31.7.2009 EN Official Journal of the European Union L 200/25 REGULATION (EC) No 662/2009 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 13 July 2009 establishing a procedure for the negotiation and conclusion of agreements between Member States and third countries on particular matters concerning the law applicable to contractual and non-contractual obligations THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION, Having regard to the Treaty establishing the European Community, and in particular Articles 61(c), 65 and 67(5) thereof, Having regard to the proposal from the Commission, Acting in accordance with the procedure laid down in Article 251 of the Treaty (1), Whereas: (1) Title IV of Part Three of the Treaty provides the legal basis for the adoption of Community legislation in the field of judicial cooperation in civil matters. (2) Judicial cooperation in civil matters between Member States and third countries has traditionally been governed by agreements between Member States and third countries. Such agreements, of which there is a large number, often reflect special ties between a Member State and a third country and are intended to provide an adequate legal framework to meet specific needs of the parties concerned. (3) Article 307 of the Treaty requires Member States to take all appropriate steps to eliminate any incompatibilities between the Community acquis and international agreements concluded between Member States and third countries. This may involve the need for the re-negotiation of such agreements. (4) In order to provide an adequate legal framework to meet specific needs of a given Member State in its relations with a third country, there may also be a manifest need for the conclusion of new agreements with third countries relating to areas of civil justice that come within the purview of Title IV of Part Three of the Treaty. (5) In its Opinion 1/03 of 7 February 2006 relating to the conclusion of the new Lugano Convention, the Court of Justice of the European Communities confirmed that the Community has acquired exclusive competence to conclude an international agreement like the Lugano Convention with third countries on matters affecting the rules laid down in Council Regulation (EC) No 44/2001 of 22 December 2000 on jurisdiction and the recognition and enforcement of judgments in civil and commercial matters (2) (Brussels I). (6) It is for the Community to conclude, pursuant to Article 300 of the Treaty, agreements between the Community and a third country on matters falling within the exclusive competence of the Community. (7) Article 10 of the Treaty requires Member States to facilitate the achievement of the Community’s tasks and to abstain from any measure which could jeopardise the attainment of the objectives of the Treaty. This duty of loyal cooperation is of general application and does not depend on whether or not the Community competence is exclusive. (8) With regard to agreements with third countries on specific civil justice issues falling within the exclusive competence of the Community, a coherent and transparent procedure should be established to authorise a Member State to amend an existing agreement or to negotiate and conclude a new agreement, in particular where the Community itself has not indicated its intention to exercise its external competence to conclude an agreement by way of an already existing mandate of negotiation or an envisaged mandate of negotiation. This procedure should be without prejudice to the exclusive competence of the Community and the provisions of Articles 300 and 307 of the Treaty. It should be regarded as an exceptional measure and should be limited in scope and in time. (9) This Regulation should not apply if the Community has already concluded an agreement with the third country concerned on the same subject matter. Two agreements should be regarded as concerning the same subject matter only if, and to the extent that, they regulate in substance the same specific legal issues. Provisions simply stating a general intention to cooperate on such issues should not be regarded as concerning the same subject matter. (10) Exceptionally, certain regional agreements between a few Member States and a few third countries, for example two or three, intended to address local situations and not open for accession to other States should also be covered by this Regulation. (11) In order to ensure that an agreement envisaged by a Member State does not render Community law ineffective and does not undermine the proper functioning of the system established by that law, or undermine the Community’s external relations policy as decided by the Community, the Member State concerned should be required to notify the Commission of its intentions with a view to obtaining an authorisation to open or continue formal negotiations on an agreement as well as to conclude an agreement. Such notification should be given by letter or by electronic means. It should contain all relevant information and documentation enabling the Commission to assess the expected impact on Community law of the outcome of the negotiations. (12) It should be assessed whether there is sufficient Community interest in concluding a bilateral agreement between the Community and the third country concerned or, where appropriate, in replacing an existing bilateral agreement between a Member State and a third country with a Community agreement. To that end, all Member States should be informed of any notification received by the Commission concerning an agreement envisaged by a Member State in order to allow them to demonstrate their interest in joining the initiative of the notifying Member State. If, from this exchange of information, a sufficient Community interest were to emerge, the Commission should consider proposing a negotiating mandate with a view to the conclusion of an agreement between the Community and the third country concerned. (13) If the Commission requests additional information from a Member State in connection with its assessment as to whether that Member State should be authorised to open negotiations with a third country, such a request should not affect the time limits within which the Commission is to give a reasoned decision on the application of that Member State. (14) When authorising the opening of formal negotiations, the Commission should be able, if necessary, to propose negotiating guidelines or request the inclusion of particular clauses in the envisaged agreement. The Commission should be kept fully informed throughout the different stages of the negotiations as far as matters falling within the scope of this Regulation are concerned and should be allowed to participate as an observer in the negotiations as regards those matters. (15) When notifying the Commission of their intention to enter into negotiations with a third country, Member States should only be required to inform the Commission of elements which are of relevance for the assessment to be made by the Commission. The authorisation by the Commission and any possible negotiating guidelines or, as the case may be, the refusal by the Commission should concern only matters falling within the scope of this Regulation. (16) All Member States should be informed of any notification to the Commission concerning envisaged or negotiated agreements and of any reasoned decision by the Commission under this Regulation. Such information should however fully comply with possible confidentiality requirements. (17) The European Parliament, the Council and the Commission should ensure that any information identified as confidential is treated in accordance with Regulation (EC) No 