This document is an excerpt from the EUR-Lex website
Document 52013PC0097
Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL establishing a Registered Traveller Programme
Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL establishing a Registered Traveller Programme
Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL establishing a Registered Traveller Programme
/* COM/2013/097 final - 2013/0059 (COD) */
Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL establishing a Registered Traveller Programme /* COM/2013/097 final - 2013/0059 (COD) */
EXPLANATORY MEMORANDUM 1. CONTEXT OF THE PROPOSAL · Grounds for and objectives of the proposal The potential offered by new technologies
in the area of Integrated Border Management (IBM) has been under active
consideration at EU level since 2008 when the Commission
published its Communication "Preparing the next steps in border management
in the European Union"[1].
In its Communication the Commission suggested the establishment of a Registered
Traveller Programme (RTP) for pre-vetted, frequent third country travellers in
order to allow for facilitated border crossings. The RTP was endorsed in the "Stockholm
Programme"[2]
agreed by the European Council in December 2009. The European
Council in June 2011 called for "pushing forward rapidly with work on
'smart borders'". As the first response to this call, the Commission
published a Communication on 25 of October 2011[3],
on the implementation options for an Entry Exit System and the RTP. This proposal is presented together with a
proposal to establish an Entry Exit System and a proposal to amend the Community Code on the rules governing checks
at external border crossing points and surveillance at the external border
(Schengen Borders Code; SBC)[4] for the purpose of
the functioning of the two new systems. Impact assessments are presented for
each system. This proposal does not affect Customs
controls i.e. control of goods. · General context For the purpose of laying down the
conditions, criteria and detailed rules governing checks at external border
crossing points and surveillance at the external border, the SBC was adopted on
15 March 2006. In accordance with Article 7, all persons shall be subject to
checks at the external borders. Thorough checks are normally carried out on
third-country nationals, and minimum checks on EU citizens and persons enjoying
the right of free movement.[5]
However, current rules for third-country nationals could be described as
"one-size-fits-all" as the same checks apply regardless of any
differences in risk between different travellers or their frequency of travel.
This is because current legislation does not allow for exceptions to the
principle of thorough border checks except for those categories of
third-country nationals that are specifically mentioned in the SBC or in the
Local Border Traffic Regulation[6]
such as Heads of States, cross-border workers and border residents. Only a very small minority of persons
crossing the external border are able to benefit from the above-mentioned
exceptions: approximately two million equivalent to 0,2 % of total passenger
flows. This number can be expected to remain largely constant, with a marginal
increase due to an increased take up of local border traffic regimes. By the
end of 2010, 110 000 local border traffic permits were issued by Member States. In order to fulfil the requirements of the
SBC, a border guard shall establish that the third-country national fulfils all
EU entry requirements on each entry (purpose of stay in the EU, whether he or
she possesses sufficient means of subsistence and intention to return the country
of origin). This is done by interviewing a traveller and checking necessary
documents such as booking confirmation for an accomodation and for a return
flight/ferry/train. The border guard shall also monitor the authorised stay in
the Schengen area which is currently done by calculating stamps in the travel
document. Taking into account the foreseen increase
in passenger flows at the external borders, an alternative border check
procedure should be offered for frequent third-country travellers moving
gradually away from a "country-centric" approach towards a
"person-centric" approach. In practice the RTP would work at the
border the following way: A registered traveller would be issued a token in the
form of a machine-readable card containing only a unique identifier (i.e.
application number), which is swiped on arrival and departure at the border
using an automated gate. The gate would read the token and the travel document
(and visa sticker number, if applicable) and the fingerprints of the
travellers, which would be compared to the ones stored in the Central
Repository and other databases, including the Visa Information system (VIS) for
visa holders. If all checks are successful, the traveller is able to pass
through the automated gate. In case of any issue, the traveller would be
assisted by a border guard. Facilitation of border crossings would take
place also during the manual border checks as border guards would not need to
ask the "additional" questions from the registered traveller such as
the destination of travel and existence of sufficient means of subsistence. The establishment of an Entry/Exit System
(EES) with or without biometrics which would record entries and exits of third-country
nationals for short stays at the external borders would be the precondition for
allowing full automation of the border checks for registered travellers as
described above. The EES would allow the elimination of the obligation to stamp
the travel document foreseen under the Schengen Borders Code as the manual stamping
would be replaced by automatic recording and calculation of stay. Once the
stamping obligation has disappeared, consultation of the EES would become mandatory
at the external border to ensure that the third-country national has not
exceeded his/her legal entitlement of stay in the Schengen area. This
consultation could be done automatically using the Machine Readable Zone of the
travel document or fingerprints. The RTP together with the EES will improve management and control of travel flows at the border substantially
by reinforcing checks while speeding up border crossings for frequent,
pre-vetted non EU travellers. The legislative financial statement annexed
to this proposal is based on the study on the costs of an EES and an RTP
carried out by an external contractor. Based on the considerations above, the
objective of the present proposal for a Regulation of the European Parliament
and the Council is: –
to establish the procedures and conditions for
access to the RTP, –
to define the purpose, the functionalities and
responsibilities for a token[7]-Central
Repository as a system for the storage of data on registered travellers and –
to confer on the Agency for the operational
management of large-scale information systems in the area of freedom, security
and justice[8]
(the Agency), the development and operational management of the Central
Repository and the definition of technical specifications for a token. This Regulation shall constitute the core
instrument for the legal framework for the RTP. In order to complement this
legal framework, an amendment of the SBC is
also necessary as regards facilitated border crossings for
third-country nationals, and is presented in parallel with this proposal.
