Beruflich Dokumente
Kultur Dokumente
DIRECTIVES
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE Refugees (‘the Geneva Convention’), as supplemented by
EUROPEAN UNION, the New York Protocol of 31 January 1967 (‘the
Protocol’), thus affirming the principle of non-refoulement
and ensuring that nobody is sent back to persecution.
Having regard to the Treaty on the Functioning of the European
Union, and in particular points (a) and (b) of Article 78(2)
thereof,
(4) The Geneva Convention and the Protocol provide the
cornerstone of the international legal regime for the
Having regard to the proposal from the European Commission, protection of refugees.
(9) In the Stockholm Programme, the European Council (16) This Directive respects the fundamental rights and
reiterated its commitment to the objective of establishing observes the principles recognised in particular by the
a common area of protection and solidarity, based on a Charter of Fundamental Rights of the European Union.
common asylum procedure and a uniform status, in In particular this Directive seeks to ensure full respect for
accordance with Article 78 of the Treaty on the Func human dignity and the right to asylum of applicants for
tioning of the European Union (TFEU), for those granted asylum and their accompanying family members and to
international protection, by 2012 at the latest. promote the application of Articles 1, 7, 11, 14, 15, 16,
18, 21, 24, 34 and 35 of that Charter, and should
therefore be implemented accordingly.
(12) The main objective of this Directive is, on the one hand,
to ensure that Member States apply common criteria for (19) It is necessary to broaden the notion of family members,
the identification of persons genuinely in need of inter taking into account the different particular circumstances
national protection, and, on the other hand, to ensure of dependency and the special attention to be paid to the
that a minimum level of benefits is available for those best interests of the child.
persons in all Member States.
(25) In particular, it is necessary to introduce common of the United Nations’ and that ‘knowingly financing,
concepts of protection needs arising sur place, sources planning and inciting terrorist acts are also contrary to
of harm and protection, internal protection and perse the purposes and principles of the United Nations’.
cution, including the reasons for persecution.
(27) Internal protection against persecution or serious harm (34) It is necessary to introduce common criteria on the basis
should be effectively available to the applicant in a part of which applicants for international protection are to be
of the country of origin where he or she can safely and recognised as eligible for subsidiary protection. Those
legally travel to, gain admittance to and can reasonably criteria should be drawn from international obligations
be expected to settle. Where the State or agents of the under human rights instruments and practices existing in
State are the actors of persecution or serious harm, there Member States.
should be a presumption that effective protection is not
available to the applicant. When the applicant is an
unaccompanied minor, the availability of appropriate
care and custodial arrangements, which are in the best (35) Risks to which a population of a country or a section of
interest of the unaccompanied minor, should form part the population is generally exposed do normally not
of the assessment as to whether that protection is create in themselves an individual threat which would
effectively available. qualify as serious harm.
(29) One of the conditions for qualification for refugee status (37) The notion of national security and public order also
within the meaning of Article 1(A) of the Geneva covers cases in which a third-country national belongs
Convention is the existence of a causal link between to an association which supports international terrorism
the reasons for persecution, namely race, religion, or supports such an association.
nationality, political opinion or membership of a
particular social group, and the acts of persecution or
the absence of protection against such acts. (38) When deciding on entitlements to the benefits included
in this Directive, Member States should take due account
of the best interests of the child, as well as of the
particular circumstances of the dependency on the bene
(30) It is equally necessary to introduce a common concept of ficiary of international protection of close relatives who
the persecution ground ‘membership of a particular are already present in the Member State and who are not
social group’. For the purposes of defining a particular family members of that beneficiary. In exceptional
social group, issues arising from an applicant’s gender, circumstances, where the close relative of the beneficiary
including gender identity and sexual orientation, which of international protection is a married minor but not
may be related to certain legal traditions and customs, accompanied by his or her spouse, the best interests of
resulting in for example genital mutilation, forced sterili the minor may be seen to lie with his or her original
sation or forced abortion, should be given due family.
consideration in so far as they are related to the
applicant’s well-founded fear of persecution.