1049/2001 of the European Parliament and of the Council of 30 May 2001 regarding public access to European Parliament, Council and Commission documents (3). (18) Where the Commission, on the basis of its assessment, intends not to authorise the opening of formal negotiations or the conclusion of a negotiated agreement, it should, before giving its reasoned decision, give an opinion to the Member State concerned. In the case of refusal to authorise the conclusion of a negotiated agreement the opinion should also be submitted to the European Parliament and to the Council. (19) In order to ensure that the negotiated agreement does not constitute an obstacle to the implementation of the Community’s external policy on judicial cooperation in civil and commercial matters, the agreement should provide either for its full or partial denunciation in the event of the conclusion of a subsequent agreement between the Community or the Community and its Member States, on the one hand, and the same third country, on the other hand, on the same subject matter, or for a direct replacement of the relevant provisions of the agreement by the provisions of such subsequent agreement. (20) Provision should be made for transitional measures to cover situations where, at the time of the entry into force of this Regulation, a Member State has already started the process of negotiating an agreement with a third country, or has completed the negotiations but has not yet expressed its consent to be bound by the agreement. (21) In order to ensure that sufficient experience has been gained concerning the application of this Regulation, the Commission should submit a report on such application no earlier than eight years after the adoption of this Regulation. In that report, the Commission, exercising its prerogatives, should confirm the temporary nature of this Regulation or examine whether this Regulation should be replaced by a new Regulation covering the same subject matter or including also particular matters falling within the exclusive competence of the Community and governed by other Community instruments, as referred to in recital 5. (22) If the report submitted by the Commission confirms the temporary nature of this Regulation, Member States should still be able, after the submission of the report, to notify the Commission of ongoing or already announced negotiations with a view to obtaining an authorisation to open formal negotiations. (23) In accordance with the principle of proportionality, as set out in Article 5 of the Treaty, this Regulation does not go beyond what is necessary in order to achieve its objective. (24) In accordance with Article 3 of the Protocol on the position of the United Kingdom and Ireland, annexed to the Treaty on European Union and to the Treaty establishing the European Community, the United Kingdom and Ireland have given notice of their wish to take part in the adoption and application of this Regulation. (25) 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 establishing the European Community, 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: Article 1 Subject matter and scope 1. This Regulation establishes a procedure to authorise a Member State to amend an existing agreement or to negotiate and conclude a new agreement with a third country, subject to the conditions laid down in this Regulation. This procedure is without prejudice to the respective competencies of the Community and of the Member States. 2. This Regulation shall apply to agreements concerning particular matters falling, entirely or partly, within the scope of Regulation (EC) No 593/2008 of the European Parliament and of the Council of 17 June 2008 on the law applicable to contractual obligations (Rome I) (4) and Regulation (EC) No 864/2007 of the European Parliament and of the Council of 11 July 2007 on the law applicable to non-contractual obligations (Rome II) (5). 3. This Regulation shall not apply if the Community has already concluded an agreement with the third country concerned on the same subject matter. Article 2 Definitions 1. For the purposes of this Regulation, the term ‘agreement’ shall mean: (a) a bilateral agreement between a Member State and a third country; (b) a regional agreement between a limited number of Member States and of third countries neighbouring Member States which is intended to address local situations and which is not open for accession to other States. 2. In the context of regional agreements as referred to in paragraph 1(b), any reference in this Regulation to a Member State or a third country shall be read as referring to the Member States or the third countries concerned, respectively. Article 3 Notification to the Commission 1. Where a Member State intends to enter into negotiations in order to amend an existing agreement or to conclude a new agreement falling within the scope of this Regulation, it shall notify the Commission in writing of its intention at the earliest possible moment before the envisaged opening of formal negotiations. 2. The notification shall include, as appropriate, a copy of the existing agreement, the draft agreement or the draft proposal, and any other relevant documentation. The Member State shall describe the subject matter of the negotiations and specify the issues which are to be addressed in the envisaged agreement, or the provisions of the existing agreement which are to be amended. The Member State may provide any other additional information. Article 4 Assessment by the Commission 1. Upon receipt of the notification referred to in Article 3, the Commission shall assess whether the Member State may open formal negotiations. 2. In making that assessment, the Commission shall first check whether any relevant negotiating mandate with a view to concluding a Community agreement with the third country concerned is specifically envisaged within the next 24 months. If this is not the case, the Commission shall assess whether all of the following conditions are met: (a) the Member State concerned has provided information showing that it has a specific interest in concluding the agreement due to economic, geographic, cultural, historical, social or political ties between the Member State and the third country concerned; (b) on the basis of the information provided by the Member State, the envisaged agreement appears not to render Community law ineffective and not to undermine the proper functioning of the system established by that law; and (c) the envisaged agreement would not undermine the object and purpose of the Community’s external relations policy as decided by the Community. 3. If the information provided by the Member State is not sufficient for the purposes of the assessment, the Commission may request additional information. Article 5 Authorisation to open formal negotiations 1. If the envisaged agreement meets the conditions set out in Article 4(2), the Commission shall, within 90 days of receipt of the notification referred to in Article 3, give a reasoned decision on the application of the Member State authorising it to open formal negotiations on that agreement. If necessary, the Commission may propose negotiating guidelines and may request the inclusion of particular clauses in the envisaged agreement. 