Furthermore, a proposal for an Entry/Exit System which records the entries and
exists of third-country nationals is presesented simultaneously. · Existing provisions in the area of the proposal Regulation of the European Parliament and
of the Council (EC) No 562/2006 establishing a Community Code on the rules
governing the movement of persons across borders (Schengen Borders Code). Regulation of the European Parliament and
of the Council (EC) No 1931/2006 laying down rules on local border traffic at
the external land borders of the Member States and amending the provisions of
the Schengen Convention. Regulation of the European Parliament and
of the Council (EC) No 767/2008 concerning the Visa Information System (VIS)
and the exchange of data between Member States on short-stay visas (VIS
Regulation). Regulation of the European Parliament and
of the Council (EC) No 810/2009 establishing a Community Code on Visas. Regulation of the European Parliament and
of the Council (EU) No 1077/2011 establishing a
European Agency for the operational management of large-scale IT systems in the
area of freedom, security and justice. 2. CONSULTATION OF INTERESTED PARTIES AND IMPACT
ASSESSMENT · Consultation of interested parties The consultation of interested parties is
described in the accompanying impact assessment. · Impact assessment The first impact assessment[9] was carried out in 2008 when
preparing the Commission Communication on this subject and the second one was finalised
in 2013[10].
The former analysed the policy options and their most likely impacts and
concluded that an RTP for third-country nationals should be established. Following a consultation and pre-screening
process the latter impact assessment analysed key implementation options. After the analysis of the options and their
sub-options, a fee based RTP for pre-vetted and pre-screened frequent
third-country travellers with the data (biometrics, alphanumeric data and
unique identifier number) stored in a Central Repository and the unique
identifier (application number) stored in a token was found to be the most
feasible option to guarantee smooth passenger flows at the external borders
without decreasing the level of security at the EU. This option minimises the
use of personal data in an EU IT-system as no personal data is retrieved by the
border guards at the first line control and it avoids the main security
drawbacks of the pure token-based system. The application of the same data
protection provisions as for the VIS and the status quo including the retention
of information for a maximum of five years would be necessary to ensure
adequate data protection provisions for the preferred option. The personal data
stored in the central repository (biometrics and alphanumeric data from
applications) should be kept for no longer than is necessary for the purposes of
the RTP. It is appropriate to keep the data for a maximum period
of five years, in order to enable data on previous applications to be taken
into account for the assessment of the subsequent RTP applications, renewal of
the access to the RTP and also taking into account the re-use of fingerprints
stored in the repository (59 months). Furthermore, a five year retention period
would allow granting access to the RTP for five years without a new
application. An initial access to the RTP should be
granted for one year. Access may be extended for two years, followed by a
further two years without a new application. A new application would need to be
submitted to renew the access once the period of five years validity has
expired.This would be in line with the issuance of a multiple-entry visa
for travellers (maximum period five years) whose data is kept in the VIS for five
years. Four fingerprints should be stored in the
central repository to ensure accurate verification of a registered traveller at
the external border crossing point. The storage of fingerprints data for four
fingers guarantees that sufficient data is available in every circumstances,
while keeping the amount of data to a reasonable level. Storing only one or two
fingerprints may cause problems for the travellers and for border authorities
at the external borders as fingerprints may be smudged, distorted or fragmented.
This is especially relevant with the RTP as the access can be granted for five
years and the same fingerprints may be re-used (59 months) if a new application
is lodged by the registered traveller. The data stored in the Central Repository
would be available for border guards only when assessing an application,
revoking/extending access to the RTP, a token is lost or stolen or any problems
occur with facilitating registered travellers' border crossings. During the
border check a border guard would receive only hit/no hit information from the Central
Repository. Therefore, the preferred option provides for a proportionate
balance between security, facilitation and data protection. In order to guarantee easy access to the
RTP, third-country nationals should be able to lodge an application for the RTP
at the consulate of any Member State or at any external border crossing point. This
would guarantee a larger number of participants in the programme, thus helping
Member States to manage their passenger flows at the external border crossing
points. Applications should be examined on the basis of the same criteria as
for issuing multiple-entry visa. However, examination
of applications lodged by family members of citizens of the Union shall be done
by using the same criteria as used when examining their entry visa
applications. Member States may decide whether to use and install Automated Border
Control systems at their external border crossing points. It is clear that the
total impact of combining the same vetting criteria as for multiple-entry visas
with fully automated border control has the highest impact on facilitating registered
travellers' border crossings. Furthermore, it maintains a high level of
security while respecting fundamental rights. It is also the least expensive
approach taking into account the costs associated with stricter vetting
procedure and semi-automated border control. Full automation would be a
cost-effective tool especially at the busiest border crossing points where
capacity problem and queues exist already nowadays. However, each Member State
would have to assess for each individual border crossing point, whether Automated
Border Control system would bring added value to the throughput capacity of the
border crossing point and thus decrease travellers’ border crossing time,
release human resources and give a tool for a Member State to manage its
increasing passenger flows. Whether or not Automated Border Control facilities
are used, the facilitation of border crossing should apply at all external
border crossing points for third-country nationals granted access to the RTP.
