Annexes to COM(2013)95 - Entry/Exit System (EES) to register entry and exit data of third country nationals crossing the external borders of the Member States of the EU - Main contents
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This page contains a limited version of this dossier in the EU Monitor.
| dossier | COM(2013)95 - Entry/Exit System (EES) to register entry and exit data of third country nationals crossing the external borders of the ... |
|---|---|
| document | COM(2013)95  |
| date | February 28, 2013 |
List of international organisations referred to in Article 27 (2)
1. UN organisations (such as UNHCR);
2. International Organization for Migration (IOM);
3. The International Committee of the Red Cross.
LEGISLATIVE FINANCIAL STATEMENT FOR PROPOSALS
1. FRAMEWORK OF THE PROPOSAL/INITIATIVE
1.1. Title of the proposal/initiative
1.2. Policy area(s) concerned in the ABM/ABB structure
1.3. Nature of the proposal/initiative
1.4. Objective(s)
1.5. Grounds for the proposal/initiative
1.6. Duration and financial impact
1.7. Management method(s) envisaged
2. MANAGEMENT MEASURES
2.1. Monitoring and reporting rules
2.2. Management and control system
2.3. Measures to prevent fraud and irregularities
3. ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE
3.1. Heading(s) of the multiannual financial framework and expenditure budget line(s) affected
3.2. Estimated impact on expenditure
3.2.1. Summary of estimated impact on expenditure
3.2.2. Estimated impact on operational appropriations
3.2.3. Estimated impact on appropriations of an administrative nature
3.2.4. Compatibility with the current multiannual financial framework
3.2.5. Third-party participation in financing
3.3. Estimated impact on revenue
LEGISLATIVE FINANCIAL STATEMENT FOR PROPOSALS
1. FRAMEWORK OF THE PROPOSAL/INITIATIVE 1.1. Title of the proposal/initiative
Regulation of the European Parliament and of the Council establishing the Entry/Exit System (EES) to register entry and exit data of third country nationals crossing the external borders of the Member States of the European Union subject to the adoption by the Legislative Authority of the proposal establishing, as part of the Internal Security Fund, the instrument for financial support for external borders and visa (COM(2011)750) and subject to the adoption by the Legislative Authority of the proposal for a Council Regulation laying down the multiannual financial framework for the years 2014-2020 (COM(2011)398) and a sufficient level of resources being available under the expenditure ceiling of the pertinent budget heading.
1.2. Policy area(s) concerned in the ABM/ABB structure[35]
Policy area: Area of Home Affairs (title 18)
1.3. Nature of the proposal/initiative
x The proposal/initiative relates to a new action
¨ The proposal/initiative relates to a new action following a pilot project/preparatory action[36]
¨ The proposal/initiative relates to the extension of an existing action
¨ The proposal/initiative relates to an action redirected towards a new action
1.4. Objectives 1.4.1. The Commission's multiannual strategic objective(s) targeted by the proposal/initiative
The Stockholm Programme agreed by the European Council in December 2009 reaffirmed the potential for an Entry/Exit System (EES) allowing Member States to share data effectively while safeguarding data protection. The proposal to set up an EES was therefore included in the Action Plan Implementing the Stockholm Programme. Financing of the development of the Smart Borders package is one of the priorities of the Internal Security Fund (ISF)[37].
1.4.2. Specific objective(s) and ABM/ABB activity(ies) concerned
The EES shall have the purpose of improving the management of the external borders and the fight against irregular immigration in order:
to register entry and exit records of third-country nationals admitted for a short stay;
to calculate and monitor the duration of the authorised stay of third-country nationals admitted for a short stay;
to gather statistics on the entries and exits of third country nationals for the purpose of analysis.
ABM/ABB activity(ies) concerned
Activities: Solidarity – External borders, return, visa policy and free movement of people (chapter 18.02)
1.4.3. Expected result(s) and impact
Specify the effects which the proposal/initiative should have on the beneficiaries/groups targeted.
It will generate precise information on overstayers for all competent authorities in the Member States, which will help to apprehend and return irregular immigrants and thereby counteract irregular immigration in general.
It will provide precise information on the number of persons crossing the external border of the EU each year, further broken down by nationality and place of border crossing. The same detailed information will be provided specifically on overstayers, which will provide a much stronger evidence base as to whether nationals of a given third country should be subject to the visa obligation or not.
It will provide key data for the purposes of examining the applications of third-country nationals for the Registered Traveller Programme (RTP) (new and subsequent ones). In addition, it will give the competent authorities the information needed to ensure that third-country nationals benefitting from access to the RTP comply fully with all the necessary conditions, including the respect for the duration of the authorised stay.
It will permit the verification by the authorities that regular travellers holding multiple-entry visas do not overstay in the Schengen area.
1.4.4. Indicators of results and impact
Specify the indicators for monitoring implementation of the proposal/initiative.