2. The envisaged agreement shall contain a clause providing for either: (a) full or partial denunciation of the agreement in the event of the conclusion of a subsequent agreement between the Community or the Community and its Member States, on the one hand, and the same third country, on the other hand, on the same subject matter; or (b) direct replacement of the relevant provisions of the agreement by the provisions of a subsequent agreement concluded between the Community or the Community and its Member States, on the one hand, and the same third country, on the other hand, on the same subject matter. The clause referred to in point (a) of the first subparagraph should be worded along the following lines: ‘(name(s) of the Member State(s)) shall denounce this Agreement, in part or in full, if and when the European Community or the European Community and its Member States conclude an Agreement with (name(s) of the third country(ies)) on the same matters of civil justice as those governed by this Agreement’. The clause referred to in point (b) of the first subparagraph should be worded along the following lines: ‘This Agreement or certain provisions of this Agreement shall cease to be applicable on the day when an Agreement between the European Community or the European Community and its Member States, on the one hand, and (name(s) of the third country(ies)), on the other hand, has entered into force, in respect of the matters governed by the latter Agreement’. Article 6 Refusal to authorise the opening of formal negotiations 1. If, on the basis of its assessment under Article 4, the Commission intends not to authorise the opening of formal negotiations on the envisaged agreement, it shall give an opinion to the Member State concerned within 90 days of receipt of the notification referred to in Article 3. 2. Within 30 days of receipt of the opinion of the Commission, the Member State concerned may request the Commission to enter into discussions with it with a view to finding a solution. 3. If the Member State concerned does not request the Commission to enter into discussions with it within the time limit provided for in paragraph 2, the Commission shall give a reasoned decision on the application of the Member State within 130 days of receipt of the notification referred to in Article 3. 4. In the event of the discussions referred to in paragraph 2, the Commission shall give a reasoned decision on the application of the Member State within 30 days of the closure of the discussions. Article 7 Participation of the Commission in the negotiations The Commission may participate as an observer in the negotiations between the Member State and the third country as far as matters falling within the scope of this Regulation are concerned. If the Commission does not participate as an observer, it shall be kept informed of the progress and results throughout the different stages of the negotiations. Article 8 Authorisation to conclude the agreement 1. Before signing a negotiated agreement, the Member State concerned shall notify the outcome of the negotiations to the Commission and shall transmit to it the text of the agreement. 2. Upon receipt of that notification the Commission shall assess whether the negotiated agreement: (a) meets the condition set out in Article 4(2)(b); (b) meets the condition set out in Article 4(2)(c), in so far as there are new and exceptional circumstances in relation to that condition; and (c) fulfils the requirement under Article 5(2). 3. If the negotiated agreement fulfils the conditions and requirements referred to in paragraph 2, the Commission shall, within 90 days of receipt of the notification referred to in paragraph 1, give a reasoned decision on the application of the Member State authorising it to conclude that agreement. Article 9 Refusal to authorise the conclusion of the agreement 1. If, on the basis of its assessment under Article 8(2), the Commission intends not to authorise the conclusion of the negotiated agreement, it shall give an opinion to the Member State concerned, as well as to the European Parliament and to the Council, within 90 days of receipt of the notification referred to in Article 8(1). 2. Within 30 days of receipt of the opinion of the Commission, the Member State concerned may request the Commission to enter into discussions with it with a view to finding a solution. 3. If the Member State concerned does not request the Commission to enter into discussions with it within the time limit provided for in paragraph 2, the Commission shall give a reasoned decision on the application of the Member State within 130 days of receipt of the notification referred to in Article 8(1). 4. In the event of the discussions referred to in paragraph 2, the Commission shall give a reasoned decision on the application of the Member State within 30 days of the closure of the discussions. 5. The Commission shall notify its decision to the European Parliament and to the Council within 30 days of the decision. Article 10 Confidentiality When providing information to the Commission under Articles 3, 4(3) and 8, the Member State may indicate whether any of the information is to be regarded as confidential and whether the information provided can be shared with other Member States. Article 11 Provision of information to the Member States The Commission shall send to the Member States the notifications received under Articles 3 and 8 and, if necessary, the accompanying documents, as well as all its reasoned decisions under Articles 5, 6, 8 and 9, subject to the confidentiality requirements. Article 12 Transitional provisions 1. Where, at the time of entry into force of this Regulation, a Member State has already started the process of negotiating an agreement with a third country, Articles 3 to 11 shall apply. Where the stage of the negotiations so permits, the Commission may propose negotiating guidelines or request the inclusion of particular clauses, as referred to in the second subparagraph of Article 5(1) and Article 5(2) respectively. 2. Where, at the time of entry into force of this Regulation, a Member State has already completed the negotiations but has not yet concluded the agreement, Article 3, Article 8(2) to (4) and Article 9 shall apply. Article 13 Review 1. No earlier than 13 July 2017 the Commission shall submit to the European Parliament, the Council and the European Economic and Social Committee a report on the application of this Regulation. 2. That report shall either: (a) confirm that it is appropriate for this Regulation to expire on the date determined in accordance with Article 14(1); or (b) recommend that this Regulation be replaced as of that date by a new Regulation. 3. If the report recommends a replacement of this Regulation as referred to in paragraph 2(b), it shall be accompanied by an appropriate legislative proposal. Article 14 Expiry 1. This Regulation shall expire three years after the submission by the Commission of the report referred to in Article 13. The period of three years referred to in the first subparagraph shall start to run on the first day of the month following the submission of the report to either the European Parliament or the Council, whichever is the later. 2. Notwithstanding the expiry of this Regulation on the date determined in accordance with paragraph 1, all negotiations ongoing on that date which have been entered into by a Member State under this Regulation shall be allowed to continue and to be completed in accordance with this Regulation. Article 15 Entry into force This Regulation shall enter into force on the 20th day following 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 Treaty establishing the European Community. Done at Brussels, 13 July 2009. For the European Parliament The President H.-G. PÖTTERING For the Council The President E. ERLANDSSON (1) Opinion of the European Parliament of 7 May 2009 (not yet published in the Official Journal) and Council Decision of 7 July 2009. (2) OJ L 12, 16.1.2001, p. 1. (3) OJ L 145, 31.5.2001, p. 43. (4) OJ L 177, 4.7.2008, p. 6. (5) OJ L 199, 31.7.2007, p. 40.