In order to ensure reliable verification of applicants, it will be necessary to
process biometric data (fingerprints) in the Central Repository and to verify
biometrics at the external border crossing points.[11] The Impact Assessment Board (IAB) reviewed
the draft impact assessment and delivered its opinion on 14 March 2012. The
recommendations for improvement were accommodated in the final version of the
report. In particular, the following changes were made: baseline scenario was
sharpened and clarified; problem definition was widened including lessons
learnt from the development of other large scale IT-systems and lessons learnt
from Automated Border Control systems and national RTPs implemented in Member
States and non-EU states; links to the Annexes and to the 2008 impact
assessment were improved; stakeholders views were reported as widely as
possible taking into account that views expressed by the stakeholders were
quite general; the explanation of method used for calculating the costs was
expanded and the expected costs and benefits for different stakeholders were
more rigorously reported; re-affectation of border guards taking into account
the expected increase in travel flows was clarified; and finally a clear
overview on the European Data Protection Supervisor's views was added. 3. LEGAL ELEMENTS OF THE PROPOSAL · Summary of the proposed actions The purpose and functionalities of the RTP
including a token-Central Repository and the responsibilities for these must be
defined. Furthermore, a mandate needs to be given to the Agency for the
operational management of large-scale IT systems in the area of freedom,
security and justice to develop, establish and operationally manage the Central
Repository and to define technical specifications for a token on the basis of
prior definition of business requirements. The procedures and conditions for
examining an RTP application and the storage of data on registered travellers shall
be established. A detailed explanation of the proposal by article can be found
in a separate Commission Staff Working paper. · Legal basis Articles 74, 77(2)(b) and 77(2)(d) of the
Treaty on the Functioning of the European Union are the legal basis for this Regulation. Article 77(2)(b) and (d)
provides the appropriate legal basis for further specifying the measures on the
crossing of the external borders of the Member States and develop standards and
procedures to be followed by Member States in carrying out checks on persons at
such borders. Article 74 provides the appropriate legal basis for setting-up
and maintaining the RTP and for procedures for the exchange of information
between Member States, ensuring cooperation between the relevant authorities of
the Member States’ as well as between those authorities and the Commission in
the areas covered by Title V of the Treaty. · Subsidiarity principle Under Articles 74, 77(2)(b) and 77(2)(d) of
the Treaty on the Functioning of the European Union, the Union has the power to
adopt measures relating to the checks on persons and efficient monitoring of
the crossing of external borders of the Member States. The current EU provisions on the crossing of the external borders of
the Member States need to be modified to take into account the increasing
passenger flows and possibilities offered by the new technology. A common
regime is needed in order to establish harmonised rules
on facilitated border crossings for registered travellers so that the
facilitation applies at all Schengen border crossing points without separate
vetting and without decreasing security. Therefore, the objective of the proposal
cannot be sufficiently achieved by the Member States. · Proportionality principle Article 5 of the Treaty on the European
Union states that action by the Union shall not go beyond what is necessary to achieve the objectives of the Treaty. The form
chosen for this EU action must enable the proposal to achieve its objective and
be implemented as effectively as possible. The proposed initiative constitutes
a further development of the Schengen acquis in order to ensure that common
rules at external borders are applied in the same way in all the Member States.
The proposal therefore complies with the proportionality principle. · Choice of instrument Proposed instruments: regulation. Other means would not be adequate for the following
reason(s): The present proposal will lay down rules on
border checks at the external borders which are uniform for all Member States.
As a consequence, only a Regulation can be chosen as a legal instrument. · Fundamental rights The proposed regulation may have an impact
on fundamental rights, notably on the protection of personal data (Article 8 of
the Charter of Fundamental Rights of the EU) and right to an effective remedy
(Article 47 of the Charter). The proposal contains safeguards, in
particular under Articles 15 and 16 in cases the access granted to the RTP is
refused or revoked, which provide for the right to an effective remedy, and
under Articles 48 and 49 concerning the right of information, access,
correction and deletion concerning the data used for the purpose of the Regulation
which also include the right to an effective remedy as provided for under
Article 51. 4. BUDGETARY IMPLICATION The Commission's proposal for the next
multi-annual financial framework (MFF) includes a proposal of 4,6 billion EUR
for the Internal Security Fund (ISF) for the period 2014-2020. In the proposal,
1,1 billion EUR is set aside as an indicative amount for the development of an
EES and an RTP assuming development costs would only start from 2015.[12] This financial support would cover not only
the costs of central components for the entire MFF period (EU level, both
development and operational cost) but also the development costs for the
national, Member States, components of these two systems, within the resources
available. Providing financial support for national development costs would
ensure that difficult economic circumstances at national level do not
jeopardise or delay the projects. This includes an amount of 145 million EUR
for costs at national level related to hosting the IT systems, the space for
hosting the end-user equipment, and the space for operators' offices. It also
includes an amount of 341 million EUR for costs at national level related to
maintenance such as for hardware and software licenses. Once the new systems would be operational,
future operational costs in the Member States could be supported by their
national programmes. It is proposed that Member States may use 50% of the
allocations under the national programmes to support operating costs of IT
systems used for the management of migration flows
across the external borders of the Union. These costs may include the cost for
the management of VIS, SIS and new systems set up in the period, staff costs,
service costs, rental of secure premises etc. Thus, the future instrument would
ensure continuity of funding, where appropriate. The costs on automation would greatly vary
depending on the number of automated gates that would be implemented. 5. ADDITIONAL INFORMATION · Participation This proposal builds upon the Schengen acquis
in that it concerns the crossing of external borders. Therefore the following
consequences in relation to the various Protocols and Agreements with
associated countries have to be considered: Denmark: In accordance with Articles 1 and 2 of the