During the development
After the approval of the draft proposal and the adoption of the technical specifications the technical system will be developed by an external contractor. The development of the systems will take place at central and national level under the overall coordination of the IT Agency. The IT Agency will define an overall governance framework in cooperation with all the stakeholders. As usual in the development of such systems an overall Project Management Plan, together with a Quality Assurance Plan will be defined at the beginning of rhe project. They should include dashboards that will include specific indicators related in particular to
The overall project status
the timely development according to the agreed schedule (milestones), the risk management,the management of resources ( human and financial) according to the agreed allocations the organisational readiness…
Once the system is operational
According to Article 46 on monitoring and evaluation
"3. Two years after the start of operations of the EES and every two years thereafter, the Agency shall submit to the European Parliament, the Council and the Commission a report on the technical functioning of EES, including the security thereof.
4. Two years after the EES is brought into operation and every four years thereafter, the Commission shall produce an overall evaluation of the EES. This overall evaluation shall include an examination of results achieved against objectives, an assessement of the continuing validity of the underlying rationale, the application of the Regulation, the security of the EES and any implications on future operations. The Commission shall transmit the evaluation report to the European Parliament and the Council"
Of particular importance for that evaluation would be the indicators related to the number of overstayers and data on the border crossing time, where for the latter information would be gathered from experiences from the VIS also, as well as an in-depth analysis of the necessity of giving access to data for law enforcement purposes. The Commission should submit the reports on the evaluation to the European Parliament and the Council.
Specific objective: To enhance the efficiency of border checks through monitoring of the rights to authorised stay at entry and exit, and to improve the assessment of the risk of overstay;
Indicator: Processing time at the border crossing points
Numbers of overstayers identified at border crossing points
System availability
Specific objective: To generate reliable information to allow the EU and Member States to make informed policy choices concerning visa and migration;
Indicator: Number of alerts on overstayers by category visa-required/visa-exempt, by type of border land/sea/air, by Member State, by country of origin/nationality
Specific objective: To identify and detect irregular immigrants, especially overstayers, also within the territory and to increase the possibilities for return;
Indicator: Numbers of alerts leading to the apprehension of overstayers
Specific objective: To safeguard the fundamental rights, especially protection of personal data and right to privacy, of third country nationals.
Indicator: Number of false matches of entry/exit records
Number of complaints by individuals to national data protection authorities
1.5. Grounds for the proposal/initiative 1.5.1. Requirement(s) to be met in the short or long term
Irregular immigration into the EU poses a challenge to every Member State. The vast majority are "overstayers", persons having legally entered the European Union but stayed after their entitlement to do so had expired. EU law stipulates that third-country nationals have, as a general rule, the right to enter for a short-stay of up to three months per six months period.
The EES will be an instrument providing the European Union with basic information on the third country nationals entering and leaving the territory of the EU. This information is indispensable to shape sustainable and reasonable policies in the field of migration and visa. The current system of stamps in the passport poses a problem not only for enforcement but also in terms of informing persons of their rights, for example, the exact number of days they are entitled to remain in the Schengen area, following a series of stays lasting a few days each. Moreover, as long as data are not recorded elsewhere than the passport, sharing of data between Member States is physically impossible. It also means that such data would not be available in case the stamped travel documents are replaced or lost.
The EES will allow to calculate the duration of the stay of third country nationals (TCN) and to verify if someone is overstaying, also when carrying out checks within the Schengen area. Currently the stamping of the travel document indicating the dates of entry and exit is the sole instrument available to border guards and immigration authorities. The time a TCN has spent in the Schengen area is calculated based on the stamps, which are however often difficult to interpret; they may be illegible or the target of counterfeiting. Exact calculation of time spent in the Schengen area on the basis of stamps in the travel documents is thus both time-consuming and difficult.
1.5.2. Added value of EU involvement
No Member State is able to build up a common, interoperable entry/exit system alone. As all activities linked to the managemement of migration flows and security threats it is an area where there is obvious added value in mobilising the EU budget.
The abolition of internal border controls must be accompanied by common measures for the effective control and surveillance of the Union's external borders. Some Member States bear a heavy burden due to their specific geographic situation and the length of the external borders of the Union that they have to manage. The entry conditions and border checks for third-country nationals are harmonised through EU law. As persons may enter the Schengen area at a border crossing point in a Member State where a national register of entries/exits is used, but exit through a border crossing point where no such system is used no action can be achieved by the Member States acting alone but only at EU level.
1.5.3. Lessons learned from similar experiences in the past
The experience with the development of the second generation Schengen Information System (SIS II) and of the Visa Information System (VIS) showed the following lessons:
1) As a possible safeguard against cost overruns and delays resulting from changing requirements, any new information system in the area of freedom, security and justice, particularly if it involves a large-scale IT system, will not be developed before the underlying legal instruments setting out its purpose, scope, functions and technical details have been definitely adopted.