(39) While responding to the call of the Stockholm
Programme for the establishment of a uniform status
(31) Acts contrary to the purposes and principles of the for refugees or for persons eligible for subsidiary
United Nations are set out in the Preamble and Articles protection, and with the exception of derogations
1 and 2 of the Charter of the United Nations and are, which are necessary and objectively justified, beneficiaries
amongst others, embodied in the United Nations of subsidiary protection status should be granted the
resolutions relating to measures combating terrorism, same rights and benefits as those enjoyed by refugees
which declare that ‘acts, methods and practices of under this Directive, and should be subject to the same
terrorism are contrary to the purposes and principles conditions of eligibility.
L 337/12 EN Official Journal of the European Union 20.12.2011
(40) Within the limits set out by international obligations, as possible, in the integration programmes provided to
Member States may lay down that the granting of them including, where appropriate, language training and
benefits with regard to access to employment, social the provision of information concerning individual rights
welfare, healthcare and access to integration facilities and obligations relating to their protection status in the
requires the prior issue of a residence permit. Member State concerned.
HAVE ADOPTED THIS DIRECTIVE: whom Article 17(1) and (2) does not apply, and is unable,
or, owing to such risk, unwilling to avail himself or herself
of the protection of that country;
CHAPTER I
(m) ‘residence permit’ means any permit or authorisation issued age, so as to assess whether, on the basis of the applicant’s
by the authorities of a Member State, in the form provided personal circumstances, the acts to which the applicant has
for under that State’s law, allowing a third-country national been or could be exposed would amount to persecution or
or stateless person to reside on its territory; serious harm;
(n) ‘country of origin’ means the country or countries of (d) whether the applicant’s activities since leaving the country
nationality or, for stateless persons, of former habitual of origin were engaged in for the sole or main purpose of
residence. creating the necessary conditions for applying for inter
national protection, so as to assess whether those activities
would expose the applicant to persecution or serious harm
if returned to that country;
Article 3
More favourable standards
(e) whether the applicant could reasonably be expected to avail
Member States may introduce or retain more favourable
himself or herself of the protection of another country
standards for determining who qualifies as a refugee or as a
where he or she could assert citizenship.
person eligible for subsidiary protection, and for determining
the content of international protection, in so far as those
standards are compatible with this Directive.
4. The fact that an applicant has already been subject to
persecution or serious harm, or to direct threats of such perse
cution or such harm, is a serious indication of the applicant’s
CHAPTER II well-founded fear of persecution or real risk of suffering serious
ASSESSMENT OF APPLICATIONS FOR INTERNATIONAL harm, unless there are good reasons to consider that such
PROTECTION persecution or serious harm will not be repeated.
Article 4
Assessment of facts and circumstances 5. Where Member States apply the principle according to
which it is the duty of the applicant to substantiate the appli
1. Member States may consider it the duty of the applicant cation for international protection and where aspects of the
to submit as soon as possible all the elements needed to applicant’s statements are not supported by documentary or
substantiate the application for international protection. In other evidence, those aspects shall not need confirmation
cooperation with the applicant, it is the duty of the Member when the following conditions are met:
State to assess the relevant elements of the application.
2. A well-founded fear of being persecuted or a real risk of provides protection as described in paragraph 2, Member States
suffering serious harm may be based on activities which the shall take into account any guidance which may be provided in
applicant has engaged in since he or she left the country of relevant Union acts.
origin, in particular where it is established that the activities
relied upon constitute the expression and continuation of
convictions or orientations held in the country of origin. Article 8
Internal protection
3. Without prejudice to the Geneva Convention, Member
1. As part of the assessment of the application for inter
States may determine that an applicant who files a subsequent
national protection, Member States may determine that an
application shall not normally be granted refugee status if the
applicant is not in need of international protection if in a
risk of persecution is based on circumstances which the
part of the country of origin, he or she:
applicant has created by his or her own decision since leaving
the country of origin.
(c) non-State actors, if it can be demonstrated that the actors 2. In examining whether an applicant has a well-founded
mentioned in points (a) and (b), including international fear of being persecuted or is at real risk of suffering serious
organisations, are unable or unwilling to provide protection harm, or has access to protection against persecution or serious
against persecution or serious harm as defined in Article 7. harm in a part of the country of origin in accordance with
paragraph 1, Member States shall at the time of taking the
decision on the application have regard to the general circum
Article 7 stances prevailing in that part of the country and to the
personal circumstances of the applicant in accordance with
Actors of protection Article 4. To that end, Member States shall ensure that
precise and up-to-date information is obtained from relevant
1. Protection against persecution or serious harm can only
sources, such as the United Nations High Commissioner for
be provided by:
Refugees and the European Asylum Support Office.