Protocol (no 22) on the position of Denmark, annexed to the Treaty on European
Union (TEU) and the Treaty on the Functioning of the European Union (TFEU),
Denmark does not take part in the adoption by the Council of measures pursuant
to Title V of part Three of the TFEU. Given that this Regulation builds upon the
Schengen acquis, Denmark shall, in accordance with Article 4 of that
Protocol decide within a period of six months after the Council has decided on this
Regulation whether it will implement it in its national law. United Kingdom and Ireland: In accordance with Articles 4 and 5 of the
Protocol integrating the Schengen acquis into the framework of the
European Union and Council Decision 2000/365/EC of 29 May 2000 concerning the
request of the United Kingdom of Great Britain and Northern Ireland, and
Council Decision 2002/192/EC of 28 February 2002 concerning Ireland's request
to take part in some of the provisions of the Schengen acquis, the
United Kingdom and Ireland do not take part in the adoption of the Registered
Traveller Programme Regulation and are not bound by them or subject to its
application. Iceland and Norway: The procedures laid down in the Association
Agreement concluded by the Council and the Republic of Iceland and the Kingdom
of Norway concerning the latter's association with the implementation,
application and development of the Schengen acquis are applicable, since the
present proposal builds on the Schengen acquis as defined in Annex A of
this Agreement[13]. Switzerland: This Regulation constitutes a development
of the provisions of the Schengen acquis, as provided for by the Agreement between the
European Union, the European Community and the Swiss Confederation on the latter's
association with the implementation, application and development of the
Schengen acquis[14]. Liechtenstein: This Regulation constitutes
a development of the provisions of the Schengen acquis, as provided for by the Protocol between the European Union, the European Community,
the Swiss Confederation and the Principality of Liechtenstein on the accession
of the Principality of Liechtenstein to the Agreement between the European
Union, the European Community and the Swiss Confederation on the Swiss
Confederation's association with the implementation, application and development
of the Schengen acquis[15]. Cyprus: This Regulation
constitutes an act building on the Schengen acquis or otherwise related
to it, as provided for by Article 3(2) of the 2003 Act of Accession. Bulgaria and Romania: This Regulation
constitutes an act building on the Schengen acquis or otherwise related
to it, as provided for by Article 4(2) of the 2005 Act of Accession. 2013/0059 (COD) Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT
AND OF THE COUNCIL establishing a Registered Traveller
Programme THE EUROPEAN PARLIAMENT AND THE
COUNCIL OF THE EUROPEAN UNION, Having regard to the Treaty of the
Functioning of the European Union, and in particular Article 74 and 77(2)(b)
and (d) thereof, Having regard to the proposal from the European
Commission[16], After transmission of the draft legislative
act to the national parliaments, Having regard to the opinion of the
European Economic and Social Committee[17], Having regard to the opinion of the
Committee of the Regions[18], After consulting the European Data
Protection Supervisor, Acting in accordance with the ordinary
legislative procedure, Whereas: (1)
Border checks must ensure a high level of
security while limiting waiting times to the greatest extent possible. Increasing
travel flows at the external borders contributes to the need for finding new
solutions to meet these objectives. A greater differentiation of border checks
will allow Member States to use simplified checks for third-country nationals
who are assesed as low risk. (2)
Automated border control
systems can be used by EU citizens and have proven their efficiency in speeding
up border checks. Their use should be made possible for third-country nationals
also, to contribute to limiting waiting time while ensuring a high level of
security. (3)
The Communication of the Commission
of 13 February 2008 entitled 'preparing the next steps in border management in
the European Union'[19]
outlined the need for the setting-up of a Registered Traveller Programme (RTP)
for frequent third-country national travellers and the introduction of
Automated Border Control facilities in order to facilitate the crossing of the
external border as part of the European integrated border management strategy. (4)
The European Council of 19
and 20 June 2008 underlined the importance of continuing to work on the
development of the EU's integrated border management strategy, including better use of modern technologies to improve the
management of external borders. (5)
The Communication of the
Commission of 10 June 2009 entitled 'an area of freedom, security and justice
serving the citizens'[20]
highlighted the need for the establishment of a RTP to ensure smooth entry into
the Union. (6)
The European Council of 23
and 24 of June 2011 called at its meeting for work on "smart borders"
to be pushed forward rapidly. As a first response to this call, the Commission
published a Communication "Smart borders – options and the way ahead"
on 25 of October 2011. (7)
The RTP should have the
purpose of facilitating the crossing of the external borders of the Union by
frequent, pre-screened and pre-vetted third-country travellers. (8)
The provisions on the RTP
should be common to all Member States, in order to allow a registered traveller
to benefit from facilitated border checks at all Member States' external border
crossing points without the need for separate pre-screening and pre-vetting by
each individual Member State. (9)
It is necessary to specify the objectives of the
RTP and its technical architecture, to lay down rules concerning its operation
and use and to define responsibilities for the system, the categories of data
to be entered into the system, the purposes for which the data are to be
entered, the criteria for their entry, the authorities authorised to access the
data and further rules on data processing and the protection of personal data. (10)
The Agency for the
operational management of large-scale information systems in the area of
freedom, security and justice established by Regulation EU No 1077/2011 of the European Parliament and of the Council of
25 October 2011 establishing a European Agency for the operational management
of large-scale IT systems in the area of freedom, security and justice[21] (hereinafter
the Agency) should be responsible for the development and operational
management of a centralised system consisting of a Central Repository, a Backup
Central Repository, the Uniform interfaces in each Member States, the Network
Entry Points and the communication infrastructure between the Central
Repository and the Network Entry Points. Furthermore, the Agency should be
responsible for the definition of technical specifications for a token to
guarantee interoperability of the RTP across the Union. Member States should be
responsible for the development and operational management of their own
national systems. (11)
The Central Repository
should be connected to the national systems of the Member States, in order to
enable competent Member States' authorities to process data related to RTP
applications. (12)
In order to ensure reliable
verification of a registered traveller, it is necessary to store the unique
