This document is an excerpt from the EUR-Lex website
Document 02021R1057-20210630
Regulation (EU) 2021/1057 of the European Parliament and of the Council of 24 June 2021 establishing the European Social Fund Plus (ESF+) and repealing Regulation (EU) No 1296/2013
Consolidated text: Regulation (EU) 2021/1057 of the European Parliament and of the Council of 24 June 2021 establishing the European Social Fund Plus (ESF+) and repealing Regulation (EU) No 1296/2013
Regulation (EU) 2021/1057 of the European Parliament and of the Council of 24 June 2021 establishing the European Social Fund Plus (ESF+) and repealing Regulation (EU) No 1296/2013
02021R1057 — EN — 30.06.2021 — 000.001
This text is meant purely as a documentation tool and has no legal effect. The Union's institutions do not assume any liability for its contents. The authentic versions of the relevant acts, including their preambles, are those published in the Official Journal of the European Union and available in EUR-Lex. Those official texts are directly accessible through the links embedded in this document
REGULATION (EU) 2021/1057 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 24 June 2021 establishing the European Social Fund Plus (ESF+) and repealing Regulation (EU) No 1296/2013 (OJ L 231 30.6.2021, p. 21) |
Corrected by:
REGULATION (EU) 2021/1057 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
of 24 June 2021
establishing the European Social Fund Plus (ESF+) and repealing Regulation (EU) No 1296/2013
TABLE OF CONTENTS |
|
Part I |
General provisions |
Article 1 |
Subject matter |
Article 2 |
Definitions |
Article 3 |
General objectives of the ESF+ and methods of implementation |
Article 4 |
Specific objectives of the ESF+ |
Article 5 |
Budget |
Article 6 |
Gender equality, equal opportunities and non-discrimination |
Part II |
Implementation under shared management |
Chapter I |
Common provisions on programming |
Article 7 |
Consistency and thematic concentration |
Article 8 |
Respect for the Charter |
Article 9 |
Partnership |
Article 10 |
Support for the most deprived persons |
Article 11 |
Support for youth employment |
Article 12 |
Support for relevant country-specific recommendations |
Chapter II |
General support from the ESF+ strand under shared management |
Article 13 |
Scope |
Article 14 |
Social innovative actions |
Article 15 |
Transnational cooperation |
Article 16 |
Eligibility |
Article 17 |
Indicators and reporting |
Chapter III |
ESF+ support for addressing material deprivation |
Article 18 |
Scope |
Article 19 |
Principles |
Article 20 |
Content of the priority |
Article 21 |
Eligibility of operations |
Article 22 |
Eligibility of expenditure |
Article 23 |
Indicators and reporting |
Article 24 |
Audit |
Part III |
Implementation under direct and indirect management |
Chapter I |
Operational objectives |
Article 25 |
Operational objectives |
Chapter II |
Eligibility |
Article 26 |
Eligible actions |
Article 27 |
Eligible entities |
Article 28 |
Horizontal principles |
Article 29 |
Participation of third countries |
Chapter III |
General provisions |
Article 30 |
Forms of Union funding and methods of implementation |
Article 31 |
Work programme |
Article 32 |
Monitoring and reporting |
Article 33 |
Protection of the financial interests of the Union |
Article 34 |
Evaluation |
Article 35 |
Audits |
Article 36 |
Information, communication and publicity |
Part IV |
Final Provisions |
Article 37 |
Exercise of the delegation |
Article 38 |
Committee procedure for the ESF+ strand under shared management |
Article 39 |
Committee set up under Article 163 TFEU |
Article 40 |
Transitional provisions for the ESF+ strand under shared management |
Article 41 |
Transitional provisions for the EaSI strand |
Article 42 |
Entry into force |
ANNEX I |
Common indicators for general support from the ESF+ strand under shared management |
ANNEX II |
Common indicators for the ESF+ actions targeting social inclusion of the most deprived persons within the specific objective set out in Article 4(1), point (l), in line with Article 7(5), first subparagraph |
ANNEX III |
Common indicators for ESF+ support for addressing material deprivation |
ANNEX IV |
Indicators for the EaSI strand |
PART I
GENERAL PROVISIONS
Article 1
Subject matter
This Regulation establishes the European Social Fund Plus (ESF+), which consists of two strands: the strand under shared management (the ‘ESF+ strand under shared management’) and the Employment and Social Innovation strand (the ‘EaSI strand’).