Summary: Civil judicial cooperation and agreements with non-EU countries Civil judicial cooperation and agreements with non-EU countries SUMMARY OF: Regulation (EC) No 662/2009 — negotiation and conclusion of agreements between EU and non-EU countries in regard to the law applicable to contractual and non-contractual obligations WHAT IS THE AIM OF THIS REGULATION? It aims at ensuring coherence in the EU’s external action in an area now falling within the exclusive competence of the EU. It establishes a procedure of authorisation for an EU country to amend an existing agreement or –– to negotiate and conclude a new agreement with a non-EU country related to specific matters of applicable law in contractual and non-contractual obligations*. The procedure is subject to strict rules and has to be considered exceptional. KEY POINTS Scope: the regulation applies to agreements concerning particular matters falling, entirely or partly, within the scope of Regulation (EC) No 593/2008 on the law applicable to contractual obligations (Rome I) and Regulation (EC) No 864/2007 on the law applicable to non-contractual obligations (Rome II). Notification: where an EU country intends to enter into negotiations in order to amend an existing agreement or to conclude a new agreement falling within the scope of the regulation, it must notify the European Commission in writing of its intention as soon as possible before the envisaged opening of formal negotiations. Confidentiality: the Commission has to treat the information communicated by the EU country as confidential, if so requested. Assessment: the Commission must: firstly, check that no relevant negotiating mandate for concluding an EU-level agreement with the non-EU country concerned is envisaged within the next 24 months; if not, verify that there is a genuine specific interest of the EU country for the agreement and that the envisaged agreement would not undermine the effectiveness of EU law and the object and purpose of the EU external relations policy; and if necessary, request further information. Authorisation of negotiations: if the conditions are met, the Commission authorises the EU country to open formal negotiations on the agreement. The Commission may propose negotiating guidelines as well as the inclusion of particular clauses in the envisaged agreement. Participation: the Commission may participate as an observer in the negotiations, and otherwise should be kept informed of progress and results. Clauses in the agreement: where is is authorised, the agreement will in any case have to stipulate that the agreement is fully or partially terminated in the event of a subsequent agreement between the EU and the same non-EU country on the same subject matter; and that a subsequent agreement between the EU and the non-EU country on the same subject matter direct replace the relevant clauses of the agreement. Authorisation of conclusion: before signing the agreement, the EU country must notify the outcome of the negotiations and submit the text of the agreement to the Commission, for authorisation of conclusion after verifying that the conditions are met. Refusal: the regulation sets out the procedure for and consequences of the Commission’s refusal to authorise negotiations or the conclusion of the agreement. Review and expiry The regulation expires 3 years after the submission by the Commission — no earlier than 7 July 2017 — of a report on its application. In that report, the Commission must indicate whether it recommends that this regulation be replaced at its expiry by a new regulation. Any negotiation underway at the date of expiry may continue. FROM WHEN DOES THE REGULATION APPLY? It has applied since 20 August 2009. BACKGROUND This regulation should be seen in the context of the EU’s exclusive external competence for these areas of civil law. Before the adoption of the relevant internal EU Regulations (Rome I and Rome II), the EU countries themselves concluded agreements with non-EU countries in this area. As part of the EU approach to judicial cooperation and agreements with non-EU countries in civil matters, this regulation comes along with Regulation (EC) No 664/2009 concerning jurisdiction, recognition and enforcement of judgments and decisions in matrimonial matters, parental responsibility and maintenance obligations which entered into force the same day and is based on a similar procedure. For more information, see: Civil and commercial matters (European Commission). KEY TERMS Non-contractual obligation: where a person who is responsible for loss sustained by another person outside the performance of a contract – e.g. due to a tort or by unjust enrichment – is required to compensate the loss. MAIN DOCUMENT Regulation (EC) No 662/2009 of the European Parliament and of the Council of 13 July 2009 establishing a procedure for the negotiation and conclusion of agreements between Member States and third countries on particular matters concerning the law applicable to contractual and non-contractual obligations (OJ L 200, 31.7.2009, pp. 25-30) Successive amendments to Regulation (EC) No 662/2009 have been incorporated into the original document. This consolidated version is of documentary value only. RELATED DOCUMENTS Council Regulation (EC) No 664/2009 of 7 July 2009 establishing a procedure for the negotiation and conclusion of agreements between Member States and third countries concerning jurisdiction, recognition and enforcement of judgments and decisions in matrimonial matters, matters of parental responsibility and matters relating to maintenance obligations, and the law applicable to matters relating to maintenance obligations (OJ L 200, 31.7.2009, pp. 46-51) See consolidated version Regulation (EC) No 593/2008 of the European Parliament and of the Council of 17 June 2008 on the law applicable to contractual obligations (Rome I) (OJ L 177, 4.7.2008, pp. 6-16) See consolidated version Regulation (EC) No 864/2007 of the European Parliament and of the Council of 11 July 2007 on the law applicable to non-contractual obligations (Rome II) (OJ L 199, 31.7.2007, pp. 40-49) last update 06.12.2017


31.7.2007 EN Official Journal of the European Union L 199/23 REGULATION (EC) No 862/2007 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 11 July 2007 on Community statistics on migration and international protection and repealing Council Regulation (EEC) No 311/76 on the compilation of statistics on foreign workers (Text with EEA relevance) THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION, Having regard to the Treaty establishing the European Community, and in particular Article 285(1) thereof, Having regard to the proposal from the Commission, Having regard to the opinion of the European Economic and Social Committee (1), Acting in accordance with the procedure laid down in Article 251 of the Treaty (2), Whereas: (1) The conclusions of the Justice and Home Affairs Council of 28-29 May 2001 considered, regarding common analysis and the improved exchange of statistics on asylum and migration, that there is a need for a comprehensive and coherent framework for future action on improving statistics. (2) In April 2003, the Commission released a Communication to the Council and to the European Parliament, setting out an Action Plan for the collection and analysis of Community Statistics in the field of migration. This included a number of important changes designed to improve the completeness and degree of harmonisation of these statistics. Under the Action Plan, the Commission aimed to propose legislation on Community statistics on migration and asylum. (3) The Thessaloniki European Council of 19 and 20 June 2003 concluded that more effective mechanisms were needed for the collection and analysis of information on migration and asylum in the European Union. (4) The European Parliament in its resolution of 6 November 2003 (3) on the abovementioned Communication from the Commission noted that legislation was required to ensure the production of comprehensive statistics necessary for the development of fair and effective Community policies on migration. The resolution supports the Commission's plans to propose legislation for migration and asylum statistics. (5) Enlargement of the European Union has brought an added geographical and political dimension to the scale of the phenomena associated with migration. It has also brought a further impetus to the demand for accurate, timely and harmonised statistical information. There is also an increasing need for statistical information regarding the profession, education, qualifications