CHAPTER III

PROCEDURES AT FIRST INSTANCE
SECTION I

Examination procedure
Article 31
1
Member States shall process applications for international protection in an examination procedure in accordance with the basic principles and guarantees of Chapter II.
2
Member States shall ensure that the examination procedure is concluded as soon as possible, without prejudice to an adequate and complete examination.
3
Member States shall ensure that the examination procedure is concluded within six months of the lodging of the application.
Where an application is subject to the procedure laid down in Regulation (EU) No 604/2013, the time limit of six months shall start to run from the moment the Member State responsible for its examination is determined in accordance with that Regulation, the applicant is on the territory of that Member State and has been taken in charge by the competent authority.
Member States may extend the time limit of six months set out in this paragraph for a period not exceeding a further nine months, where:
a
complex issues of fact and/or law are involved;
b
a large number of third-country nationals or stateless persons simultaneously apply for international protection, making it very difficult in practice to conclude the procedure within the six-month time limit;
c
where the delay can clearly be attributed to the failure of the applicant to comply with his or her obligations under Article 13.
By way of exception, Member States may, in duly justified circumstances, exceed the time limits laid down in this paragraph by a maximum of three months where necessary in order to ensure an adequate and complete examination of the application for international protection.
4
Without prejudice to Articles 13 and 18 of Directive 2011/95/EU, Member States may postpone concluding the examination procedure where the determining authority cannot reasonably be expected to decide within the time-limits laid down in paragraph 3 due to an uncertain situation in the country of origin which is expected to be temporary. In such a case, Member States shall:
a
conduct reviews of the situation in that country of origin at least every six months;
b
inform the applicants concerned within a reasonable time of the reasons for the postponement;
c
inform the Commission within a reasonable time of the postponement of procedures for that country of origin.
5
In any event, Member States shall conclude the examination procedure within a maximum time limit of 21 months from the lodging of the application.
6
Member States shall ensure that, where a decision cannot be taken within six months, the applicant concerned shall:
a
be informed of the delay; and
b
receive, upon his or her request, information on the reasons for the delay and the time-frame within which the decision on his or her application is to be expected.
7
Member States may prioritise an examination of an application for international protection in accordance with the basic principles and guarantees of Chapter II in particular:
a
where the application is likely to be well-founded;
b
where the applicant is vulnerable, within the meaning of Article 22 of Directive 2013/33/EU, or is in need of special procedural guarantees, in particular unaccompanied minors.
8
Member States may provide that an examination procedure in accordance with the basic principles and guarantees of Chapter II be accelerated and/or conducted at the border or in transit zones in accordance with Article 43 if:
a
the applicant, in submitting his or her application and presenting the facts, has only raised issues that are not relevant to the examination of whether he or she qualifies as a beneficiary of international protection by virtue of Directive 2011/95/EU; or
b
the applicant is from a safe country of origin within the meaning of this Directive; or
c
the applicant has misled the authorities by presenting false information or documents or by withholding relevant information or documents with respect to his or her identity and/or nationality that could have had a negative impact on the decision; or
d
it is likely that, in bad faith, the applicant has destroyed or disposed of an identity or travel document that would have helped establish his or her identity or nationality; or
e
the applicant has made clearly inconsistent and contradictory, clearly false or obviously improbable representations which contradict sufficiently verified country-of-origin information, thus making his or her claim clearly unconvincing in relation to whether he or she qualifies as a beneficiary of international protection by virtue of Directive 2011/95/EU; or
f
the applicant has introduced a subsequent application for international protection that is not inadmissible in accordance with Article 40(5); or
g
the applicant is making an application merely in order to delay or frustrate the enforcement of an earlier or imminent decision which would result in his or her removal; or
h
the applicant entered the territory of the Member State unlawfully or prolonged his or her stay unlawfully and, without good reason, has either not presented himself or herself to the authorities or not made an application for international protection as soon as possible, given the circumstances of his or her entry; or
i
the applicant refuses to comply with an obligation to have his or her fingerprints taken in accordance with Regulation (EU) No 603/2013 of the European Parliament and of the Council of 26 June 2013 on the establishment of Eurodac for the comparison of fingerprints for the effective application of Regulation (EU) No 604/2013 establishing the criteria and mechanisms for determining the Member State responsible for examining an application for international protection lodged in one of the Member States by a third-country national or a stateless person and on requests for the comparison with Eurodac data by Member States’ law enforcement authorities and Europol for law enforcement purposes ; or
j
the applicant may, for serious reasons, be considered a danger to the national security or public order of the Member State, or the applicant has been forcibly expelled for serious reasons of public security or public order under national law.
9
Member States shall lay down time limits for the adoption of a decision in the procedure at first instance pursuant to paragraph 8. Those time limits shall be reasonable.
Without prejudice to paragraphs 3 to 5, Member States may exceed those time limits where necessary in order to ensure an adequate and complete examination of the application for international protection.