This Regulation lays down the objectives of the ESF+, its budget for the period 2021 to 2027, the methods of implementation, the forms of Union funding and the rules for providing such funding.
Article 2
Definitions
For the purposes of this Regulation, the following definitions apply:
‘lifelong learning’ means learning in all its forms, namely, formal, non-formal and informal learning, that takes place at all stages in life and results in an improvement or an update in knowledge, skills, competences and attitudes or in participation in society in a personal, civic, cultural, social or employment-related perspective, including the provision of counselling and guidance services, including early childhood education and care, general education, vocational education and training, higher education, adult education, youth work and other learning settings outside formal education and training and it typically promotes cross-sectoral cooperation and flexible learning pathways;
‘third-country national’ means a person who is not a citizen of the Union, including stateless persons and persons with an undetermined nationality;
‘basic material assistance’ means goods which fulfil the basic needs of a person for a life with dignity, such as clothing, hygiene goods, including feminine hygiene products, and school material;
‘disadvantaged group’ means a group of people in vulnerable situations, including people experiencing or at risk of poverty, social exclusion or discrimination in its multiple dimensions;
‘key competences’ means the knowledge, skills and competences all individuals need, at any stage of their lives, for their personal fulfilment and development, employment, social inclusion and active citizenship, namely, literacy; multilingualism; mathematics, science, technology, arts and engineering; digital skills; media skills; personal, social and learning to learn skills; active citizenship skills; entrepreneurship; cultural and intercultural awareness and expression; and critical thinking;
‘most deprived persons’ means natural persons, whether individuals, families, households or groups of persons, including children in vulnerable situations and homeless people, whose need for assistance has been established according to the objective criteria which are set by the national competent authorities in consultation with relevant stakeholders while avoiding conflicts of interest, and which may include elements that allow for the targeting of the most deprived persons in certain geographical areas;
‘end recipients’ means the most deprived persons receiving the support as laid down in Article 4(1), point (m);
‘social innovation’ means an activity, that is social both as to its ends and its means and in particular an activity which relates to the development and implementation of new ideas concerning products, services, practices and models, that simultaneously meets social needs and creates new social relationships or collaborations between public, civil society or private organisations, thereby benefiting society and boosting its capacity to act;
‘accompanying measure’ means an activity provided in addition to the distribution of food and/or basic material assistance with the aim of addressing social exclusion and contributing to the eradication of poverty, such as referrals to or providing social and health services, including psychological support, or providing relevant information on public services or advice on managing a household budget;
‘social experimentation’ means a policy intervention that aims to provide an innovative response to social needs, implemented on a small scale and in conditions that enable its impact to be measured, prior to being implemented in other contexts including geographical and sectorial ones, or implemented on a larger scale, if the results prove to be positive;
‘cross-border partnership’ means a structure of cooperation between public employment services, the social partners or civil society located in at least two Member States;
‘microenterprise’ means an enterprise with fewer than 10 employees and an annual turnover or balance sheet below EUR 2 000 000 ;
‘social enterprise’ means an undertaking, regardless of its legal form, including social economy enterprises, or a natural person which:
in accordance with its articles of association, statutes or with any other legal document that may result in liability under the rules of the Member State where a social enterprise is located, has the achievement of measurable, positive social impacts, which may include environmental impacts, as its primary social objective rather than the generation of profit for other purposes, and which provides services or goods that generate a social return or employs methods of production of goods or services that embody social objectives;
uses its profits first and foremost to achieve its primary social objective, and has predefined procedures and rules that ensure that the distribution of profits does not undermine the primary social objective;
is managed in an entrepreneurial, participatory, accountable and transparent manner, in particular by involving workers, customers and stakeholders on whom its business activities have an impact;
‘reference value’ means a value which is used to set targets for common and programme specific result indicators and based on existing or previous, similar interventions;
‘cost of purchasing food and/or basic material assistance’ means the actual costs which are linked to the purchase of food and/or basic material assistance by the beneficiary and are not limited to the price of the food and/or basic material assistance;
‘microfinance’ includes guarantees, microcredit, equity and quasi-equity, coupled with accompanying business development services such as those provided in the form of individual counselling, training and mentoring, extended to persons and microenterprises that experience difficulties accessing credit for the purpose of professional and revenue-generating activities;
‘blending operation’ means an action supported by the Union budget, including within a blending facility or platform as defined in Article 2, point (6), of the Financial Regulation, combining non-repayable forms of support or financial instruments from the Union budget with repayable forms of support from development or other public finance institutions, as well as from commercial finance institutions and investors;
‘legal entity’ means a natural person, or a legal person created and recognised as such under Union, national, or international law, which has legal personality and the capacity to act in its own name, exercise rights and be subject to obligations, or an entity which does not have legal personality as referred to in Article 197(2), point (c), of the Financial Regulation;
‘common immediate result indicator’ means a common result indicator which captures effects within four weeks from the day on which the participant has left the operation;
‘common longer-term result indicator’ means a common result indicator which captures effects six months after the participant has left the operation.