and type of activity of migrants. (6) Harmonised and comparable Community statistics on migration and asylum are essential for the development and monitoring of Community legislation and policies relating to immigration and asylum, and to the free movement of persons. (7) There is a need to reinforce the exchange of statistical information on asylum and migration and to improve the quality of Community statistical collections and outputs which have, hitherto, taken place on the basis of a series of ‘gentlemen's agreements’. (8) It is essential that information be available, throughout the European Union, for the purposes of monitoring the development and implementation of Community legislation and policy. In the main, current practice does not sufficiently ensure, in a uniform manner, regular, timely and rapid delivery and dissemination of harmonised data. (9) This Regulation does not cover estimates of the number of persons illegally resident in the Member States. Member States should not provide such estimates or data on such persons to the Commission (Eurostat), although they may be included in population stocks due to surveys. (10) Wherever possible, the definitions used for the purposes of this Regulation are taken from the United Nations Recommendations on Statistics of International Migration, the United Nations Recommendations for the Censuses of Population and Housing in the ECE Region or EC legislation, and should be updated following the relevant procedures. (11) New Community needs on statistics on migration and asylum render obsolete the provisions of Council Regulation (EEC) No 311/76 of 9 February 1976 on the compilation of statistics on foreign workers (4). (12) Regulation (EEC) No 311/76 should therefore be repealed. (13) Since the objective of this Regulation to establish common rules for the collection and compilation of Community statistics on migration and international protection cannot be sufficiently achieved by the Member States and can therefore, by reason of the scale of the action, be better achieved at Community level, the Community may adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty. 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. (14) Council Regulation (EC) No 322/97 of 17 February 1997 on Community Statistics (5) constitutes the reference framework for the provisions of this Regulation. In particular, it requires conformity to standards of impartiality, reliability, objectivity, scientific independence, cost-effectiveness and statistical confidentiality. (15) The measures necessary for the implementation of this Regulation should be adopted in accordance with Council Decision 1999/468/EC of 28 June 1999 laying down the procedures for the exercise of implementing powers conferred on the Commission (6). (16) In particular, the Commission should be empowered to update the definitions, to decide on the groupings of data and additional disaggregations and to lay down the rules on accuracy and quality standards. Since those measures are of general scope and are designed to amend non-essential elements of this Regulation and to supplement it by the addition of new non-essential elements, they should be adopted in accordance with the regulatory procedure with scrutiny laid down in Article 5a of Decision 1999/468/EC. (17) The Statistical Programme Committee, established by Council Decision 89/382/EEC, Euratom of 19 June 1989 establishing a Committee on the Statistical Programmes of the European Communities (7), has been consulted in accordance with Article 3 of that Decision, HAVE ADOPTED THIS REGULATION: Article 1 Subject matter This Regulation establishes common rules for the collection and compilation of Community statistics on: (a) immigration to and emigration from the Member State territories, including flows from the territory of one Member State to that of another Member State and flows between a Member State and the territory of a third country; (b) the citizenship and country of birth of persons usually resident in the territory of the Member States; (c) administrative and judicial procedures and processes in the Member States relating to immigration, granting of permission to reside, citizenship, asylum and other forms of international protection and the prevention of illegal immigration. Article 2 Definitions 1. For the purposes of this Regulation, the following definitions shall apply: (a) ‘usual residence’ means the place at which a person normally spends the daily period of rest, regardless of temporary absences for purposes of recreation, holiday, visits to friends and relatives, business, medical treatment or religious pilgrimage or, in default, the place of legal or registered residence; (b) ‘immigration’ means the action by which a person establishes his or her usual residence in the territory of a Member State for a period that is, or is expected to be, of at least 12 months, having previously been usually resident in another Member State or a third country; (c) ‘emigration’ means the action by which a person, having previously been usually resident in the territory of a Member State, ceases to have his or her usual residence in that Member State for a period that is, or is expected to be, of at least 12 months; (d) ‘citizenship’ means the particular legal bond between an individual and his or her State, acquired by birth or naturalisation, whether by declaration, choice, marriage or other means according to national legislation; (e) ‘country of birth’ means the country of residence (in its current borders, if the information is available) of the mother at the time of the birth or, in default, the country (in its current borders, if the information is available) in which the birth took place; (f) ‘immigrant’ means a person undertaking an immigration; (g) ‘emigrant’ means a person undertaking an emigration; (h) ‘long-term resident’ means long-term resident as defined in Article 2(b) of Council Directive 2003/109/EC of 25 November 2003 concerning the status of third-country nationals who are long-term residents (8); (i) ‘third-country national’ means any person who is not a citizen of the Union within the meaning of Article 17(1) of the Treaty, including stateless persons; (j) ‘application for international protection’ means application for international protection as defined in Article 2(g) of 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 (9); (k) ‘refugee status’ means refugee status as defined in Article 2(d) of Directive 2004/83/EC; (l) ‘subsidiary protection status’ means subsidiary protection status as defined in Article 2(f) of Directive 2004/83/EC; (m) ‘family members’ means family members as defined in Article 2(i) of Council Regulation (EC) No 343/2003 of 18 February 2003 establishing the criteria and mechanisms for determining the Member State responsible for examining an asylum application lodged in one of the Member States by a third-country national (10); (n) ‘temporary protection’ means temporary protection as defined in Article 2(a) of Council Directive 2001/55/EC of 20 July 2001 on minimum standards for giving temporary protection in the event of a mass influx of displaced persons and on measures promoting a balance of efforts between Member States in receiving such persons and bearing the consequences thereof (11); (o) ‘unaccompanied minor’ means an unaccompanied minor as defined in Article 2(i) of Directive 2004/83/EC; (p) ‘external borders’ means external borders as defined in Article 2(2) of Regulation (EC) No 562/2006 of the European Parliament and of the Council of 15 March 2006 establishing a Community Code on the rules governing the movement of persons across borders (Schengen Borders Code) (12); (q) ‘third-country nationals refused entry’ means third-country nationals who are refused entry at the external border because they do not fulfil all the entry conditions laid down in Article 5(1) of Regulation (EC) No 562/2006 and do not belong to the categories of persons referred to in Article 5(4) of that Regulation; (r) ‘third-country nationals found to be illegally present’ means third-country nationals who are officially found to be on the territory of a Member State and who do not fulfil, or no longer fulfil, the conditions for stay or residence in that Member State; (s) ‘resettlement’ means the transfer of third-country nationals or stateless persons on the basis of an assessment of their need for international protection and a durable solution, to a Member State, where they are permitted to reside with a secure legal status. 