2) It proved difficult to fund the national developments for Member States that have not foreseen the respective activities in their multi-annual programming or lack precision in their programming in the framework of the External Border Fund (EBF). Therefore, it is now proposed to include these development costs in the proposal.
1.5.4. Coherence and possible synergy with other relevant instruments
This proposal should be seen as part of the continuous development of the Integrated Border Management Strategy of the European Union, and in particular the Smart Borders Communication[38], as well as in conjunction with the ISF borders proposal[39], as part of the MFF. The legislative financial statement attached to the amended Commission proposal for the Agency[40] covers the costs for the existing IT systems EURODAC, SIS II, VIS but not for the future border management systems that are not yet entrusted to the Agency via a legal framework. Therefore, in the annex to the proposal for a Council Regulation laying down the multi-annual financial framework for the years 2014-2020[41], under heading 3 "Security and Citizenship" it is foreseen to cover the existing IT systems in the rubrique 'IT systems' (822 mio €) and the future border management systems in the rubrique 'Internal Security' (1.1 mio € out of 4.648 mio €). Within the Commission DG HOME is the Directorate General responsible for the establishment of an area of free movement in which persons can cross internal borders without being submitted to border checks and external borders are controlled and managed coherently at the EU level. The system has the following synergies with the Visa Information System:
a) For visa holders, the Biometric Matching System will also be used for the purpose of Entry/Exit;
b) the Entry/Exit System will complement the VIS. The VIS contains only visa applications and issued visas, whereas for visa holders the EES will store also concrete entry and exit data related to the issued visas;
c) There will also be synergies with the RTP, as the entry and exit of the registered travellers will be recorded in the EES, which will monitor the duration of their authorised stay within the Schengen area. Without the EES, fully automated border crossings could not be implemented for the registered travellers.In addition, there is no risk of an overlap with similar initiatives carried out in other DGs.
1.6. Duration and financial impact
¨ Proposal/initiative of limited duration
– ¨ Proposal/initiative in effect from [DD/MM]YYYY to [DD/MM]YYYY
– ¨ Financial impact from YYYY to YYYY
x Proposal/initiative of unlimited duration
– Preparatory period from 2013 to 2015 (establishment of the legal framework)
– Development period from 2015 to 2017,
– followed by full-scale operation.
1.7. Management mode(s) envisaged[42]
x Centralised direct management by the Commission
x Centralised indirect management with the delegation of implementation tasks to:
– ¨ executive agencies
– x bodies set up by the Communities[43]
– ¨ national public-sector bodies/bodies with public-service mission
– ¨ persons entrusted with the implementation of specific actions pursuant to Title V of the Treaty on European Union and identified in the relevant basic act within the meaning of Article 49 of the Financial Regulation
¨ Shared management with the Member States
¨ Decentralised management with third countries
¨ Joint management with international organisations (to be specified)
If more than one management mode is indicated, please provide details in the "Comments" section.
Comments
The proposal for a Regulation of the European Parliament and of the Council establishing, as part of the Internal Security Fund, the instrument for financial support for external borders and visa for the period 2014-2020 (COM(2011)750), foresees the financing of the development of the Entry/Exit System in its Article 15. In accordance with Articles 58 1c) and 60 of the new Financial Regulation (centralised indirect management) the implementing tasks of the abovementioned financial programme will be delegated to the IT Agency.
During the 2015-2017 period, all development activities will be entrusted to the IT Agency through a delegation agreement. This will cover the development part of all strands of the project, i.e. Central system, Member States systems, networks and infrastructure in Member States.
In 2017, at the time of the mid term review, it is envisaged to transfer remaining credits from the 513.000 Mio € to the IT Agency line for operation and maintenance costs of the central system and of the network and to national programmes for operation and maintenance costs of national systems including infrastructure costs (see table below). The Legislative Financial Statement will be revised accordingly by the end of 2016.
Blocks || Management mode || 2015 || 2016 || 2017 || 2018 || 2019 || 2020
Development Central System || Indirect centralised || X || X || X || || ||
Development Member States || Indirect centralised || X || X || X || || ||
Maintenance Central System || Indirect centralised || || || X || X || X || X
Maintenance National Systems || Indirect centralised || || || X || X || X || X
Network (1) || Indirect centralised || X || X || X || X || X || X
Infrastructure Member States || Indirect centralised || X || X || X || X || X || X
(1) network development in 2015-2017, network operations in 2017-2020
2. MANAGEMENT MEASURES 2.1. Monitoring and reporting rules
Specify frequency and conditions.
The rules on monitoring and evaluation of the EES are foreseen in Article 46 of the EES proposal
Article 46 Monitoring and evaluation
1. The Agency shall ensure that procedures are in place to monitor the functioning of the EES against objectives relating to the technical output, cost-effectiveness, security and quality of service.