Article 3
General objectives of the ESF+ and methods of implementation
The ESF+ shall be implemented:
under shared management, for the part of the assistance which corresponds to the specific objectives set out in Article 4(1) (ESF+ strand under shared management); and
under direct and indirect management, for the part of the assistance which corresponds to the objectives set out in Article 4(1) and Article 25 (EaSI strand).
Article 4
Specific objectives of the ESF+
The ESF+ shall support the following specific objectives in the policy areas of employment and labour mobility, education, social inclusion, including contributing to poverty eradication, and thereby also contributing to the policy objective ‘a more social and inclusive Europe implementing the European Pillar of Social Rights’ referred to in Article 5, point (d), of Regulation (EU) 2021/1060:
improving access to employment and activation measures for all jobseekers, in particular young people, especially through the implementation of the Youth Guarantee, for long-term unemployed and disadvantaged groups on the labour market, and for inactive people, as well as through the promotion of self-employment and the social economy;
modernising labour market institutions and services to assess and anticipate skills needs and ensure timely and tailor-made assistance and support for labour market matching, transitions and mobility;
promoting a gender-balanced labour market participation, equal working conditions, and a better work-life balance including through access to affordable childcare, and care for dependent persons;
promoting the adaptation of workers, enterprises and entrepreneurs to change, active and healthy ageing and a healthy and well-adapted working environment that addresses health risks;
improving the quality, inclusiveness, effectiveness and labour market relevance of education and training systems including through validation of non-formal and informal learning, to support acquisition of key competences including entrepreneurial and digital skills, and by promoting the introduction of dual-training systems and apprenticeships;
promoting equal access to and completion of quality and inclusive education and training, in particular for disadvantaged groups, from early childhood education and care through general and vocational education and training, to tertiary level, as well as adult education and learning, including facilitating learning mobility for all and accessibility for persons with disabilities;
promoting lifelong learning, in particular flexible upskilling and reskilling opportunities for all taking into account entrepreneurial and digital skills, better anticipating change and new skills requirements based on labour market needs, facilitating career transitions and promoting professional mobility;
fostering active inclusion with a view to promoting equal opportunities, non-discrimination and active participation, and improving employability, in particular for disadvantaged groups;
promoting socio-economic integration of third-country nationals, including migrants;
promoting the socio-economic integration of marginalised communities, such as Roma people;
enhancing equal and timely access to quality, sustainable and affordable services, including services that promote the access to housing and person-centred care including healthcare; modernising social protection systems, including promoting access to social protection, with a particular focus on children and disadvantaged groups; improving accessibility including for persons with disabilities, effectiveness and resilience of healthcare systems and long-term care services;
promoting social integration of people at risk of poverty or social exclusion, including the most deprived persons and children;
addressing material deprivation through food and/or basic material assistance to the most deprived persons, including children, and providing accompanying measures supporting their social inclusion.
Through the actions implemented under the ESF+ strand under shared management to achieve the specific objectives referred to in paragraph 1 of this Article, the ESF+ shall aim to contribute to the other policy objectives listed in Article 5 of Regulation (EU) 2021/1060, in particular the objectives related to:
a smarter Europe through the development of skills for smart specialisation, skills for key enabling technologies, industrial transition, sectorial cooperation on skills and entrepreneurship, the training of researchers, networking activities and partnerships between higher education institutions, vocational and educational training institutions, research and technological centres and enterprises and clusters, and support for micro, small and medium-sized enterprises and the social economy;
a greener, low carbon Europe through the improvement of education and training systems necessary for the adaptation of skills and qualifications, the upskilling of all, including the labour force, the creation of new jobs in sectors related to the environment, climate, energy, the circular economy and the bioeconomy.
Where strictly necessary as a temporary measure to respond to exceptional or unusual circumstances as referred to in Article 20 of Regulation (EU) 2021/1060, and limited to a period of 18 months, the ESF+ may support:
the financing of short-time work schemes without the requirement that they be combined with active measures;
access to healthcare including for people who are not in imminent socio-economic vulnerability.