2. Member States shall report to the Commission (Eurostat) on the use and probable effects of estimations or other methods of adapting statistics based on national definitions to comply with the harmonised definitions set out in paragraph 1. 3. For the reference year 2008, the statistics supplied to the Commission (Eurostat) under this Regulation may be based on alternative (national) definitions. In such cases, Member States shall notify the Commission (Eurostat) of these alternative definitions. 4. If a Member State is not bound by one or more of the legal texts referred to in the definitions in paragraph 1, statistics comparable with those required under this Regulation should be provided by that Member State where they can be provided under existing legislative and/or administrative procedures. Article 3 Statistics on international migration, usually resident population and acquisition of citizenship 1. Member States shall supply to the Commission (Eurostat) statistics on the numbers of: (a) immigrants moving to the territory of the Member State, disaggregated as follows: (i) groups of citizenship by age and sex; (ii) groups of country of birth by age and sex; (iii) groups of country of previous usual residence by age and sex; (b) emigrants moving from the territory of the Member State disaggregated as follows: (i) groups of citizenships; (ii) age; (iii) sex; (iv) groups of countries of next usual residence; (c) persons having their usual residence in the Member State at the end of the reference period, disaggregated as follows: (i) groups of citizenship by age and sex; (ii) groups of country of birth by age and sex; (d) persons having their usual residence in the territory of the Member State and having acquired during the reference year the citizenship of the Member State and having formerly held the citizenship of another Member State or a third country or having formerly been stateless, disaggregated by age and sex, and by the former citizenship of the persons concerned and by whether the person was formerly stateless. 2. The statistics referred to in paragraph 1 shall relate to reference periods of one calendar year and shall be supplied to the Commission (Eurostat) within 12 months of the end of the reference year. The first reference year shall be 2008. Article 4 Statistics on international protection 1. Member States shall supply to the Commission (Eurostat) statistics on the numbers of: (a) persons having submitted an application for international protection or having been included in such an application as a family member during the reference period; (b) persons who are the subject of applications for international protection under consideration by the responsible national authority at the end of the reference period; (c) applications for international protection having been withdrawn during the reference period. These statistics shall be disaggregated by age and sex, and by the citizenship of the persons concerned. They shall relate to reference periods of one calendar month and shall be supplied to the Commission (Eurostat) within two months of the end of the reference month. The first reference month shall be January 2008. 2. Member States shall supply to the Commission (Eurostat) statistics on the numbers of: (a) persons covered by first instance decisions rejecting applications for international protection, such as decisions considering applications as inadmissible or as unfounded and decisions under priority and accelerated procedures, taken by administrative or judicial bodies during the reference period; (b) persons covered by first instance decisions granting or withdrawing refugee status, taken by administrative or judicial bodies during the reference period; (c) persons covered by first instance decisions granting or withdrawing subsidiary protection status, taken by administrative or judicial bodies during the reference period; (d) persons covered by first instance decisions granting or withdrawing temporary protection, taken by administrative or judicial bodies during the reference period; (e) persons covered by other first instance decisions granting or withdrawing authorisation to stay for humanitarian reasons under national law concerning international protection, taken by administrative or judicial bodies during the reference period. These statistics shall be disaggregated by age and sex, and by the citizenship of the persons concerned. They shall relate to reference periods of three calendar months and shall be supplied to the Commission (Eurostat) within two months of the end of the reference period. The first reference period shall be January to March 2008. 3. Member States shall supply to the Commission (Eurostat) statistics on the numbers of: (a) applicants for international protection who are considered by the responsible national authority to be unaccompanied minors during the reference period; (b) persons covered by final decisions rejecting applications for international protection, such as decisions considering applications as inadmissible or as unfounded and decisions under priority and accelerated procedures, taken by administrative or judicial bodies in appeal or review during the reference period; (c) persons covered by final decisions granting or withdrawing refugee status taken by administrative or judicial bodies in appeal or review during the reference period; (d) persons covered by final decisions granting or withdrawing subsidiary protection status taken by administrative or judicial bodies in appeal or review during the reference period; (e) persons covered by final decisions granting or withdrawing temporary protection taken by administrative or judicial bodies in appeal or review during the reference period; (f) persons covered by other final decisions, taken by administrative or judicial bodies in appeal or review, granting or withdrawing authorisations to stay for humanitarian reasons under national law concerning international protection during the reference period; (g) persons who have been granted an authorisation to reside in a Member State within the framework of a national or Community resettlement scheme during the reference period, where such a scheme is implemented in that Member State. These statistics shall be disaggregated by age and sex, and by the citizenship of the persons concerned. They shall relate to reference periods of one calendar year and shall be supplied to the Commission (Eurostat) within three months of the end of the reference year. The first reference year shall be 2008. 4. Member States shall supply to the Commission (Eurostat) the following statistics on the application of Regulation (EC) No 343/2003 and Commission Regulation (EC) No 1560/2003 of 2 September 2003 laying down detailed rules for the application of Council Regulation (EC) No 343/2003 (13): (a) the numbers of requests for taking back or taking charge of an asylum seeker; (b) the provisions on which the requests referred to in point (a) are based; (c) the decisions taken in response to the requests referred to in point (a); (d) the numbers of transfers to which the decisions referred to in point (c) lead; (e) the number of requests for information. These statistics shall relate to reference periods of one calendar year and shall be supplied to the Commission (Eurostat) within three months of the end of the reference year. The first reference year shall be 2008. Article 5 Statistics on the prevention of illegal entry and stay 1. Member States shall supply to the Commission (Eurostat) statistics on the numbers of: (a) third-country nationals refused entry to the Member State's territory at the external border; (b) third-country nationals found to be illegally present in the Member State's territory under national laws relating to immigration. The statistics under point (a) shall be disaggregated in accordance with Article 13(5) of Regulation (EC) No 562/2006. The statistics under point (b) shall be disaggregated by age and sex, and by citizenship of the persons concerned. 