2. Protection against persecution or serious harm must be (a) be sufficiently serious by its nature or repetition as to
effective and of a non-temporary nature. Such protection is constitute a severe violation of basic human rights, in
generally provided when the actors mentioned under points particular the rights from which derogation cannot be
(a) and (b) of paragraph 1 take reasonable steps to prevent made under Article 15(2) of the European Convention for
the persecution or suffering of serious harm, inter alia, by the Protection of Human Rights and Fundamental Freedoms;
operating an effective legal system for the detection, prosecution or
and punishment of acts constituting persecution or serious
harm, and when the applicant has access to such protection.
(b) be an accumulation of various measures, including
violations of human rights which is sufficiently severe as
3. When assessing whether an international organisation to affect an individual in a similar manner as mentioned
controls a State or a substantial part of its territory and in point (a).
L 337/16 EN Official Journal of the European Union 20.12.2011
2. Acts of persecution as qualified in paragraph 1 can, inter — members of that group share an innate characteristic, or
alia, take the form of: a common background that cannot be changed, or share
a characteristic or belief that is so fundamental to
identity or conscience that a person should not be
(a) acts of physical or mental violence, including acts of sexual forced to renounce it, and
violence;
(b) legal, administrative, police, and/or judicial measures which — that group has a distinct identity in the relevant country,
are in themselves discriminatory or which are implemented because it is perceived as being different by the
in a discriminatory manner; surrounding society.
(c) prosecution or punishment which is disproportionate or Depending on the circumstances in the country of origin, a
discriminatory; particular social group might include a group based on a
common characteristic of sexual orientation. Sexual orien
tation cannot be understood to include acts considered to
(d) denial of judicial redress resulting in a disproportionate or be criminal in accordance with national law of the Member
discriminatory punishment; States. Gender related aspects, including gender identity,
shall be given due consideration for the purposes of deter
mining membership of a particular social group or iden
(e) prosecution or punishment for refusal to perform military
tifying a characteristic of such a group;
service in a conflict, where performing military service
would include crimes or acts falling within the scope of
the grounds for exclusion as set out in Article 12(2);
(e) the concept of political opinion shall, in particular, include
the holding of an opinion, thought or belief on a matter
(f) acts of a gender-specific or child-specific nature. related to the potential actors of persecution mentioned in
Article 6 and to their policies or methods, whether or not
that opinion, thought or belief has been acted upon by the
3. In accordance with point (d) of Article 2, there must be a applicant.
connection between the reasons mentioned in Article 10 and
the acts of persecution as qualified in paragraph 1 of this Article
or the absence of protection against such acts.
2. When assessing if an applicant has a well-founded fear of
being persecuted it is immaterial whether the applicant actually
Article 10 possesses the racial, religious, national, social or political char
acteristic which attracts the persecution, provided that such a
Reasons for persecution characteristic is attributed to the applicant by the actor of perse
1. Member States shall take the following elements into cution.
account when assessing the reasons for persecution:
Article 11
(a) the concept of race shall, in particular, include
considerations of colour, descent, or membership of a Cessation
particular ethnic group;
1. A third-country national or a stateless person shall cease
to be a refugee if he or she:
(b) the concept of religion shall in particular include the
holding of theistic, non-theistic and atheistic beliefs, the
participation in, or abstention from, formal worship in (a) has voluntarily re-availed himself or herself of the protection
private or in public, either alone or in community with of the country of nationality; or
others, other religious acts or expressions of view, or
forms of personal or communal conduct based on or
mandated by any religious belief;
(b) having lost his or her nationality, has voluntarily re-acquired
it; or
(c) the concept of nationality shall not be confined to citi
zenship or lack thereof but shall, in particular, include
membership of a group determined by its cultural, ethnic, (c) has acquired a new nationality, and enjoys the protection of
or linguistic identity, common geographical or political the country of his or her new nationality; or
origins or its relationship with the population of another
State;
(e) can no longer, because the circumstances in connection admission as a refugee, which means the time of issuing a
with which he or she has been recognised as a refugee residence permit based on the granting of refugee status;
have ceased to exist, continue to refuse to avail himself or particularly cruel actions, even if committed with an
herself of the protection of the country of nationality; or allegedly political objective, may be classified as serious
non-political crimes;
2. A third-country national or a stateless person is excluded 3. Member States shall revoke, end or refuse to renew the
from being a refugee where there are serious reasons for refugee status of a third-country national or a stateless person if,
considering that: after he or she has been granted refugee status, it is established
by the Member State concerned that:
4. Member States may revoke, end or refuse to renew the 3. Paragraph 1 shall not apply to a beneficiary of subsidiary
status granted to a refugee by a governmental, administrative, protection status who is able to invoke compelling reasons
judicial or quasi-judicial body, when: arising out of previous serious harm for refusing to avail
himself or herself of the protection of the country of nationality
or, being a stateless person, of the country of former habitual
residence.