Article 5
Budget
Article 6
Gender equality, equal opportunities and non-discrimination
Member States and the Commission shall support specific targeted actions to promote the horizontal principles referred to in Article 9(2) and (3) of Regulation (EU) 2021/1060 and Article 28 of this Regulation that fall within any of the objectives of the ESF+. Those actions may include actions for ensuring accessibility for persons with disabilities, including in terms of information and communication technologies, and promoting the transition from residential or institutional care to family and community-based care.
Through the ESF+, Member States and the Commission shall aim to increase the participation of women in employment as well as conciliation between working and personal life, combat the feminisation of poverty and gender discrimination in the labour market and in education and training.
PART II
IMPLEMENTATION UNDER SHARED MANAGEMENT
CHAPTER I
Common provisions on programming
Article 7
Consistency and thematic concentration
Member States and, where appropriate, the Commission shall foster synergies and ensure coordination, complementarity and coherence between the ESF+ and other Union funds, programmes and instruments, both in the planning phase and during implementation. Member States and, where appropriate, the Commission shall optimise mechanisms for coordination to avoid duplication of efforts and ensure close cooperation between entities responsible for implementation to deliver coherent and streamlined support actions.
Member States that had an average rate above the Union average of children of less than 18 years old at risk of poverty or social exclusion for the period between 2017 and 2019, on the basis of Eurostat data, shall allocate at least 5 % of their resources of the ESF+ strand under shared management to support targeted actions and structural reforms to tackle child poverty as set out in the first subparagraph.
The resources shall not be taken into account for verifying compliance with the minimum allocations set out in paragraphs 3 and 4.
Member States that had an average rate above the Union average of young people of 15 to 29 years of age who are not in employment, education or training for the period between 2017 and 2019, on the basis of Eurostat data, shall allocate at least 12,5 % of their resources of the ESF+ strand under shared management for the years 2021 to 2027 to support the targeted actions and structural reforms as set out in the first subparagraph.
Outermost regions fulfilling the conditions set out in the second subparagraph shall allocate at least 12,5 % of their resources of the ESF+ strand under shared management in their programmes to the targeted actions and structural reforms as set out in the first subparagraph. This allocation shall be taken into account for verifying compliance with the minimum percentage at national level set out in the second subparagraph when applicable.
When implementing targeted actions and structural reforms referred to in this paragraph, Member States shall give priority to inactive and long-term unemployed young people and put in place targeted outreach measures.
Article 8
Respect for the Charter
Article 9
Partnership
Where capacity building of the social partners and civil society organisations is identified by a relevant country-specific recommendation adopted in accordance with Article 121(2) and Article 148(4) TFEU, the Member State concerned shall allocate an appropriate amount of at least 0,25 % of its resources of the ESF+ strand under shared management for that purpose.
Article 10
Support for the most deprived persons
The resources referred to in Article 7(5) under specific objectives set out in Article 4(1), points (l) and (m), shall be programmed under a dedicated priority or programme. The co-financing rate for that priority or programme shall be 90 %.
Article 11
Support for youth employment
Support in accordance with the second and third subparagraphs of Article 7(6) shall be programmed under a dedicated priority or programme and it shall at least include support contributing to the specific objective set out in Article 4(1), point (a), and may include support contributing to the specific objectives set out in Article 4(1), points (f) and (l).
Article 12
Support for relevant country-specific recommendations
The actions addressing the challenges identified in relevant country-specific recommendations and in the European Semester as referred to in Article 7(2) shall be programmed under any of the specific objectives set out in Article 4(1) to support the implementation of the European Pillar of Social Rights and under one or more priorities, which can be a multi-fund priority.
CHAPTER II
General support from the ESF+ strand under shared management
Article 13
Scope
This Chapter applies to support from the ESF+ strand under shared management contributing to specific objectives set out in Article 4(1), points (a) to (l) (general support from the ESF+ strand under shared management).
Article 14
Social innovative actions
Article 15
Transnational cooperation
Member States may support transnational cooperation actions under any of the specific objectives set out in Article 4(1), points (a) to (l).
Article 16
Eligibility
In addition to the non-eligible costs referred to in Article 64 of Regulation (EU) 2021/1060, the following costs shall not be eligible for general support from the ESF+ strand under shared management:
the purchase of land and real estate as well as infrastructure; and
the purchase of furniture, equipment and vehicles, except where such purchase is necessary for achieving the objective of the operation, or those items are fully depreciated during the operation, or the purchase of those items is the most economic option.