2. For the purposes of technical maintenance, the Agency shall have access to the necessary information relating to the data processing operations performed in the EES.
3. Two years after the start of operations of the EES and every two years thereafter, the Agency shall submit to the European Parliament, the Council and the Commission a report on the technical functioning of EES, including the security thereof.
4. Two years after the EES is brought into operation and every four years thereafter, the Commission shall produce an overall evaluation of the EES. This overall evaluation shall include an examination of results achieved against objectives, an assessment of the continuing validity of the underlying rationale, the application of the Regulation, the security of the EES and any implications on future operations. The Commission shall transmit the evaluation report to the European Parliament and the Council.
5. The first evaluation shall specifically examine the contribution the entry-exit system could make in the fight against terrorist offences and other serious criminal offences and will deal with the issue of access for law enforcement purposes to the information stored in the system, whether, and if so, under which conditions such access could be allowed, whether the data retention period shall be modified and whether access to authorities of third countries shall be granted, taking into account the operation of the EES and the results of the implementation of the VIS.
6. Member States shall provide the Agency and the Commission with the information necessary to draft the reports referred to in paragraphs 3 and 4 according to the quantitative indicators predefined by the Commission and/or the Agency.
7. The Agency shall provide the Commission with the information necessary to produce the overall evaluations referred to in paragraph 4.
2.2. Management and control system 2.2.1. Risk(s) identified
1) Difficulties with the technical development of the system
Member States have technically different national IT systems. Furthermore, border control processes may differ according to the local circumstances (available space at the border crossing point, travel flows, etc.). The EES needs to be integrated into national IT architecture and the national border control processes. Additionally, the development of the national components of the system needs to be fully aligned with central requirements. There are two main risks identified in this area:
a) The risk that technical and legal aspects of the EES may be implemented in different ways by different Member States, due to insufficient coordination between the central and national sides.
b) The risk of inconsistency in how this future system is used depending on how Member States implement the EES into the existing border control processes.
2) Difficulties with the timely development
From the experience gained during the development of the VIS and the SIS II, it can be anticipated that a crucial factor for a successful implementation of the EES will be the timely development of the system by an external contractor. As a center of excellence in the field of development and management of large-scale IT systems, the IT Agency will also be responsible for the award and management of contracts, in particular for sub-contracting the development of the system. There are several risks related to the use of an external contractor for this development work:
a) in particular, the risk that the contractor fails to allocate sufficient resources to the project or that it designs and develops a system that is not state-of-the-art;
b) the risk that administrative techniques and methods to handle large-scale IT projects are not fully respected as a way of reducing costs by the contractor;
c) finally, in the current economic crisis, the risk of the contractor facing financial difficulties for reasons external to this project cannot be entirely excluded.
2.2.2. Control method(s) envisaged
1) The Agency is meant to become a center of excellence in the field of development and management of large-scale IT systems. It shall be entrusted with the development and the operations of the central part of the system including uniform interfaces in the Member States. This will allow to avoid most of the drawbacks that the Commission met when developing the SIS II and the VIS.
During the development phase (2015-2017), the Commission will keep the overall responsibility, as the project will be developed via indirect central management. The Agency will be responsible for the technical and financial management, notably the award and management of contracts. The delegation agreement will cover the central part via procurements and the national part via grants. According to Article 40 of the Implementing Rules, the Commission will conclude an Agreement laying down the detailed arrangements for the management and control of funds and the protection of the financial interests of the Commission. Such agreement will include the provisions set out in paragraph 2 of Article 40. It will thus enable the Commission to manage the risks described in 2.2.1.
In the context of the mid-term review (foreseen in 2017 in the framework of the Internal Security Fund, Article 15 of the Horizontal Regulation) the management mode will be re-examined.
2) In order to avoid delays at national level, an efficient governance between all stakeholders is foreseen. The Commission has proposed in the draft Regulation that an Advisory Group composed of Member States national experts shall provide the Agency with the expertise related to the EES/RTP. This advisory group shall meet on a regular basis on the system implementation, share gathered experience and provide advice to the Management Board of the Agency. Furthermore, the Commission intends to recommend to Member States to set up a national project infrastructure / project group for both the technical and the operational development including a reliable communication infrastructure with single points of contact.
2.3. Measures to prevent fraud and irregularities
Specify existing or envisaged prevention and protection measures.
The measures foreseen to combat fraud are laid down in Article 35 of Regulation (EU) 1077/2011 which provides as follows:
1. In order to combat fraud, corruption and other unlawful activities, Regulation (EC) No 1073/1999 shall apply.
2. The Agency shall accede to the Interinstitutional Agreement concerning internal investigations by the European Anti‑fraud Office (OLAF) and shall issue, without delay, the appropriate provisions applicable to all the employees of the Agency.