(a) there are reasonable grounds for regarding him or her as a
danger to the security of the Member State in which he or
she is present;
Article 17
Exclusion
(b) he or she, having been convicted by a final judgment of a
particularly serious crime, constitutes a danger to the 1. A third-country national or a stateless person is excluded
community of that Member State. from being eligible for subsidiary protection where there are
serious reasons for considering that:
CHAPTER V (c) he or she has been guilty of acts contrary to the purposes
QUALIFICATION FOR SUBSIDIARY PROTECTION
and principles of the United Nations as set out in the
Preamble and Articles 1 and 2 of the Charter of the
Article 15 United Nations;
Serious harm
Serious harm consists of:
(d) he or she constitutes a danger to the community or to the
security of the Member State in which he or she is present.
(c) serious and individual threat to a civilian’s life or person by 3. Member States may exclude a third-country national or a
reason of indiscriminate violence in situations of inter stateless person from being eligible for subsidiary protection if
national or internal armed conflict. he or she, prior to his or her admission to the Member State
concerned, has committed one or more crimes outside the
scope of paragraph 1 which would be punishable by
imprisonment, had they been committed in the Member State
Article 16 concerned, and if he or she left his or her country of origin
Cessation solely in order to avoid sanctions resulting from those crimes.
1. A third-country national or a stateless person shall cease
to be eligible for subsidiary protection when the circumstances
which led to the granting of subsidiary protection status have CHAPTER VI
ceased to exist or have changed to such a degree that protection
is no longer required. SUBSIDIARY PROTECTION STATUS
Article 18
Granting of subsidiary protection status
2. In applying paragraph 1, Member States shall have regard
to whether the change in circumstances is of such a significant Member States shall grant subsidiary protection status to a
and non-temporary nature that the person eligible for subsidiary third-country national or a stateless person eligible for
protection no longer faces a real risk of serious harm. subsidiary protection in accordance with Chapters II and V.
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2. Member States may revoke, end or refuse to renew the 4. Paragraph 3 shall apply only to persons found to have
subsidiary protection status of a third-country national or a special needs after an individual evaluation of their situation.
stateless person granted by a governmental, administrative,
judicial or quasi-judicial body, if after having been granted
subsidiary protection status, he or she should have been
excluded from being eligible for subsidiary protection in 5. The best interests of the child shall be a primary
accordance with Article 17(3). consideration for Member States when implementing the
provisions of this Chapter that involve minors.
(b) his or her misrepresentation or omission of facts, including (a) there are reasonable grounds for considering him or her as a
the use of false documents, was decisive for the granting of danger to the security of the Member State in which he or
subsidiary protection status. she is present; or
Article 22
CHAPTER VII
Information
CONTENT OF INTERNATIONAL PROTECTION
Member States shall provide beneficiaries of international
Article 20 protection, as soon as possible after refugee status or subsidiary
General rules protection status has been granted, with access to information,
in a language that they understand or are reasonably supposed
1. This Chapter shall be without prejudice to the rights laid to understand, on the rights and obligations relating to that
down in the Geneva Convention. status.
L 337/20 EN Official Journal of the European Union 20.12.2011
Article 23 Article 25
Maintaining family unity Travel document
1. Member States shall ensure that family unity can be main 1. Member States shall issue to beneficiaries of refugee status
tained. travel documents, in the form set out in the Schedule to the
Geneva Convention, for the purpose of travel outside their
territory unless compelling reasons of national security or
public order otherwise require.