2. The statistics referred to in paragraph 1 shall relate to reference periods of one calendar year and shall be supplied to the Commission (Eurostat) within three months of the end of the reference year. The first reference year shall be 2008. Article 6 Statistics on residence permits and residence of third-country nationals 1. Member States shall supply to the Commission (Eurostat) statistics on: (a) the number of residence permits issued to persons who are third-country nationals, disaggregated as follows: (i) permits issued during the reference period whereby the person is being granted permission to reside for the first time, disaggregated by citizenship, by the reason for the permit being issued and by the length of validity of the permit; (ii) permits issued during the reference period and granted on the occasion of a person changing immigration status or reason for stay, disaggregated by citizenship, by the reason for the permit being issued and by the length of validity of the permit; (iii) valid permits at the end of the reference period (number of permits issued, not withdrawn and not expired), disaggregated by citizenship, by the reason for the issue of the permit and by the length of validity of the permit; (b) the number of long-term residents at the end of the reference period, disaggregated by citizenship. 2. Where the national laws and administrative practices of a Member State allow for specific categories of long-term visa or immigration status to be granted instead of residence permits, counts of such visas and grants of status are to be included in the statistics required under paragraph 1. 3. The statistics referred to in paragraph 1 shall relate to reference periods of one calendar year and shall be supplied to the Commission (Eurostat) within six months of the end of the reference year. The first reference year shall be 2008. Article 7 Statistics on returns 1. Member States shall supply to the Commission (Eurostat) statistics relating to: (a) the number of third-country nationals found to be illegally present in the territory of the Member State who are subject to an administrative or judicial decision or act stating or declaring that their stay is illegal and imposing an obligation to leave the territory of the Member State, disaggregated by citizenship of the persons concerned; (b) the number of third-country nationals who have in fact left the territory of the Member State, following an administrative or judicial decision or act, as referred to in point (a), disaggregated by the citizenship of the persons returned. 2. The statistics referred to in paragraph 1 shall relate to reference periods of one calendar year and shall be supplied to the Commission (Eurostat) within three months of the end of the reference year. The first reference year shall be 2008. 3. The statistics referred to in paragraph 1 shall not include third-country nationals who are transferred from one Member State to another Member State under the mechanism established by Regulations (EC) No 343/2003 and (EC) No 1560/2003. Article 8 Additional disaggregations 1. The Commission may adopt measures relating to the definition of additional disaggregations as set out below for the following statistics: (a) for statistics required under Article 4 as a whole, disaggregations by: (i) year of submission of the application; (b) for statistics required under Article 4(4), disaggregations by: (i) number of persons concerned by the request, decision and transfer; (c) for statistics required under Article 5(1)(a), disaggregations by: (i) age; (ii) sex; (d) for statistics required under Article 5(1)(b), disaggregations by: (i) grounds for the apprehension; (ii) place of the apprehension; (e) for statistics required under Article 6, disaggregations by: (i) year in which permission to reside was first granted; (ii) age; (iii) sex; (f) for statistics required under Article 7, disaggregations by: (i) reason for the decision or act imposing an obligation to leave; (ii) age; (iii) sex. 2. The additional disaggregations mentioned in paragraph 1 shall be supplied only separately, and not cross-classified with the disaggregations required under Articles 4 to 7. 3. When deciding whether additional disaggregations are required, the Commission shall consider the need for this information for the purposes of developing and monitoring Community policies and shall consider the availability of appropriate data sources and the costs involved. Negotiations on additional disaggregations that may be needed for the application of Articles 4 to 7 shall be initiated not later than 20 August 2009. The earliest reference year for the implementation of additional disaggregations shall be 2010. Article 9 Data sources and quality standards 1. The statistics shall be based on the following data sources according to their availability in the Member State and in accordance with national laws and practices: (a) records of administrative and judicial actions; (b) registers relating to administrative actions; (c) registers of the population of persons or of a particular sub-group of that population; (d) censuses; (e) sample surveys; (f) other appropriate sources. As part of the statistics process, scientifically based and well documented statistical estimation methods may be used. 2. Member States shall report to the Commission (Eurostat) on the data sources used, the reasons for the selection of these sources and the effects of the selected data sources on the quality of the statistics, and on the estimation methods used, and shall keep the Commission (Eurostat) informed of changes thereto. 3. At the request of the Commission (Eurostat), Member States shall provide it with all the information necessary to evaluate the quality, comparability and completeness of the statistical information. 4. Member States shall inform the Commission (Eurostat) without delay of revisions and corrections to the statistics supplied under this Regulation, and of any changes in the methods and data sources used. 5. The measures relating to the definition of the appropriate formats for the transmission of data shall be adopted in accordance with the regulatory procedure referred to in Article 11(2). Article 10 Implementing measures 1. The measures necessary for the implementation of this Regulation laying down the rules on the appropriate formats for the transmission of data as provided for in Article 9 shall be adopted in accordance with the regulatory procedure referred to in Article 11(2). 2. The following measures necessary for the implementation of this Regulation and designed to amend its non-essential elements, inter alia, by supplementing it, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 11(3): (a) updating the definitions set out in Article 2(1); (b) defining the categories of groups of country of birth, groups of country of previous and next usual residence and groups of citizenship as provided for in Article 3(1); (c) defining the categories of the reasons for the permit as provided for in Article 6(1)(a); (d) defining the additional disaggregations and the levels of disaggregations to be applied to the variables as provided for in Article 8; (e) laying down the rules on accuracy and quality standards. Article 11 Committee 1. In adopting the implementing measures, the Commission shall be assisted by the Statistical Programme Committee, established by Decision 89/382/EEC, Euratom. 2. Where reference is made to this paragraph, Article 5 and Article 7 of Decision 1999/468/EC shall apply, having regard to the provisions of Article 8 thereof. The period laid down in Article 5(6) of Decision 1999/468/EC shall be set at three months. 3. Where reference is made to this paragraph, Article 5a(1) to (4) and Article 7 of Decision 1999/468/EC shall apply, having regard to the provisions of Article 8 thereof. Article 12 Report By 20 August 2012 and every three years thereafter, the Commission shall submit a report to the European Parliament and the Council on the statistics compiled pursuant to this Regulation and on their quality. Article 13 Repeal Regulation (EEC) No 311/76 is hereby repealed. Article 14 Entry into force This Regulation shall enter into force on the 20th day following its publication in the Official Journal of the European Union. This Regulation shall be binding in its entirety and directly applicable in all Member States. Done at Strasbourg, 11 July 2007. For the European Parliament The President H.-G. PÖTTERING For the Council The President M. LOBO ANTUNES (1) OJ C 185, 8.8.2006, p. 31. (2) Opinion of the European Parliament of 14 March 2007 (not yet published in the Official Journal) and Council Decision of 12 June 2007. (3) OJ C 83 E, 2.4.2004, p. 94. (4) OJ L 39, 14.2.1976, p. 1. (5) OJ L 52, 22.2.1997, p. 1. Regulation as amended by Regulation (EC) No 1882/2003 of the European Parliament and the Council (OJ L 284, 31.10.2003, p. 1). (6) OJ L 184, 17.7.1999, p. 23. Decision as amended by Decision 2006/512/EC (OJ L 200, 22.7.2006, p. 11). (7) OJ L 181, 28.6.1989, p. 47. (8) OJ L 16, 23.1.2004, p. 44. (9) OJ L 304, 30.9.2004, p. 12. (10) OJ L 50, 25.2.2003, p. 1. (11) OJ L 212, 7.8.2001, p. 12. (12) OJ L 105, 13.4.2006, p. 1. (13) OJ L 222, 5.9.2003, p. 3.