Article 17
Indicators and reporting
The Commission is empowered to adopt delegated acts in accordance with Article 37 to amend the indicators in Annexes I and II where considered necessary to ensure effective assessment of progress in the implementation of programmes. Such amendments shall be proportionate, taking into account the administrative burden borne by Member States and beneficiaries. Delegated acts in accordance with this paragraph shall not change the methodology for data collection as laid down in Annexes I and II.
CHAPTER III
ESF+ support for addressing material deprivation
Article 18
Scope
This Chapter applies to ESF+ support contributing to the specific objective set out in Article 4(1), point (m).
Article 19
Principles
The food and/or basic material assistance may be provided directly to the most deprived persons or indirectly, for example, through vouchers or cards, in electronic or other form, provided that they can be redeemed only against food and/or basic material assistance. Support for the most deprived persons shall be additional to any social benefit that may be provided to end recipients by national social systems or according to national law.
The food provided for the most deprived persons may be obtained from the use, processing or sale of the products disposed of in accordance with Article 16(2) of Regulation (EU) No 1308/2013 of the European Parliament and of the Council ( 1 ), provided that this is economically the most favourable option and does not unduly delay the delivery of food to the most deprived persons.
Any amount derived from such a transaction shall be used for the benefit of the most deprived persons, in addition to the amounts already available to the programme.
Article 20
Content of the priority
A priority concerning support contributing to the specific objective set out in Article 4(1), point (m), shall set out:
the type of support;
the main target groups; and
a description of the national or regional schemes of support.
Article 21
Eligibility of operations
Article 22
Eligibility of expenditure
The eligible costs of the ESF+ support for addressing material deprivation shall be:
the cost of purchasing food and/or basic material assistance, including costs related to transporting food and/or basic material assistance to the beneficiaries delivering the food and/or basic material assistance to the end recipients;
where the transport of the food and/or basic material assistance to the beneficiaries distributing them to the end recipients is not covered by point (a), the costs borne by the purchasing body related to transporting food and/or basic material assistance to the storage depots or the beneficiaries and storage costs at a flat-rate of 1 % of the costs referred to in point (a) or, in duly justified cases, costs actually incurred and paid;
the administrative, transport, storage and preparation costs borne by the beneficiaries involved in the distribution of the food and/or basic material assistance to the most deprived persons at a flat-rate of 7 % of the costs referred to in point (a) or 7 % of the costs of the value of the food disposed of in accordance with Article 16 of Regulation (EU) No 1308/2013;
the cost of collection, transport, storage and distribution of food donations and directly related awareness raising activities; and
the costs of accompanying measures undertaken by or on behalf of beneficiaries and declared by the beneficiaries delivering the food and/or basic material assistance to the most deprived persons at a flat- rate of 7 % of the costs referred to in point (a).
The following costs shall not be eligible:
interest on debt;
purchase of infrastructure; and
costs of second-hand goods.
Article 23
Indicators and reporting
Article 24
Audit
Audit of operations may cover all stages of their implementation and all levels of the distribution chain, with the sole exception of control of the end recipients, unless a risk assessment establishes a specific risk of irregularity or fraud.
PART III
IMPLEMENTATION UNDER DIRECT AND INDIRECT MANAGEMENT
CHAPTER I
Operational objectives
Article 25
Operational objectives
The EaSI strand shall have the following operational objectives:
to develop high-quality comparative analytical knowledge in order to ensure that policies to achieve the specific objectives set out in Article 4(1) are based on sound evidence and are relevant to needs, challenges and local conditions;
to facilitate effective and inclusive information sharing, mutual learning, peer reviews and dialogue on policies in the policy areas set out in Article 4(1) in order to assist the design of appropriate policy measures;
to support social experimentation in the policy areas set out in Article 4(1) and build up the stakeholders’ capacity at national and local levels to prepare, design and implement, transfer or scale up the tested social policy innovations, in particular with regard to the scaling up of projects developed by local stakeholders in the field of the socio-economic integration of third-country nationals;
to facilitate the voluntary geographical mobility of workers and increase employment opportunities through developing and providing specific support services to employers and jobseekers with a view to the development of integrated European labour markets, ranging from pre-recruitment preparation to post-placement assistance in order to fill vacancies in certain sectors, professions, countries, border regions or for particular groups, such as people in vulnerable situations;
to support the development of the market ecosystem around the provision of microfinance to microenterprises in start-up and development phases, in particular those that are created by or employ people in vulnerable situations;
to support networking at Union level and dialogue with and among relevant stakeholders in the policy areas set out in Article 4(1) and contribute to build up the institutional capacity of involved stakeholders, including the public employment services, public social security and health insurance institutions, civil society, microfinance institutions and institutions providing finance to social enterprises and the social economy;
to support the development of social enterprises and the emergence of a social investment market, facilitating public and private interactions and the participation of foundations and philanthropic actors in that market;
to provide guidance for the development of social infrastructure needed for the implementation of the European Pillar of Social Rights;
to support transnational cooperation in order to accelerate the transfer and facilitate the scaling up, of innovative solutions, in particular for the policy areas set out in Article 4(1); and
to support the implementation of relevant international social and labour standards in the context of harnessing globalisation and the external dimension of Union policies in the policy areas set out in Article 4(1).