3. The decisions concerning funding and the implementing agreements and instruments resulting from them shall explicitly stipulate that the Court of Auditors and OLAF may carry out, if necessary, on‑the‑spot checks among the recipients of the Agency's funding and the agents responsible for allocating it.
In accordance with this provision, the decision of the Management Board of the European Agency for the operational management of large-scale IT systems in the area of freedom, security and justice concerning the terms and conditions for internal investigations in relation to the prevention of fraud, corruption and any illegal activity detrimental to the Union's interests was adopted on 28 June 2012.
Moreover, DG HOME is currently drafting its fraud prevention and detection strategy.
3. ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE 3.1. Heading(s) of the multiannual financial framework and expenditure budget line(s) affected
Via the delegation agreement the Agency will be entrusted with the task to set up the appropriate tools at the level of its local financial systems in order to guarantee an efficient monitoring, follow-up and reporting of the costs linked to the implementation of the EES in compliance with Article 60 of the new Financial Regulation. It will take the appropriate measures, in order to be able to report whatever the final budget nomenclature will be.
· Existing expenditure budget lines
In order of multiannual financial framework headings and budget lines.
Heading of multiannual financial framework || Budget line || Type of expenditure || Contribution
Number [Description………………………...……….] || DA/NDA ([44]) || from EFTA[45] countries || from candidate countries[46] || from third countries || within the meaning of Article 21(2)(b) of the Financial Regulation
|| [XX.YY.YY.YY] || DA/ || YES/NO || YES/NO || YES/NO || YES/NO
· New budget lines requested
In order of multiannual financial framework headings and budget lines.
Heading of multiannual financial framework || Budget line || Type of expenditure || Contribution
Number [Heading……………………………………..] || Diff./non-diff. || from EFTA countries || from candidate countries || from third countries || within the meaning of Article 21(2)(b) of the Financial Regulation
3 || [18.02.CC] ISF borders || DA/ || NO || NO || YES || NO
3.2. Estimated impact on expenditure 3.2.1. Summary of estimated impact on expenditure
EUR million (to 3 decimal places)
Heading of multiannual financial framework: || 3 || Security and Citizenship
DG: HOME || || || Year 2015 || Year 2016 || Year 2017[47] || Year 2018 || Year 2019 || Year 2020 || Following years || TOTAL
Ÿ Operational appropriations || || || || || || || ||
Number of budget line 18.02.CC || Commitments || (1) || 122.566 || 30.142 || 119.477 || 80.272 || 80.272 || 80.271 || || 513.000
Payments || (2) || 61.283 || 82.382 || 92.677 || 83.993 || 80.271 || 80.271 || 32.122 || 513.000
Number of budget line || Commitments || (1a) || || || || || || || ||
Payments || (2a) || || || || || || || ||
Appropriations of an administrative nature financed from the envelop of specific programs[48] || || || || || || || ||
Number of budget line || || (3) || || || || || || || ||
TOTAL appropriations for DG HOME || Commitments || =1+1a +3 || 122.566 || 30.142 || 119.477 || 80.272 || 80.272 || 80.271 || || 513.000
Payments || =2+2a +3 || 61.283 || 82.382 || 92.677 || 83.993 || 80.271 || 80.271 || 32.122 || 513.000
Ÿ TOTAL operational appropriations || Commitments || (4) || || || || || || ||
Payments || (5) || || || || || || ||
Ÿ TOTAL appropriations of an administrative nature financed from the envelop of specific programs || (6) || || || || || || ||
TOTAL appropriations under HEADING <….> of the multiannual financial framework || Commitments || =4+ 6 || || || || || || ||
Payments || =5+ 6 || || || || || || ||
If more than one heading is affected by the proposal / initiative:
Ÿ TOTAL operational appropriations || Commitments || (4) || || || || || || ||
Payments || (5) || || || || || || ||
Ÿ TOTAL appropriations of an administrative nature financed from the envelop of specific programs || (6) || || || || || || ||
TOTAL appropriations under HEADINGS 1 to 4 of the multiannual financial framework (Reference amount) || Commitments || =4+ 6 || || || || || || ||
Payments || =5+ 6 || || || || || || ||
Heading of multiannual financial framework: || 5 || " Administrative expenditure "
EUR million (to 3 decimal places)
|| || || Year 2013 || Year 2014 || Year 2015 || Year 2016 || Year 2017 || Year 2018 || Year 2019 || Year 2020 || Follwing years || TOTAL
DG: HOME || || || ||
Ÿ Human resources || 0.254 || 0.254 || 0.254 || 0.190 || 0.190 || 0.190 || 0.191 || 0.191 || || 1.715
Ÿ Other administrative expenditure || 0.201 || 0.201 || 0.201 || 0.200 || 0.200 || 0.200 || 0.200 || 0.200 || || 1.602
TOTAL DG HOME || Appropriations || 0.455 || 0.455 || 0.455 || 0.390 || 0.390 || 0.390 || 0.391 || 0.391 || || 3.317
TOTAL appropriations under HEADING 5 of the multiannual financial framework || (Total commitments = Total payments) || 0.455 || 0.455 || 0.455 || 0.390 || 0.390 || 0.390 || 0.391 || 0.391 || || 3.317
EUR million (to 3 decimal places)
|| || || Year 2013 || Year 2014 || Year 2015 || Year 2016 || Year 2017 || Year 2018 || Year 2019 || Year 2020 || Follwing years || TOTAL
TOTAL appropriations under HEADINGS 1 to 5 of the multiannual financial framework || Commitments || 0.455 || 0.455 || 123.021 || 30.533 || 119.867 || 80.662 || 80.662 || 80.662 || || 516.317
Payments || 0.455 || 0.455 || 61.738 || 82.773 || 93.067 || 84.383 || 80.662 || 80.662 || 32.122 || 516.317
The human resources required will be met by staff from the DG who are already assigned to management of the action and/or have been redeployed within the DG, together if necessary with any additional allocation which may be granted to the managing DG under the annual allocation procedure and in the light of budgetary constraints.