identifier (application number), biometric data (fingerprints) and alphanumeric
data taken from the application in a Central Repository and the unique
identifier in a token and verify biometrics at the external borders. The
alphanumeric data and fingerprints should be stored in separate sections in a Central
Repository and they should not be linked. The link between the alphanumeric
data and fingerprints should be established only by the unique identifier. (13)
Third-country nationals
wishing to particiapte in the RTP should prove the need or justify the
intention to travel frequently or regularly, in particular due to their
occupational or family status, such as business person, civil servant engaged
in regular official contacts with Member States and the Union institutions,
representative of civil society organisations travelling for the purpose of
educational training, seminars and conferences, researcher, participating in
economic activities, family member of a citizen of the Union, family member of a
third-country national legally residing in a Member State. (14)
Third-country nationals
holding a multiple-entry visa or D-visa valid for at least one year or holders
of a residence permit issued by a Member State should, as a general rule, be
granted access to the RTP, if they so request. (15)
Where a third-country
national applies for a multiple-entry visa and for access to the RTP, the
competent authorities may decide to examine and decide on both applications at
the same time, on the basis of the same interview and the same supporting
documents. (16)
Family members of citizens
of the Union should, as a general rule, be granted access to the RTP. Family members of citizens of the Union should also able to benefit from
the RTP even if they are not residing within the Union territory but travel
frequently to a Member State in order to accompany or to join the Union citizen
concerned. Checks on family members of citizens of the Union crossing the
external borders should be carried out in accordance with Directive 2004/38/EC of
the European Parliament and of the Council of 29 April 2004 on the right of
citizens of the Union and their family members to move and reside freely within
the territory of the Member States[22].
(17)
The criteria used for the examination of applications
lodged by family members of citizens of the Union should be the same as those
used for the examination of visa applications lodged by family members of
citizens of the Union. This would be in line with the existing border
management policy. (18)
It is necessary to define
the competent Member States’ authorities, the duly authorised staff of which
have access to enter, amend, delete, consult or search data for the specific
purposes of the RTP in accordance with this Regulation to the extent necessary
for the performance of their tasks. (19)
Any processing of RTP data
stored in the Central Repository should be proportionate to the objectives
pursued and necessary for the performance of tasks of the competent
authorities. When using the RTP, the competent authorities should ensure that
the human dignity and integrity of the persons whose data are requested are
respected and should not discriminate against persons on grounds of sex, racial
or ethnic origin, religion or belief, disability, age or sexual orientation. (20)
Contingency plans should be
in place and those plans should be made clear to travellers, airlines/carriers
and all authorities working at the border crossing point. If a registered
traveller, for example, is unable, for any reason, to use the Automated Border Control
system, and is redirected towards a manual border check, due attention should
be made that the ensuing procedures are in full compliance with fundamental
rights. (21)
The personal data stored in
the Central Repository (biometrics and alphanumeric) should be kept for no
longer than is necessary for the purposes of the RTP. It is appropriate to keep
the data for a maximum period of five years, in order to enable alphanumeric
data on previous applications to be taken into account for the assessment of subsequent
RTP applications and also taking into account the
re-use of fingerprints stored in the repository (59 months). A shorter period would not be sufficient for those
purposes. The data should be deleted after the period of five years, unless
there are grounds to delete it earlier. The maximum period of validity for
access to the RTP should be five years. (22)
In order to facilitate the
procedure for any subsequent application, it should be possible to copy
fingerprints from the first entry into the Central Repository within a period
of 59 months. Once this period of time has elapsed, the fingerprints should be
collected again. (23)
In order to facilitate the
application procedure, it should be possible for an applicant to lodge an
application for access to the RTP at the consulate of any Member State or at any
external border crossing point. Any Member State should be able to examine and
decide on the application based on the common application form and common
eligibility rules and criteria. As a general rule, an interview should be
conducted. (24)
Due to the registration of
biometric data in the Central Repository, the personal appearance of the
applicant - at least for the first application - should be a basic requirement
for the examination of requests for access to the RTP and decisions related
thereto. (25)
During the automated border
check procedure verification of identity at the external borders should be done
against the biometrics stored in the Central Repository. Verification should
only be possible by physically producing the token and fingerprints at the same
time. During the automated and manual border check procedure verification of
access granted should be done against the alphanumeric data stored in the Central
Repository by physically producing the token at the borders. Verification of
identity and access granted should produce only a hit/no hit result for border
guards carrying out first line border checks. (26)
Appropriate measures for the
monitoring and evaluation of this Regulation should be established. The effective
monitoring of the application of this Regulation requires evaluation at regular
intervals. (27)
Statistical data is an
important means for monitoring border check procedures and can serve as an
efficient management tool. Such data should therefore be compiled regularly in
a common format. (28)
Directive 95/46/EC of the
European Parliament and of the Council of 24 October 1995 on the protection of
individuals with regard to the processing of personal data and on the free
movement of such data[23]
applies to the processing of personal data by the Member States in application
of this Regulation. However, certain points should be set out in more detail in
respect to the legitimacy of processing of personal data, the responsibility
for the processing of data, safeguarding the rights of the data subjects and
the supervision on data protection. (29)
Regulation (EC) No 45/2001
of 18 December 2000 of the European Parliament and the Council on the
protection of individuals with regard to the processing of personal data by the
Community institutions and bodies and on the free movement of such data[24] applies to the
activities of the Union institutions or bodies when carrying out their tasks as
responsible for the operational management of the token-repository. However,