Unfounded applications
Article 32
1
Without prejudice to Article 27, Member States may only consider an application to be unfounded if the determining authority has established that the applicant does not qualify for international protection pursuant to Directive 2011/95/EU.
2
In cases of unfounded applications in which any of the circumstances listed in Article 31(8) apply, Member States may also consider an application to be manifestly unfounded, where it is defined as such in the national legislation.
SECTION II

Inadmissible applications
Article 33
1
In addition to cases in which an application is not examined in accordance with Regulation (EU) No 604/2013, Member States are not required to examine whether the applicant qualifies for international protection in accordance with Directive 2011/95/EU where an application is considered inadmissible pursuant to this Article.
2
Member States may consider an application for international protection as inadmissible only if:
a
another Member State has granted international protection;
b
a country which is not a Member State is considered as a first country of asylum for the applicant, pursuant to Article 35;
c
a country which is not a Member State is considered as a safe third country for the applicant, pursuant to Article 38;
d
the application is a subsequent application, where no new elements or findings relating to the examination of whether the applicant qualifies as a beneficiary of international protection by virtue of Directive 2011/95/EU have arisen or have been presented by the applicant; or
e
a dependant of the applicant lodges an application, after he or she has in accordance with Article 7(2) consented to have his or her case be part of an application lodged on his or her behalf, and there are no facts relating to the dependant’s situation which justify a separate application.

Special rules on an admissibility interview
Article 34
1
Member States shall allow applicants to present their views with regard to the application of the grounds referred to in Article 33 in their particular circumstances before the determining authority decides on the admissibility of an application for international protection. To that end, Member States shall conduct a personal interview on the admissibility of the application. Member States may make an exception only in accordance with Article 42 in the case of a subsequent application.
This paragraph shall be without prejudice to Article 4(2)(a) of this Directive and to Article 5 of Regulation (EU) No 604/2013.
2
Member States may provide that the personnel of authorities other than the determining authority conduct the personal interview on the admissibility of the application for international protection. In such cases, Member States shall ensure that such personnel receive in advance the necessary basic training, in particular with respect to international human rights law, the Union asylum acquis and interview techniques.
SECTION III

The concept of first country of asylum
Article 35
A country can be considered to be a first country of asylum for a particular applicant if:
1. he or she has been recognised in that country as a refugee and he or she can still avail himself/herself of that protection; or
2. he or she otherwise enjoys sufficient protection in that country, including benefiting from the principle of non-refoulement,
provided that he or she will be readmitted to that country.
In applying the concept of first country of asylum to the particular circumstances of an applicant, Member States may take into account Article 38(1). The applicant shall be allowed to challenge the application of the first country of asylum concept to his or her particular circumstances.

The concept of safe country of origin
Article 36
1
A third country designated as a safe country of origin in accordance with this Directive may, after an individual examination of the application, be considered as a safe country of origin for a particular applicant only if:
a
he or she has the nationality of that country; or
b
he or she is a stateless person and was formerly habitually resident in that country,
and he or she has not submitted any serious grounds for considering the country not to be a safe country of origin in his or her particular circumstances and in terms of his or her qualification as a beneficiary of international protection in accordance with Directive 2011/95/EU.
2
Member States shall lay down in national legislation further rules and modalities for the application of the safe country of origin concept.

National designation of third countries as safe countries of origin
Article 37
1
Member States may retain or introduce legislation that allows, in accordance with Annex I, for the national designation of safe countries of origin for the purposes of examining applications for international protection.
2
Member States shall regularly review the situation in third countries designated as safe countries of origin in accordance with this Article.
3
The assessment of whether a country is a safe country of origin in accordance with this Article shall be based on a range of sources of information, including in particular information from other Member States, EASO, UNHCR, the Council of Europe and other relevant international organisations.
4
Member States shall notify to the Commission the countries that are designated as safe countries of origin in accordance with this Article.