CHAPTER II
Eligibility
Article 26
Eligible actions
The EaSI strand may support the following actions:
analytical activities, including in relation to third countries, in particular:
surveys, studies, statistical data, methodologies, classifications, micro-simulations, indicators and support for European-level observatories and benchmarks;
social experimentation evaluating social innovations;
monitoring and assessment of the transposition and application of Union law;
policy implementation, in particular:
cross-border partnerships, in particular between public employment services, the social partners and civil society, and support services in cross-border regions;
a Union-wide labour-targeted mobility scheme at Union level to fill job vacancies where labour market shortcomings have been identified;
support for microfinance institutions and institutions providing finance to social enterprises, including through blending operations such as asymmetric risk sharing or the reduction of transaction costs, as well as support for the development of social infrastructure and skills;
support for transnational cooperation and partnership with a view to transferring and scaling up innovative solutions;
capacity building, in particular of:
networks at Union level related to the policy areas set out in Article 4(1);
national contact points providing guidance, information and assistance related to the implementation of the EaSI strand;
the administrations, social security institutions and employment services responsible for promoting labour mobility, of microfinance institutions and institutions providing finance to social enterprises or other social investment actors, as well as networking, in Member States or third countries associated to the EaSI strand pursuant to Article 29;
stakeholders, including the social partners and civil society organisations, in view of transnational cooperation;
communication and dissemination activities, in particular:
mutual learning through exchange of good practices, innovative approaches, results of analytical activities, peer reviews, and benchmarking;
guides, reports, informative material and media coverage of initiatives related to the policy areas set out in Article 4(1);
information systems disseminating evidence related to the policy areas set out in Article 4(1);
events of the Presidency of the Council and conferences, seminars and awareness-raising activities.
Article 27
Eligible entities
Subject to the criteria set out in Article 197 of the Financial Regulation, the following entities shall be eligible:
legal entities established in any of the following countries or territories:
a Member State or an overseas country or territory linked to it;
a third country which is associated to the EaSI strand pursuant to Article 29;
a third country listed in the work programme, subject to conditions specified in paragraphs 2 and 3 of this Article;
any legal entity established under Union law or any international organisation.
Article 28
Horizontal principles
Article 29
Participation of third countries
The EaSI strand shall be open to the participation of the following third countries by means of an agreement with the Union:
members of the European Free Trade Association which are members of the European Economic Area, in accordance with the conditions laid down in the Agreement on the European Economic Area;
acceding countries, candidate countries and potential candidates, in accordance with the general principles and general terms and conditions for the participation of those countries in Union programmes established in the respective framework agreements and Association Council decisions or similar agreements and in accordance with the specific conditions laid down in agreements between the Union and those countries;
other third countries, in accordance with the conditions laid down in a specific agreement covering the participation of the third country in the EaSI strand, provided that the agreement:
ensures a fair balance as regards the contributions and benefits of the third country participating in the Union programmes;
lays down the conditions of participation in the programmes, including the calculation of financial contributions to individual programmes or strands of programmes, and their administrative costs;
does not confer to the third country a decisional power on the EaSI strand;
guarantees the rights of the Union to ensure sound financial management and to protect its financial interests.
The contributions referred to in this Article, first paragraph, point (c)(ii), shall constitute assigned revenues in accordance with Article 21(5) of the Financial Regulation.
CHAPTER III
General provisions
Article 30
Forms of Union funding and methods of implementation
When awarding grants, the evaluation committee referred to in Article 150 of the Financial Regulation may be composed of external experts.
