of decisions to reject proposals/tenders\nIs provision made for this?Y/N/NA\nEntity/Department responsible\nForm of procedure (manual, circular, guide to procedures, checklists, etc.)\nIs a letter indicating the grounds for rejection sent to the applicant/tenderer?\nYes\n\nNo\n\nDoes the letter indicate the grounds for rejection?\nYes\n\nNo\n\n4.2.10.\nAcceptance of the project/funding decision/award of tender\nAccounting arrangements for selected projects\nIs provision made for this?Y/N/NA\nEntity/Department responsible\nForm of procedure (manual, circular, guide to procedures, checklists, etc.)\nWho signs the funding agreement/tender award decision on behalf of the responsible authority/delegated body?\n(attach a copy of a model agreement and specimen reports sent to recipients)\nIs provision made for this?Y/N/NA\nEntity/Department responsible\nForm of procedure (manual, circular, guide to procedures, checklists, etc.)\nDocuments to be attached\nSpecimen funding agreement(s)\n4.3.\nManagement and payment of grant\n4.3.1.\nPayment arrangements as defined in the funding agreement(s) with the recipient\nPayment\nAmount(% of total)\nPayment condition(reports to be presented by recipients)\nScheduled date(in relation to project completion)\nFirst pre-financement\nSecond pre-financing\nBalance\nHave specimen progress reports and final assessment reports for use by recipients been drawn-up? (attach specimen progress reports and assessment reports)\nYes\n\nNo\n\nHave specimen financial reports/payment applications for use by recipients been drawn-up? (attach specimen financial reports and payment applications)\nYes\n\nNo\n\n4.3.2.\nMonitoring of project implementation\nIs provision made for this?Y/N/NA\nEntity/Department responsible\nForm of procedure (manual, circular, guide to procedures, checklists, etc.)\nDoes this monitoring include on-the-spot project inspection visits?\nYes\n\nNo\n\nIf yes, what arrangements apply (frequency, checks on project activities/financial aspects, etc.)?\n…\n…\n…\n…\n4.3.3.\nReceipt and analysis of payment applications submitted by projects\nIs provision made for this?Y/N/NA\nEntity/Department responsible\nForm of procedure (manual, circular, guide to procedures, checklists, etc.)\nDoes the analysis of payment applications include the following checks:\nFirst pre-financement(Y/N)\nSecond pre-financement(Y/N)\nFinal(Y/N)\nWhether the amount applied for tallies with the amount specified in the agreement\nWhether the applicant is the correct person and whether the bank account to which the funding is to be paid is valid\nWhether the project has been completed in accordance with the provisions of the funding agreement\nExhaustive, detailed list of project expenditure\nChecking of calculations in the recipient’s expenditure statement\nWhether declared expenditure tallies with the budget forecast\nSupporting evidence for declared expenditure\nPercentage of declared expenditure checked against supporting evidence: … %\nCertification of expenditure by an external body (accountant, auditor, etc.)\nWhether declared expenditure complies with the rules laid down in Commission Decision …\n4.3.4.\nInitiating payment/recovery from beneficiaries\nIs provision made for this?Y/N/NA\nEntity/Department responsible\nForm of procedure (manual, circular, guide to procedures, checklists, etc.)\n4.3.5.\nPayment/recovery order\nIs provision made for this?Y/N/NA\nEntity/Department responsible\nForm of procedure (manual, circular, guide to procedures, checklists, etc.)\n4.3.6.\nImplementation of payment/recovery\nIs provision made for this?Y/N/NA\nEntity/Department responsible\nForm of procedure (manual, circular, guide to procedures, checklists, etc.)\nDoes implementation of payment/recovery include the following checks:\nFirst pre-financement Advance(Y/N)\nSecond pre-financement Interim(Y/N)\nFinal(Y/N)\nExistence of a valid legal commitment for the project (funding agreement)\nValid payment/recovery order authorisation (checklist)\nPayment/recovery order duly signed by the authorised signatory\nRecipient’s exact legal status and banking data\nCorrect accounting entry for the payment/recovery demand\n4.3.7.