The concept of safe third country
Article 38
1
Member States may apply the safe third country concept only where the competent authorities are satisfied that a person seeking international protection will be treated in accordance with the following principles in the third country concerned:
a
life and liberty are not threatened on account of race, religion, nationality, membership of a particular social group or political opinion;
b
there is no risk of serious harm as defined in Directive 2011/95/EU;
c
the principle of non-refoulement in accordance with the Geneva Convention is respected;
d
the prohibition of removal, in violation of the right to freedom from torture and cruel, inhuman or degrading treatment as laid down in international law, is respected; and
e
the possibility exists to request refugee status and, if found to be a refugee, to receive protection in accordance with the Geneva Convention.
2
The application of the safe third country concept shall be subject to rules laid down in national law, including:
a
rules requiring a connection between the applicant and the third country concerned on the basis of which it would be reasonable for that person to go to that country;
b
rules on the methodology by which the competent authorities satisfy themselves that the safe third country concept may be applied to a particular country or to a particular applicant. Such methodology shall include case-by-case consideration of the safety of the country for a particular applicant and/or national designation of countries considered to be generally safe;
c
rules in accordance with international law, allowing an individual examination of whether the third country concerned is safe for a particular applicant which, as a minimum, shall permit the applicant to challenge the application of the safe third country concept on the grounds that the third country is not safe in his or her particular circumstances. The applicant shall also be allowed to challenge the existence of a connection between him or her and the third country in accordance with point (a).
3
When implementing a decision solely based on this Article, Member States shall:
a
inform the applicant accordingly; and
b
provide him or her with a document informing the authorities of the third country, in the language of that country, that the application has not been examined in substance.
4
Where the third country does not permit the applicant to enter its territory, Member States shall ensure that access to a procedure is given in accordance with the basic principles and guarantees described in Chapter II.
5
Member States shall inform the Commission periodically of the countries to which this concept is applied in accordance with the provisions of this Article.

The concept of European safe third country
Article 39
1
Member States may provide that no, or no full, examination of the application for international protection and of the safety of the applicant in his or her particular circumstances as described in Chapter II shall take place in cases where a competent authority has established, on the basis of the facts, that the applicant is seeking to enter or has entered illegally into its territory from a safe third country according to paragraph 2.
2
A third country can only be considered as a safe third country for the purposes of paragraph 1 where:
a
it has ratified and observes the provisions of the Geneva Convention without any geographical limitations;
b
it has in place an asylum procedure prescribed by law; and
c
it has ratified the European Convention for the Protection of Human Rights and Fundamental Freedoms and observes its provisions, including the standards relating to effective remedies.
3
The applicant shall be allowed to challenge the application of the concept of European safe third country on the grounds that the third country concerned is not safe in his or her particular circumstances.
4
The Member States concerned shall lay down in national law the modalities for implementing the provisions of paragraph 1 and the consequences of decisions pursuant to those provisions in accordance with the principle of non-refoulement, including providing for exceptions from the application of this Article for humanitarian or political reasons or for reasons of public international law.
5
When implementing a decision solely based on this Article, the Member States concerned shall:
a
inform the applicant accordingly; and
b
provide him or her with a document informing the authorities of the third country, in the language of that country, that the application has not been examined in substance.
6
Where the safe third country does not readmit the applicant, Member States shall ensure that access to a procedure is given in accordance with the basic principles and guarantees described in Chapter II.
7
Member States shall inform the Commission periodically of the countries to which this concept is applied in accordance with this Article.
SECTION IV