3.2.2. Estimated impact on operational appropriations
– ¨ The proposal/initiative does not require the use of operational appropriations
– x The proposal/initiative requires the use of operational appropriations, as explained below:
Commitment appropriations in EUR million (to 3 decimal places)
Indicate objectives and outputs ò || || || Year 2015 || Year 2016 || Year 2017 || Year 2018 || Year 2019 || Year 2020 || TOTAL ||
||
Type of output[49] || Average cost of the ouput || Number of ouputs || Cost || Number of ouputs || Cost || Number of ouputs || Cost || Number of ouputs || Cost || Number of ouputs || Cost || Number of ouputs || Cost || Total number of ouputs || Total cost ||
SPECIFIC OBJECTIVE No 1[50]: System Development (Central and National) || || || || || || || || || || || || || || ||
- Output || 1 || 122.566 || 1 || 30.142 || 1 || 43.143 || || || || || || || 1 || 195.851 ||
Sub-total for specific objective N° 1[51] || || 122.566 || || 30.142 || || 43.143 || || || || || || || || 195.851 ||
SPECIFIC OBJECTIVE No 2: System Operations (Central and National) || || || || || || || || || || || || || || ||
- Output || || || || || 1 || 76.334 || 1 || 80.271 || 1 || 80.272 || 1 || 80.272 || 1 || 317.149 ||
Sub-total for specific objective N° 2[52] || || || || || || 76.334 || || 80.271 || || 80.272 || || 80.272 || || 317.149 ||
TOTAL COST || 1 || 122.566 || 1 || 30.142 || 2 || 119.477 || 1 || 80.271 || 1 || 80.272 || 1 || 80.272 || 2 || 513.000 ||
3.2.3. Estimated impact on appropriations of an administrative nature 3.2.3.1. Summary
– ¨ The proposal/initiative does not require the use of administrative appropriations
– x The proposal/initiative requires the use of administrative appropriations, as explained below:
EUR million (to 3 decimal places)
|| Year 2013 || Year 2014 || Year 2015 || Year 2016 || Year 2017 || Year 2018 || Year 2019 || Year 2020 || TOTAL
HEADING 5 of the multiannual financial framework || || || || || || || || ||
Human resources || 0.254 || 0.254 || 0.254 || 0.190 || 0.190 || 0.190 || 0.191 || 0.191 || 1.715
Other administrative expenditure || 0.201 || 0.201 || 0.201 || 0.200 || 0.200 || 0.200 || 0.200 || 0.200 || 1.602
Subtotal HEADING 5 of the multiannual financial framework || 0.455 || 0.455 || 0.455 || 0.390 || 0.390 || 0.390 || 0.391 || 0.391 || 3.317
Outside HEADING 5[53] of the multiannual financial framework || || || || || || || || ||
Human resources || || || || || || || || ||
Other expenditure of an administrative nature || || || || || || || || ||
Subtotal outside HEADING 5 of the multiannual financial framework || || || || || || || || ||
TOTAL || 0.455 || 0.455 || 0.455 || 0.390 || 0.390 || 0.390 || 0.391 || 0.391 || 3.317
3.2.3.2. Estimated requirements of human resources
– ¨ The proposal/initiative does not require the use of human resources
– x The proposal/initiative requires the use of human resources, as explained below:
Estimate to be expressed in full time equivalent units (or at most to one decimal place)
|| Year 2013 || Year 2014 || Year 2015 || Year 2016 || Year 2017 || Year 2018 || Year 2019 || Year 2020
· Establishment plan posts (officials and temporary agents)
XX 01 01 01 (Headquarters and Commission’s Representation Offices) || 2 || 2 || 2 || 1,5 || 1,5 || 1,5 || 1,5 || 1,5
XX 01 01 02 (Delegations) || || || || || || || ||
XX 01 05 01 (Indirect research) || || || || || || || ||
10 01 05 01 (Direct research) || || || || || || || ||
· External personnel (in Full Time Equivalent unit: FTE)[54]
XX 01 02 01 (CA, INT, SNE from the "global envelope") || || || || || || || ||
XX 01 02 02 (CA, INT, JED, LA and SNE in the delegations) || || || || || || || ||
XX 01 04 yy [55] || - at Headquarters[56] || || || || || || || ||
- in delegations || || || || || || || ||
XX 01 05 02 (CA, INT, SNE - Indirect research) || || || || || || || ||
10 01 05 02 (CA, INT, SNE - Direct research) || || || || || || || ||
Other budget lines (specify) || || || || || || || ||
TOTAL || 2 || 2 || 2 || 1,5 || 1,5 || 1,5 || 1,5 || 1,5
XX is the policy area or budget title concerned.