Article 31
Work programme
Article 32
Monitoring and reporting
Indicators to report on the progress of the EaSI strand towards the achievement of the specific objectives set out in Article 4(1) and the operational objectives set out in Article 25 are set out in Annex IV.
The performance reporting system shall ensure that data for monitoring the implementation and results of the EaSI strand are collected efficiently, effectively and in a timely manner.
To that end, proportionate reporting requirements shall be imposed on recipients of Union funds and, where relevant, Member States.
Article 33
Protection of the financial interests of the Union
Where a third country participates in the EaSI strand by means of a decision adopted pursuant to an international agreement, or on the basis of any other legal instrument, the third country shall grant the necessary rights and access required for the authorising officer responsible, OLAF and the Court of Auditors to comprehensively exercise their respective competences. In the case of OLAF, such rights shall include the right to carry out investigations, including on-the-spot checks and inspections, as provided for in Regulation (EU, Euratom) No 883/2013.
Article 34
Evaluation
The Commission shall assess the performance of the programme pursuant to Article 34 of the Financial Regulation, and in particular its effectiveness, efficiency, coherence, relevance and Union added value, including vis-à-vis the horizontal principles referred to in Article 28 of this Regulation, and measure, on a qualitative and quantitative basis, progress made in meeting the objectives of the EaSI strand.
The mid-term evaluation shall be based on the information generated by the monitoring arrangements and indicators established pursuant to Article 32, with a view to making any adjustments needed to the policy and funding priorities.
Article 35
Audits
Audits on the use of the Union contribution carried out by persons or entities, including by other than those mandated by the Union institutions or bodies, shall form the basis of the overall assurance pursuant to Article 127 of the Financial Regulation.
Article 36
Information, communication and publicity
Financial resources allocated to the EaSI strand shall also contribute to the corporate communication of the political priorities of the Union, insofar as those priorities are related to the objectives referred to in Article 3(1) and (2), Article 4(1) and Article 25.
PART IV
FINAL PROVISIONS
Article 37
Exercise of the delegation
Article 38
Committee procedure for the ESF+ strand under shared management
Article 39
Committee set up under Article 163 TFEU
The ESF+ Committee may deliver opinions on:
questions related to the ESF+ contribution to the implementation of the European Pillar of Social Rights, including country-specific recommendations and European Semester-related priorities, such as national reform programmes;
issues concerning Regulation (EU) 2021/1060 relevant for the ESF+;
questions related to the ESF+ referred to it by the Commission other than those referred to in paragraph 5.
The opinions of the ESF+ Committee shall be adopted by an absolute majority of the votes validly cast, and shall be communicated to the European Parliament, the Council, the European Economic and Social Committee and the Committee of the Regions, for information. The Commission shall inform the ESF+ Committee in writing of the manner in which it has taken account of its opinions.
Article 40
Transitional provisions for the ESF+ strand under shared management
Regulation (EU) No 1304/2013, Regulation (EU) No 223/2014 or any act adopted under those Regulations shall continue to apply to programmes and operations supported under those Regulations during the 2014 to 2020 programming period.
Article 41
Transitional provisions for the EaSI strand
Article 42
Entry into force
This Regulation shall enter into force on the day following that of its publication in the Official Journal of the European Union.
It shall apply from 1 January 2021 with regard to the EaSI strand.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
ANNEX I
COMMON INDICATORS FOR GENERAL SUPPORT FROM THE ESF+ STRAND UNDER SHARED MANAGEMENT
Personal data are to be broken down by gender (women, men, non-binary persons ( 2 )).
If certain results are not possible, data for those results do not have to be collected or reported.
Where appropriate, common output indicators can be reported based on the target group of the operation.
Common output indicators related to operations targeting people
Common output indicators for participants are:
Indicators listed under this point do not apply to ESF+ support contributing to the specific objective set out in Article 4(1), point (l), except the following indicators: ‘number of children below 18 years of age’, ‘young people between 18 and 29 years of age’, ‘number of participants of 55 years of age and above’ and ‘total number of participants’.
Where data are collected from registers or equivalent sources, Member States may use national definitions.
Other common output indicators for participants are:
Data collection is necessary only where applicable and relevant.
Values of the indicators listed under point 1.2 can be determined based on informed estimates provided by the beneficiary.
For indicators listed under point 1.2 Member States may apply national definitions, except for the following indicators: ‘third-country nationals’ and ‘participants from rural areas’.
Common output indicators for entities
Common output indicators for entities are:
Where data are collected from registers or equivalent sources, Member States may use national definitions.