\nMeans of payment\nHow are recipients paid?\nBank transfer\n\nCheque\n\nOther\n\n4.3.8.\nMonitoring of recovery\n(What arrangements are made to monitor, and ensure repayment of, recovery orders issued in respect of projects?)\n…\n…\n…\n…\n…\n…\n…\n…\n4.3.9.\nReallocation procedures for funds repaid within the framework of the ERF (where appropriate)\n…\n…\n…\n…\n…\n…\n…\n…\n4.4.\nExpenditure statements and payment applications from the Member State\n4.4.1.\nExpenditure statement\nWhich department/entity draws-up the expenditure statements sent to the European Commission\nIs provision made for this?Y/N/NA\nEntity/Department responsible\nForm of procedure (manual, circular, guide to procedures, checklists, etc.)\nWhich authority certifies the expenditure statements sent to the European Commission\nIs provision made for this?Y/N/NA\nIndividual/Entity/Department responsible\nForm of procedure (manual, circular, guide to procedures, checklists, etc.)\n4.4.2.\nRequest for payment\nWhich department draws-up the request for payment sent to the European Commission (Article …)\nIs provision made for this?Y/N/NA\nEntity/Department responsible\nForm of procedure (manual, circular, guide to procedures, checklists, etc.)\n5.\nCHECKS, CONTROL AND AUDIT\n5.1.\nDepartments responsible for project checks (as defined in Article 25(a))\nIndicate also cases where external body used to carry out checks.\nIs provision made for this?Y/N/NA\nEntity/Department responsible\nForm of procedure (manual, circular, guide to procedures, checklists, etc.)\n5.2.\nFeatures of project checks\nIndicators\nYes\nNo\nStructure of checks:\n—\ncentralised\n—\ndecentralised\n—\nexternalised\nNumber of persons carrying out checks\nTypes of checks:\nChecks based on risk analysis?\n—\nex ante\n—\nduring project implementation\n—\nex post\nAn annual programme is drawn-up taking account of the sampling methods defined in Article 7\nDo checking activities include:\nYes\nNo\nEnsuring that project selection procedures are complied with\nChecking that the project’s aims tally with the objectives set out in the ERF national implementation programme\nChecking that the expenditure carried over by funding recipients tallies with the supporting documents\nChecking that expenditure corresponds to Community requirements, the requirements specified during the national selection procedure, the terms of the contract or instrument granting the funding and the works actually executed\nChecking that national co-financing is actually provided\nChecking compliance with procedures and circuits defined by the responsible authority/intermediary as regards the analysis, authorisation and implementation of payments to recipients\nChecking that the amount of funding respects the limits laid down in Article 23 of Decision 2004/904/EC\nChecking that funding has actually been paid to recipients\nChecking the audit trail\nChecking that accepted project expenditure and revenue tallies with the amounts of expenditure and revenue declared by the responsible authority in the expenditure statements submitted to the European Commission\n5.3.\nFollow-up for checks\n(a) To whom are reports sent?\n the recipients of checked projects\n the responsible authority’s management board\n the responsible authority’s internal audit department\n the national audit authorities\n other (please specify) …\n(b) What follow-up is given to these reports:\nin terms of the projects concerned (financial corrections, checks on other projects launched by the same recipients, etc.)\n…\n…\n…\nin terms of the responsible authority/intermediary (amendments and corrections to procedures/manuals of procedures, checklists, etc.)\n…\n…\n…\n…\n…\n5.4.\nAudit of the responsible authority/intermediary\nIs the responsible authority/intermediary subject to audit?\nYes\n\nNo\n\nWhich departments or authorities have the capacity to carry out this audit?