certain points should be set out in more detail in respect to the legitimacy of
processing of personal data, the responsibility for the processing of data and
the supervision on data protection. (30)
The supervisory authorities
established in accordance with Article 28 of Directive 95/46/EC should monitor
the lawfulness of the processing of personal data by the Member States, whilst
the European Data Protection Supervisor as established by Regulation (EC) No
45/2001 should monitor the activities of the Union institutions and bodies in
relation to the processing of personal data, taking into account the limited
tasks of the Union institutions and bodies with regard to the data themselves. (31)
The European Data Protection
Supervisor and the supervisory authorities should actively cooperate with each
other to ensure coordinated supervision of the RTP. (32)
The Member States should lay
down rules on penalties applicable to infringements of the provisions of this
Regulation and ensure that they are implemented. (33)
In order to ensure uniform conditions
for the implementation of this Regulation, implementing powers should be conferred
to the Commission. Those powers should be exercised in accordance with
Regulation (EU) No 182/2011 of the European Parliament and of the Council of 16
February 2011 laying down the rules and general principles concerning
mechanisms for control by Member States of the Commission's exercise of
implementing powers[25]. (34)
In order to adopt technical
amendments of the annexes, the power to adopt acts in accordance with Article
290 of the Treaty on the Functioning of the European Union should be delegated
to the Commission in respect of the adoption of technical amendments to the
annexes in accordance with Article 58. It is of particular importance that the
Commission carry out appropriate consultations during its preparatory work,
including at expert level. The Commission, when preparing and drawing-up
delegated acts, should ensure a simultaneous, timely and appropriate
transmission of relevant documents to the European Parliament and to the Council. (35)
This Regulation respects the
fundamental rights and observes the principles recognised in particular by the
Charter of Fundamental Rights of the European Union, notably the protection of personal data (Article 8) and the right to an effective remedy (Article 51), and has to be applied in accordance with those rights and principles. (36)
Since the establishment of a
common RTP and the creation of common obligations, conditions and procedures
for the storage of data on registered travellers cannot be sufficiently
achieved by the Member States alone and can therefore, by virtue of the scale
and impact of the action, be better achieved at Union level, the Union may
adopt measures, in accordance with the principle of subsidiarity as set out in
Article 5 of the Treaty on European Union. In accordance with the principle of
proportionality, as set out in that Article, the Regulation does not go beyond
what is necessary in order to achieve this objective. (37)
In accordance with Articles
1 and 2 of the Protocol (No 22) on the position of Denmark, annexed to the
Treaty on European Union and the Treaty on the Functioning of the European
Union, Denmark is not taking part in the adoption of this Regulation and is not
bound by it or subject to its application. Given that this Regulation builds
upon the Schengen acquis, Denmark shall, in accordance with Article 4 of that
Protocol, decide within a period of six months after the Council has decided on
this Regulation whether it will implement it in its national law. (38)
This Regulation constitutes
a development of the provisions of the Schengen acquis in which the
United Kingdom does not take part, in accordance with Council Decision
2000/365/EC of 29 May 2000 concerning the request of the United Kingdom of
Great Britain and Northern Ireland to take part in some of the provisions of
the Schengen acquis[26],
the United Kingdom is therefore not taking part in its adoption and is not
bound by it or subject to its application. (39)
This Regulation constitutes
a development of the provisions of the Schengen acquis in which Ireland
does not take part, in accordance with Council Decision 2002/192/EC of 28
February 2002 concerning Ireland’s request to take part in some of the
provisions of the Schengen acquis[27];
Ireland is therefore not taking part in its adoption and is not bound by it or
subject to its application. (40)
As regards Iceland and
Norway, this Regulation constitutes a development of the provisions of the
Schengen acquis within the meaning of the Agreement concluded by the
Council of the European Union and the Republic of Iceland and the Kingdom of
Norway concerning the latters' association with the implementation, application
and development of the Schengen acquis[28],
which fall within the area referred to in Article 1, point A of Council
Decision 1999/437/EC of 17 May 1999 on certain arrangements for the application
of that Agreement[29]. (41)
As regards Switzerland, this Regulation constitutes a
development of the provisions of the Schengen acquis withing
the meaning of the Agreement between
the European Union, the European Community and the Swiss Confederation on the Swiss
Confederation's association with the implementation, application and
development of the Schengen acquis[30] which
fall within the area referred to in Article 1, point A of Council Decision 1999/437/EC of 17 May 1999 read
in conjunction with Article 3 of Council Decision 2008/146/EC[31]. (42)
As regards Liechtenstein, this Regulation constitutes a development of the provisions of
the Schengen acquis, as provided for by the Protocol between
the European Union, the European Community, the Swiss Confederation and the
Principality of Liechtenstein on the accession of the Principality of
Liechtenstein to the Agreement between the European Union, the European
Community and the Swiss Confederation on the Swiss Confederation's association
with the implementation, application and development of the Schengen acquis[32]
which fall within the area referred
to in Article 1, point A of Council
Decision 1999/437/EC of 17 May 1999 read in conjunction with Article 3 of
Council Decision 2011/350/EU[33]. (43)
As regards Cyprus, this
Regulation constitutes an act building upon, or otherwise related to, the
Schengen acquis, within the meaning of Article 3(2) of the 2003 Act of
Accession. (44)
This Regulation constitutes
an act building upon, or otherwise related to, the Schengen acquis within
the meaning of Article 4(2) of the 2005 Act of Accession. (45)
As the registered travellers have been subjected
to all necessary controls and pre-screening by those Member States fully implementing
the Schengen acquis and do not represent any risk for Bulgaria, Romania and
Cyprus, the latter Member States may recognise unilaterally the RTP membership
of the registered traveller to benefit from facilitation of border checks at
their external borders. HAVE ADOPTED THIS REGULATION: CHAPTER
I General
provisions Article 1 Subject
matter This Regulation establishes the conditions
and procedures for access to the Registered Traveller Programme (RTP) and
defines the purpose, the functionalities and responsibilities for the token-Central
Repository as a system for the storage of data on registered travellers within
the RTP. Article
2 Set-up
of the RTP 1.