Summary: Migration statistics Migration statistics SUMMARY OF: Regulation (EC) No 862/2007 — EU statistics on migration and international protection WHAT IS THE AIM OF THE REGULATION? Regulation (EC) No 862/2007 sets out EU rules for collecting and compiling statistics on migration (emigration* and immigration*), international protection (asylum), regular and irregular migration* and returns by EU and EFTA countries. To ensure reliable, relevant and timely statistics are available in the area of migration and international protection, and to support the European Agenda on Migration, amending Regulation (EU) 2020/851 introduces additional statistics to be collected by Eurostat and adds rules for introducing pilot studies to test the feasibility of new data collections or disaggregations within the scope of Regulation (EC) No 862/2007. KEY POINTS Statistical requirementsThe regulation sets out the statistical requirements for different categories of data: For international migration, EU countries must provide Eurostat with statistics on: immigrants moving to their territories;emigrants moving from their territories;persons usually resident on their territories;persons having acquired national citizenship. For residence permits and residence of non-EU citizens, EU countries must provide Eurostat with statistics on: residence permits issued, permits issued due to the change of immigration status or reason to stay; and long-term residence permits issued;the numbers of valid residence permits and long-term residence permits. For international protection, EU countries must provide Eurostat with statistics on: persons applying for international protection including first-time and subsequent applications;unaccompanied children applying for international protection;pending applications for international protection;withdrawn asylum applications;applications processed under accelerated procedure;applicants benefiting from material reception conditions;rejected applications for international protection;grants of refugee, subsidiary protection, national humanitarian and temporary protection statuses;requests and re-examination requests, decisions and transfers under the Dublin III Regulation;beneficiaries of resettlement*. For the prevention of irregular entry and stay, and for returns, EU countries must provide statistics on the number of: non-EU citizens who have been refused entry at their external borders;non-EU citizens who have been found illegally present on their territories;administrative or judicial decisions imposing an obligation to leave their territories;the number of non-EU citizens who are returned having been given an order to leave. Data sources The statistics are based on a number of sources including: records of administrative and judicial actions; registers of the population or relating to administrative actions; censuses; sample surveys. In general, the statistics are broken down by age, sex and citizenship. However, data are also collected for other categories such as the reason for issuing a residence permit or country of birth and country of previous or next residence for migration data. Pilot studies Amending Regulation (EU) 2020/851 introduces pilot studies to test the feasibility of new data collections or disaggregations within the scope of Regulation (EC) No 862/2007. Financial contributions from the EU budget are available for national institutes to: develop new methodologies for statistics on migration and international protection; and develop or implement new data collections and disaggregations, including the upgrading of data sources and IT systems, for a period of up to 5 years. Implementation The European Commission submits a report to the European Parliament and the Council on the implementation of the regulation every 3 years. The 2018 report found clear improvements in data availability, completeness, quality and timeliness. FROM WHEN DOES THIS REGULATION APPLY? It has applied since 20 August 2007. BACKGROUND For more information, see: Migration and migrant population statistics (Eurostat) Asylum and managed migration statistics (Eurostat). KEY TERMS Emigration: the action by which a person, having previously been resident in an EU country, changes his or her country of residence for a period that is or is expected to be of at least 12 months. Immigration: the action by which a person establishes his or her residence in the territory of another EU or non-EU country for a period that is or is expected to be of at least 12 months. Irregular migration: the movement of people across borders that does not conform to the administrative or legal norms of the sending, transit or receiving country. Resettlement: the transfer of non-EU country citizens to an EU country where they are permitted to reside for the purposes of international protection. MAIN DOCUMENT Regulation (EC) No 862/2007 of the European Parliament and of the Council of 11 July 2007 on Community statistics on migration and international protection and repealing Council Regulation (EEC) No 311/76 on the compilation of statistics on foreign workers (OJ L 199, 31.7.2007, pp. 23-29) Successive amendments to Regulation (EU) No 862/2007 have been incorporated into the original text. This consolidated version is of documentary value only. RELATED DOCUMENTS Report from the Commission to the European Parliament and the Council on the implementation of Regulation (EC) No 862/2007 on Community statistics on migration and international protection (COM(2018) 594 final, 16.8.2018) Commission Regulation (EU) No 351/2010 of 23 April 2010 implementing Regulation (EC) No 862/2007 of the European Parliament and of the Council on Community statistics on migration and international protection as regards the definitions of the categories of the groups of country of birth, groups of country of previous usual residence, groups of country of next usual residence and groups of citizenship (OJ L 104, 24.4.2010, pp. 37-39) Commission Regulation (EU) No 216/2010 of 15 March 2010 implementing Regulation (EC) No 862/2007 of the European Parliament and of the Council on Community statistics on migration and international protection, as regards the definitions of categories of the reasons for the residence permits (OJ L 66, 16.3.2010, pp. 1-2) last update 24.08.2020