\n Internal audit department of the responsible authority/intermediary\n Audit department of another body\n National audit body (Court of Auditors)\nHas an audit of that type been carried out since the entry into force of the Council Decision 2004/904/EC\nYes\n\nNo\n\nIf so:\nOn what date? …\nBy which authority? …\nIs/are the report(s) available? …\nWhat action has been taken on this report?\n…\n…\n…\n…\n…\n…\n…\n6.\nAUDIT TRAIL\nWhere are the following documents kept?\nDocuments\nUnit/Department responsible\nHow long for?\nNational multi-annual and annual programme\nEuropean Commission decision on multi-annual and annual programme\nCall for proposals/Call for tenders\nApplicant files/Contract files\nAdministrative, technical and financial analysis of proposals received (evaluation grids) and evaluation committee reports\nFunding decision or rejection\nProject funding agreement\nFinancial commitment decisions corresponding to projects\nProgress reports and final reports submitted by funding recipients\nFinancial reports and payment applications submitted by funded projects\nSupporting documents for expenditure and revenue for funded projects\nPayment/recovery authorisations for funding (checklists)\nPayment/recovery orders for funding\nProof of payment/recovery of funding\nReports on checks carried out on projects\nReports on checks carried out at national level on management and control systems\nExpenditure statements sent to the European Commission\nPayment requests sent to the European Commission\nFinal implementation reports sent to the European Commission\nProof of payment received from the European Commission\n7.\nEVALUATION\n7.1.\nDepartments responsible for evaluation\nAlso indicate external consultants where appropriate.\nIs provision made for this?Y/N/NA\nEntity/Department responsible\nForm of procedure (manual, circular, guide to procedures, checklists, etc.)\n7.2.\nEvaluation schedule\nHow often are ERF actions to be evaluated?\n\nMid-term evaluation\n\nFinal evaluation\n7.3.\nIndicators\nHave indicators been established for the purpose of monitoring and evaluation of projects and of national programmes, and are they collected during the management phase?\nYes\n\nNo\n\nHave detailed indicators been established for each type of action provided for in Articles 4, 5, 6 and 7 of Decision 2004/904/EC?\nResources and project completion indicators(mark X if yes)\nAction completion indicators(mark X if yes)\nAction result indicators(mark X if yes)\nAction impact indicators (consequences)(mark X if yes)\n1.\nReception conditions and asylum procedures\n—\nhelp for individuals\n—\nstructural assistance\n2.\nIntegration\n—\nhelp for individuals\n—\nstructural assistance\n3.\nVoluntary return\n—\nhelp for individuals\n—\nstructural assistance",
  "extent": "E+W+S+N.I.",
  "status": null,
  "version": "current",
  "annotations": [
    {
      "type": "footnote",
      "label": "f1",
      "text": "Indicate external consultants where applicable."
    },
    {
      "type": "footnote",
      "label": "f2",
      "text": "NB: Verifications to be performed by the responsible authority or under its responsibility (external auditors, public bodies) for control purposes (Article 25(a)), i.e. not directly linked to the monitoring of day-to-day project management (analysis and decision, payment applications), etc."
    },
    {
      "type": "footnote",
      "label": "f3",
      "text": "Indicate also cases where external body used to carry out checks."
    },
    {
      "type": "footnote",
      "label": "f4",
      "text": "Also indicate external consultants where appropriate."
    }
  ],
  "outstanding_effects": [],
  "provenance": {
    "source": "legislation.gov.uk",
    "source_url": "https://www.legislation.gov.uk/eudn/2006/401/annex/1/annex/i",
    "retrieved_at": "2026-11-01T15:17:34.613075+00:00"
  },
  "licence": "Open Government Licence v3.0",
  "licence_url": "https://www.nationalarchives.gov.uk/doc/open-government-licence/version/3/",
  "attribution": "Contains public sector information licensed under the Open Government Licence v3.0. Source: legislation.gov.uk, The National Archives."
}