The RTP shall be based on a system for the
storage of data on registered travellers which relies on tokens kept by the
individual travellers on the one hand and on a Central Repository, a centrally
located physical storage of the RTP data, on the other, together referred to as
the "token-Central Repository". 2.
The technical architecture of the token-Central
Repository is further determined in Article 21. 3.
The Agency for the operational management of
large-scale information systems in the area of freedom, security and justice
(hereinafter the Agency) is hereby entrusted with the tasks of development and
operational management of the Central Repository, the Uniform Interface in each
Member State, the Network Entry Points and the Communication Infrastructure
between the Central Repository and the Network Entry Points. The Agency shall
also be responsible for the definition of technical specifications for a token. Article 3 Definitions For the purposes of
this Regulation, the following definitions shall apply: (1)
'Registered Traveller Programme' (RTP) means a
programme which allows third-country nationals who have been pre-vetted and
granted access to the RTP to benefit from facilitation of border checks at the
Union external border; (2)
'Registered traveller' means a third-country
national who has been granted access to the RTP in accordance with this
Regulation; (3)
'Agency' means the European
Аgency for the operational
management of large-scale IT systems in the area of freedom, security and
justice established by Regulation (EU) No 1077/2011; (4)
'Central Repository' means the centrally located
physical storage of the RTP data; (5)
'token' means a device used to store a unique
identifier given to a registered traveller. The unique identifier links the
traveller and his/her data entered in the Central Repository; (6)
'operational management' means all the tasks
necessary to keep large-scale IT systems functioning, including responsibility
for the communication infrastructure used by them; (7)
'development' means all the tasks necessary to
create a large-scale IT system, including the communication infrastructure used
by it; (8)
'competent authorities' means visa and border
authorities within the meaning of Article 4(3) of Regulation (EC) No 767/2008
of the European Parliament and of the Council[34]
and authorities assigned, in accordance with national law to carry out checks on
persons at the external border crossing points in accordance with Regulation (EC) No 562/2006 of the European Parliament and of
the Council[35]; (9)
'third‑country national' or 'third-country
traveller' means any person who is not a citizen of the Union within the
meaning of Article 20 of the Treaty or a citizen of a third country who under
agreements between the Union and its Member States, on the one hand, and those
third countries, on the other hand, enjoy rights of free movement equivalent to
those of Union citizens; (10)
'application form' means a uniform application
form for access to the RTP as set out in Annex 1; (11)
'biometric data' means fingerprints; (12)
'travel document' means a passport or other
equivalent document entitling the holder to cross the external borders and to
which a visa may be affixed; (13)
'verification' means the process of comparison
of sets of data to establish the validity of a claimed identity (one-to-one
check); (14)
'alphanumeric data' means data represented by
letters, digits, special characters, space and punctuation marks; (15)
'National System' means the hardware, software
and national communication infrastructure to connect the end user devices of
the competent authorities as defined in Article 23(2) with the Network Entry
Points in each Member State. (16)
'token-Central Repository' means a system for
the storage of data on registered travellers consisting of a Central Repository
and a token; (17)
'Member State responsible' means the Member
State which has entered the data in the Central Repository; (18)
'common application centre' means a centre as
referred to in Article 41(2) of Regulation (EC) No 810/2009
of the European Parliament and of the Council[36]; (19)
'supervisory authority" means the
supervisory authority established in accordance with Article 28 of Directive
95/46/EC. Chapter II Procedures and conditions for lodging
an application for access to the RTP Article
4 Authorities and Member States competent for examining and deciding
on an application for access to the RTP The competent authorities for examining and
deciding on an application for access to the RTP shall be the duly authorised
staff of visa and border authorities of any Member State. Article 5 Lodging an application 1.
A third-country national may lodge an
application for access to the RTP at any Member State's consulate, at any
common application centre or at any external border crossing point. An online
application form may be accepted, where available. 2.
Applicants may be required to obtain an
appointment for the lodging of an application. The appointment shall, as a
general rule, take place within a period of two weeks from the date when the
appointment was requested. 3.
Where an applicant is applying for access to the
RTP for the first time, he/she shall be required to appear in person, in order
to provide his/her fingerprints, for interview and for the travel document to
be checked. 4.