Subsequent application
Article 40
1
Where a person who has applied for international protection in a Member State makes further representations or a subsequent application in the same Member State, that Member State shall examine these further representations or the elements of the subsequent application in the framework of the examination of the previous application or in the framework of the examination of the decision under review or appeal, insofar as the competent authorities can take into account and consider all the elements underlying the further representations or subsequent application within this framework.
2
For the purpose of taking a decision on the admissibility of an application for international protection pursuant to Article 33(2)(d), a subsequent application for international protection shall be subject first to a preliminary examination as to whether new elements or findings have arisen or have been presented by the applicant which relate to the examination of whether the applicant qualifies as a beneficiary of international protection by virtue of Directive 2011/95/EU.
3
If the preliminary examination referred to in paragraph 2 concludes that new elements or findings have arisen or been presented by the applicant which significantly add to the likelihood of the applicant qualifying as a beneficiary of international protection by virtue of Directive 2011/95/EU, the application shall be further examined in conformity with Chapter II. Member States may also provide for other reasons for a subsequent application to be further examined.
4
Member States may provide that the application will only be further examined if the applicant concerned was, through no fault of his or her own, incapable of asserting the situations set forth in paragraphs 2 and 3 of this Article in the previous procedure, in particular by exercising his or her right to an effective remedy pursuant to Article 46.
5
When a subsequent application is not further examined pursuant to this Article, it shall be considered inadmissible, in accordance with Article 33(2)(d).
6
The procedure referred to in this Article may also be applicable in the case of:
a
a dependant who lodges an application after he or she has, in accordance with Article 7(2), consented to have his or her case be part of an application lodged on his or her behalf; and/or
b
an unmarried minor who lodges an application after an application has been lodged on his or her behalf pursuant to Article 7(5)(c).
In those cases, the preliminary examination referred to in paragraph 2 will consist of examining whether there are facts relating to the dependant’s or the unmarried minor’s situation which justify a separate application.
7
Where a person with regard to whom a transfer decision has to be enforced pursuant to Regulation (EU) No 604/2013 makes further representations or a subsequent application in the transferring Member State, those representations or subsequent applications shall be examined by the responsible Member State, as defined in that Regulation, in accordance with this Directive.

Exceptions from the right to remain in case of subsequent applications
Article 41
1
Member States may make an exception from the right to remain in the territory where a person:
a
has lodged a first subsequent application, which is not further examined pursuant to Article 40(5), merely in order to delay or frustrate the enforcement of a decision which would result in his or her imminent removal from that Member State; or
b
makes another subsequent application in the same Member State, following a final decision considering a first subsequent application inadmissible pursuant to Article 40(5) or after a final decision to reject that application as unfounded.
Member States may make such an exception only where the determining authority considers that a return decision will not lead to direct or indirect refoulement in violation of that Member State’s international and Union obligations.
2
In cases referred to in paragraph 1, Member States may also:
a
derogate from the time limits normally applicable in accelerated procedures, in accordance with national law, when the examination procedure is accelerated in accordance with Article 31(8)(g);
b
derogate from the time limits normally applicable to admissibility procedures provided for in Articles 33 and 34, in accordance with national law; and/or
c
derogate from Article 46(8).

Procedural rules
Article 42
1
Member States shall ensure that applicants whose application is subject to a preliminary examination pursuant to Article 40 enjoy the guarantees provided for in Article 12(1).
2
Member States may lay down in national law rules on the preliminary examination pursuant to Article 40. Those rules may, inter alia:
a
oblige the applicant concerned to indicate facts and substantiate evidence which justify a new procedure;
b
permit the preliminary examination to be conducted on the sole basis of written submissions without a personal interview, with the exception of the cases referred to in Article 40(6).
Those rules shall not render impossible the access of applicants to a new procedure or result in the effective annulment or severe curtailment of such access.
3
Member States shall ensure that the applicant is informed in an appropriate manner of the outcome of the preliminary examination and, if the application is not to be further examined, of the reasons why and the possibilities for seeking an appeal or review of the decision.
SECTION V

Border procedures
Article 43
1
Member States may provide for procedures, in accordance with the basic principles and guarantees of Chapter II, in order to decide at the border or transit zones of the Member State on:
a
the admissibility of an application, pursuant to Article 33, made at such locations; and/or
b
the substance of an application in a procedure pursuant to Article 31(8).
2
Member States shall ensure that a decision in the framework of the procedures provided for in paragraph 1 is taken within a reasonable time. When a decision has not been taken within four weeks, the applicant shall be granted entry to the territory of the Member State in order for his or her application to be processed in accordance with the other provisions of this Directive.
3
In the event of arrivals involving a large number of third-country nationals or stateless persons lodging applications for international protection at the border or in a transit zone, which makes it impossible in practice to apply there the provisions of paragraph 1, those procedures may also be applied where and for as long as these third-country nationals or stateless persons are accommodated normally at locations in proximity to the border or transit zone.
See page 1 of this Official Journal.