The common immediate result indicators for participants
The common immediate result indicators for participants are:
Indicators listed under this point do not apply to ESF+ support contributing to the specific objective set out in Article 4(1), point (l).
Where data are collected from registers or equivalent sources, Member States may use national definitions.
Common longer-term result indicators for participants
Common longer-term result indicators for participants are:
Indicators listed under this point do not apply to ESF+ support contributing to the specific objective set out in Article 4(1), point (l).
Where data are collected from registers or equivalent sources, Member States may use national definitions.
Common longer-term result indicators for participants shall be reported by 31 January 2026 in accordance with Article 42(1) of Regulation (EU) 2021/1060 and in the final performance report referred to in Article 43 of that Regulation.
As a minimum requirement, common longer-term indicators for participants shall be based on a representative sample of participants within the specific objectives set out in Article 4(1), points (a) to (k). Internal validity of the sample is to be ensured in such a way that the data can be generalised at the level of the specific objective.
ANNEX II
COMMON INDICATORS FOR THE ESF+ ACTIONS TARGETING SOCIAL INCLUSION OF THE MOST DEPRIVED PERSONS WITHIN THE SPECIFIC OBJECTIVE SET OUT IN ARTICLE 4(1), POINT (L), IN LINE WITH THE FIRST SUBPARAGRAPH OF ARTICLE 7(5)
Personal data are to be broken down by gender (women, men, non-binary persons ( 5 )).
Common output indicators related to operations targeting people
Common output indicators for participants are:
Values of the indicators listed under point 1.1 can be determined based on informed estimates provided by the beneficiary.
Other common output indicators are:
Data collection is necessary only where applicable and relevant.
Values of the indicators listed under point 1.2 can be determined based on informed estimates provided by the beneficiary.
ANNEX III
COMMON INDICATORS FOR ESF+ SUPPORT FOR ADDRESSING MATERIAL DEPRIVATION
Output indicators
Total monetary value of distributed food and goods:
total value of the food support ( 6 );
total monetary value of food for the homeless;
total monetary value of food for other target groups;
total value of goods distributed ( 7 );
total monetary value of goods for children;
total monetary value of goods for the homeless;
total monetary value of goods for other target groups.
Total quantity of food support distributed (in tonnes) ( 8 ):
share of food for which only transport, distribution and storage were paid for by the programme (in %);
proportion of the ESF+ co-financed food in the total volume of food distributed by the beneficiaries (in %).
Values of the indicators listed under points 1.2.1 and 1.2.2 shall be determined based on informed estimates provided by the beneficiary.
Common result indicators
Number of the end recipients receiving food support
Number of the end recipients receiving material support
Number of the end recipients benefiting from vouchers or cards
Values of the indicators listed under point 2 shall be determined based on informed estimates provided by the beneficiary.
ANNEX IV
INDICATORS FOR THE EaSI STRAND
Indicators for the EaSI strand
Data for the indicator ‘number of job placements under targeted mobility schemes’ shall be collected only every two years.
( 1 ) Regulation (EU) No 1308/2013 of the European Parliament and of the Council of 17 December 2013 establishing a common organisation of the markets in agricultural products and repealing Council Regulations (EEC) No 922/72, (EEC) No 234/79, (EC) No 1037/2001 and (EC) No 1234/2007 (OJ L 347, 20.12.2013, p. 671).
( 2 ) According to national law.
( *1 ) Data reported are personal data according to Article 4(1) of Regulation (EU) 2016/679.
( 3 ) This indicator shall be calculated automatically on the basis of the common output indicators relating to employment status, except for ESF+ support contributing to the specific objective set out in Article 4(1), point (l), in which case the total number of participants is to be reported.
( *2 ) Data reported comprise a special category of personal data as referred to in Article 9 of Regulation (EU) 2016/679.
( 4 ) This indicator does not apply to ESF+ support contributing to the specific objective set out in Article 4(1), point (l).
( 5 ) According to national law.
( *3 ) Data reported are personal data according to Article 4(1) of Regulation (EU) 2016/679.
( *4 ) Data reported comprise a special category of personal data as referred to in Article 9 of Regulation (EU) 2016/679.
( 6 ) These indicators do not apply to food assistance provided indirectly through vouchers or cards.
( 7 ) These indicators do not apply to goods provided indirectly through vouchers or cards.
( 8 ) These indicators do not apply to food assistance provided indirectly through vouchers or cards.
( *5 ) National definitions may be used.