2. Member States shall ensure that family members of the
beneficiary of international protection who do not individually
qualify for such protection are entitled to claim the benefits 2. Member States shall issue to beneficiaries of subsidiary
referred to in Articles 24 to 35, in accordance with national protection status who are unable to obtain a national
procedures and as far as is compatible with the personal legal passport, documents which enable them to travel outside their
status of the family member. territory, unless compelling reasons of national security or
public order otherwise require.
Article 27
Without prejudice to Article 23(1), the residence permit to be
issued to the family members of the beneficiaries of refugee Access to education
status may be valid for less than 3 years and renewable.
1. Member States shall grant full access to the education
system to all minors granted international protection, under
the same conditions as nationals.
Article 28 Article 31
Access to procedures for recognition of qualifications Unaccompanied minors
1. Member States shall ensure equal treatment between bene 1. As soon as possible after the granting of international
ficiaries of international protection and nationals in the context protection Member States shall take the necessary measures to
of the existing recognition procedures for foreign diplomas, ensure the representation of unaccompanied minors by a legal
certificates and other evidence of formal qualifications. guardian or, where necessary, by an organisation responsible for
the care and well-being of minors, or by any other appropriate
representation including that based on legislation or court
order.
Article 32 Article 37
Access to accommodation Staff
1. Member States shall ensure that beneficiaries of inter Member States shall ensure that authorities and other organi
national protection have access to accommodation under sations implementing this Directive have received the necessary
equivalent conditions as other third-country nationals legally training and shall be bound by the confidentiality principle, as
resident in their territories. defined in the national law, in relation to any information they
obtain in the course of their work.
Member States shall, in liaison with the Commission, take all 2. Member States shall communicate to the Commission the
appropriate measures to establish direct cooperation and an text of the main provisions of national law covered by this
exchange of information between the competent authorities. Directive.
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Article 40 Articles 1, 2, 4, 7, 8, 9, 10, 11, 16, 19, 20, 22, 23, 24, 25, 26,
27, 28, 29, 30, 31, 32, 33, 34 and 35 shall apply from
Repeal 22 December 2013.
Directive 2004/83/EC is repealed for the Member States bound
by this Directive with effect from 21 December 2013, without
prejudice to the obligations of the Member States relating to the Article 42
time limit for transposition into national law of the Directive set
out in Annex I, Part B. Addressees
This Directive is addressed to the Member States in accordance
with the Treaties.
For the Member States bound by this Directive, references to the
repealed Directive shall be construed as references to this
Directive and shall be read in accordance with the correlation
table in Annex II. Done at Strasbourg, 13 December 2011.
Article 41
Entry into force For the European Parliament For the Council
The President The President
This Directive shall enter into force on the 20th day following
its publication in the Official Journal of the European Union. J. BUZEK M. SZPUNAR
L 337/24 EN Official Journal of the European Union 20.12.2011
ANNEX I
PART A
Repealed Directive
(referred to in Article 40)
PART B
ANNEX II
Correlation table
Article 1 Article 1
— Article 2(b)
— Article 2(i)
— Article 2(k)
Article 3 Article 3
Article 4 Article 4
Article 5 Article 5
Article 6 Article 6
Article 7 Article 7
Article 8(3) —
Article 9 Article 9
Article 10 Article 10
— Article 11(3)
Article 12 Article 12
Article 13 Article 13
Article 14 Article 14
Article 15 Article 15
— Article 16(3)
Article 17 Article 17
Article 18 Article 18
Article 19 Article 19
Article 20(6)(7) —
L 337/26 EN Official Journal of the European Union 20.12.2011
Article 21 Article 21
Article 22 Article 22
Article 25 Article 25
Article 26(4) —
— Article 28(2)
Article 29(2) —
Article 30 Article 31
— Article 32(2)
Article 32 Article 33
Article 33 Article 34
Article 34 Article 35
Article 35 Article 36
Article 36 Article 37
Article 37 Article 38
Article 38 Article 39
— Article 40
Article 39 Article 41
Article 40 Article 42
— Annex I
— Annex II