The human resources required will be met by staff from the DG who are already assigned to management of the action and/or have been redeployed within the DG, together if necessary with any additional allocation which may be granted to the managing DG under the annual allocation procedure and in the light of budgetary constraints.
Description of tasks to be carried out:
Officials and temporary agents || 2 during preparatory period from 2013 to 2015 1 administrator for the legislative negotiation, coordination of tasks with the Agency and supervision of the delegation agreement 0,5 administrator for supervision of financial activities and expertise on border control and technical matters 0,5 assistant for administrative and financial activities 1,5 during development period from 2016 to 2020 1 administrator for the follow-up of the delegation agreement (reports, preparation comitology, validation functional and technical specifications, supervision financial activities and coordination Agency), as well as expertise on border control and technical matters 0,5 assistant for administrative and financial activities
External personnel || 0
3.2.4. Compatibility with the current multiannual financial framework
– x Proposal/initiative is compatible with the current and the next multiannual financial framework.
– ¨ Proposal/initiative will entail reprogramming of the relevant heading in the multiannual financial framework.
Explain what reprogramming is required, specifying the budget lines concerned and the corresponding amounts.
– ¨ Proposal/initiative requires application of the flexibility instrument or revision of the multiannual financial framework[57].
Explain what is required, specifying the headings and budget lines concerned and the corresponding amounts.
3.2.5. Third-party contributions
– x The proposal/initiative does not provide for co-financing by third parties
– ¨ The proposal/initiative provides
Appropriations in EUR million (to 3 decimal places)
|| Year N || Year N+1 || Year N+2 || Year N+3 || … enter as many years as necessary to show the duration of the impact (see point 1.6) || Total
Specify the co-financing body || || || || || || || ||
TOTAL appropriations cofinanced || || || || || || || ||
3.3. Estimated impact on revenue
– ¨ Proposal/initiative has no financial impact on revenue.
– x Proposal/initiative has the following financial impact:
i. ¨ on own resources
ii. x on miscellaneous revenue
EUR million (to 3 decimal places)
Budget revenue line: || Appropriations available for the ongoing budget exercise || Impact of the proposal/initiative[58]
Year 2015 || Year 2016 || Year 2017 || Year 2018 || Year 2019 || Year 2020 || Following years
Article 6313…………. || || 3,729 || 5,013 || 5,639 || 5,111 || 4,884 || 4,884 || 1,954
For miscellaneous assigned revenue, specify the budget expenditure line(s) affected.
18.02.CC ISF borders
Specify the method for calculating the impact on revenue.
The budget shall include a contribution from countries associated with the implementation, application and development of the Schengen acquis and the Eurodac related measures as laid down in the respective agreements. The estimates provided are purely indicative and are based on recent calculations for revenues for the implementation of the Schengen acquis from the States that currently contribute (Iceland, Norway and Switzerland) to the general budget of the European Union (consumed payments) an annual sum for the relevant financial year, calculated in accordance with its gross domestic product as a percentage of the gross domestic product of all the participating States. The calculation is based on June 2012 figures from EUROSTAT which are subject to considerable variation depending on the economic situation of the participating States.
[1] COM (2008) 69 final. The Communication was accompanied by an Impact Assessment SEC(2008) 153.
[2] 'An open and secure Europe serving and protecting the citizens', Official Journal of the European Union of 4.5.2010, C 115/1.
[3] EUCO 23/11.
[4] COM (2011) 680 final.
[5] OJ L 105, 13.4.2006.
[6] Bulgaria, Estonia, Spain, Cyprus, Latvia, Lithuania, Hungary Malta, Poland, Portugal, Romania, Slovakia, and Finland.
[7] http://epp.eurostat.ec.europa.eu/portal/page/portal/population/data/database This figure includes overstayers as well as persons having entered irregularly, and includes persons apprehended at the border as well as within the Schengen territory.
[8] OJ L 286, 1.11.2011.
[9] SEC (2008) 153.
[10] SWD (2013) 48.
[11] Subject to the adoption by the Legislative Authority of the proposal establishing, as part of the Internal Security Fund, the instrument for financial support for external borders and visas (COM(2011) 750 final) and subject to the adoption by the Legislative Authority of the proposal for a Council Regulation laying down multiannual financial framework for the years 2014-2020 (COM(2011)398) and a sufficient level of resources being available under the expenditure ceiling of the pertinent budget heading.
[12] OJ L 176, 10.7.1999, p. 36.
[13] OJ L 53, 27.2.2008, p. 52.
[14] OJ L 160, 18.6.2011, p. 19.
[15] OJ C , , p. .
[16] OJ C , , p. .
[17] OJ C , , p. .
[18] COM (2008) 69 final
[19] OJ L 158, 30.4.2004, p. 77.
[20] OJ L 286, 1.11.2011, p 1.
[21] OJ L 281, 23.11.1995, p. 31.
[22] OJ L 8, 12.1.2001, p. 1.
[23] OJ L 55, 28.2.2011, p. 13.
[24] OJ L 131, 1.6.2000, p. 43.
[25] OJ L 64, 7.3.2002, p. 20.
[26] OJ L 176, 10.7.1999, p. 36.
[27] OJ L 176, 10.7.1999, p. 31.
[28] OJ L 53, 27.2.2008, p. 52.
[29] OJ L 53, 27.2.2008, p. 1.
[30] OJ L 160, 18.6.2011, p. 21.
[31] OJ L 160, 18.6.2011, p. 19.
[32] OJ L 243,15.9.2009, p.1
[33] OJ L 286,1.11.2011,p.1
[34] OJ L 349,25.11.2004,p.1
[35] ABM: Activity-Based Management – ABB: Activity-Based Budgeting.
[36] As referred to in Article 49(6)(a) or (b) of the Financial Regulation.
[37] Proposal for a Regulation of the European Parliament and of the Council establishing, as part of the Internal Security Fund, the instrument for financial support for external borders and visa (COM(2011)750.
[38] Communication from the Commission to the European Parliament and the Council – Smart Borders – options and the way ahead (COM(2011)680.
[39] Proposal for a Regulation of the European Parliament and of the Council establishing, as part of the Internal Security Fund, the instrument for financial support for external borders and visa (COM(2011)750.
[40] COM(2010)93 of 19 March 2010.
[41] COM(2011)398 of 29 June 2011.
[42] Details of management modes and references to the Financial Regulation may be found on the BudgWeb site: http://www.cc.cec/budg/man/budgmanag/budgmanag_en.html
[43] As referred to in Article 185 of the Financial Regulation.
[44] DA= Differentiated appropriations / DNA= Non-Differentiated Appropriations
[45] EFTA: European Free Trade Association.
[46] Candidate countries and, where applicable, potential candidate countries from the Western Balkans.
[47] The variation of costs and especially the high costs in 2015 and 2017 can be explained as follows: at the beginning of the development period, in 2015, commitments for the development will be made (one-time costs to cover three years of hardware, software and contractor costs). At the end of the development period, in 2017, the required commitments for the operations will be made. Costs for the administration of hardware and software vary depending on the period.
[48] Technical and/or administrative assistance and expenditure in support of the implementation of EU programmes and/or actions (former "BA" lines), indirect research, direct research.
[49] Outputs are products and services to be supplied (e.g.: number of student exchanges financed, number of km of roads built, etc.).
[50] As described in Section 1.4.2. "Specific objective(s)…"
[51] This amount includes for the central development in particular the network infrastructure, required hardware and software licenses and costs for the external contractor to develop the central system. For the national development it also includes the costs for the required hardware and software licenses as well as external contractual development
[52] This amount covers the required costs to keep the central system up and running, in particular the running of the network, the maintenance of the central system by an external contractor and the required hardware and software licenses. For the national operations, it covers the required costs for the running the national systems, in particular licenses for hardware and software, incident management, and costs for required external contractors.
[53] Technical and/or administrative assistance and expenditure in support of the implementation of EU programmes and/or actions (former "BA" lines), indirect research, direct research.
[54] CA= Contract Agent; INT= agency staff ("Intérimaire"); JED= "Jeune Expert en Délégation" (Young Experts in Delegations); LA= Local Agent; SNE= Seconded National Expert;
[55] Under the ceiling for external personnel from operational appropriations (former "BA" lines).
[56] Essentially for Structural Funds, European Agricultural Fund for Rural Development (EAFRD) and European Fisheries Fund (EFF).
[57] See points 19 and 24 of the Interinstitutional Agreement.
[58] As regards traditional own resources (customs duties, sugar levies), the amounts indicated must be net amounts, i.e. gross amounts after deduction of 25% for collection costs.