Where an applicant submits an on-line
application or falls within the scope of paragraph 5, the biometric data shall
be collected, the travel document checked and an interview carried out, if
applicable, when the decision on the application is made and the token is
issued. 5.
Without prejudice to Article 8, the competent
authorities may waive the requirement referred to in paragraph 3 if the
applicant is the holder of a residence permit or a residence card or if the
applicant is known to them for his/her integrity and reliability. 6.
When lodging the application, the applicant
shall: (a)
be at least 12 years old; (b)
present an application form in accordance with
Article 6; (c)
present a travel document in accordance with
Article 7; (d)
allow collection of his/her fingerprints in
accordance with Article 8; (e)
provide supporting
documents in accordance with Article 9 and Annex II, if applicable; (f)
pay the fee in accordance with Article 10. 7.
The applicant may withdraw his/her application
at any time before a decision has been taken on the application. Article 6 Application form 1.
Each applicant shall submit a completed and
signed application form. Minors shall submit an application form signed by a
person exercising permanent parental authority or legal guardianship. 2.
Member States shall make the application form
widely available and easily accessible to applicants free of charge. 3.
The application form shall be available in at
least the following languages: official language(s) of the Member State in
question, the official language(s) of the third country or countries where the
application may be lodged and the official language(s) of neighbouring third
countries, where applicable. 4.
Member States shall inform applicants of the
language(s) which may be used when filling in the application form. Article 7 Travel document The applicant shall present a Machine
Readable Travel Document (MRTD) or an electronic Machine Readable Travel Document
(eMRTD) which is valid for at least the period of access requested to the RTP
and has been issued within the previous five years. The travel document shall have
the requisite visa affixed to it or be accompanied by the requisite machine
readable residence permit or residence card. Alternatively, the applicant may
apply for a visa at the same time as applying for access to the RTP, where
applicable. Article 8 Biometric data 1.
Where the applicant has not previously applied
for access to the RTP, Member States shall collect biometric data from applicants
comprising their four fingerprints taken flat and collected digitally in
accordance with the safeguards laid down in the Council of Europe's Convention
for the Protection of Human Rights and Fundamental Freedoms, in the Charter of
Fundamental Rights of the European Union and in the United Nations Convention
on the Rights of the Child. 2.
If it is not possible to collect four
fingerprints the maximum number of fingerprints shall be collected. Member
States shall ensure that appropriate procedures guaranteeing the dignity of the
applicant are in place should difficulties be encountered with collecting
fingerprints. 3.
Where fingerprints collected from the applicant
as part of an earlier application were entered in the Central Repository for
the first time less than 59 months before the date of the new application, they
may be copied to the subsequent application. However, where there is reasonable doubt
regarding the identity of the applicant or it cannot be immediately confirmed
that the fingerprints were collected within the period specified in the first
subparagraph, the competent authorities shall collect fingerprints from the
applicant. 4.
The specifications for the resolution and use of
fingerprints for biometric verification in the RTP shall be decided by the
Commission in accordance with Article 37. 5.
The fingerprints shall be collected by qualified
and duly authorised staff of the competent authorities. 6.
The fingerprints shall not be linked with the
alphanumeric data and they shall be entered in separate sections in the Central
Repository. Article 9 Supporting documents 1.
When applying for access to the RTP, the
applicant shall present: (a)
documents indicating the purposes of the journeys;
(b)
proof of sufficient means of subsistence in
relation to the travel and accommodation for the next two trips; (c)
documents establishing his/her occupational or
family status, such as business person, civil servant engaged in regular
official contacts with Member States and the Union institutions, representative
of civil society organisations, person travelling for the purpose of
educational training, seminars and conferences, person participating in
economic activities, family member of a citizen of the Union, family member of
a third-country nationals legally residing in a Member State. 2.
Where the applicant is a family member of a
citizen of the Union enjoying the right to free movement, the applicant shall only
be required to present a residence card issued by a Member State, where
applicable, and evidence of his/her identity, nationality and family ties with
a Union citizen to whom Directive 2004/38/EC applies. 3.
Where a third-country national lodges an
application for a multiple-entry visa and an application for access to the RTP
at the same time and in the same place, only one set of supporting documents shall
be required. 4.
If a multiple-entry visa holder lodges an
application for a RTP at the same place where a multiple-entry visa was issued
but does not do so at the same time, the supporting documents provided for the
multiple-entry visa application may be used in the assessment of the RTP
application. If there is any doubt whether the supporting documents provided
earlier are up to date, a Member State may request new supporting documents
within a period of ten working days. A non-exhaustive list of supporting documents
which competent authorities may request from the applicant is set out in Annex II.
5.
Member States may require applicants to present
proof of sponsorship and/or private accommodation by completing a form drawn up
by the Member State concerned. Such proof may be requested for the next two
trips as a maximum. That form shall indicate in particular: (a)
the validity period of sponsorship and/or of
accommodation; (b)
whether its purpose is proof of sponsorship and/or
of accommodation; (c)
whether the host is an individual person, a
company or an organisation; (d)
the host's identity and contact details; (e)
the invited applicant(s); (f)
the address of the accommodation; (g)
possible family ties with the host. In addition to the Member State's official
language(s) the form shall be drawn up in at least one other official language of
the institutions of the European Union. The form shall provide the person
signing such a form with the information specified in Article 48(1). A specimen
of the form shall be notified to the Commission. 6.
The competent authorities may waive one or more
of the requirements laid down in paragraph 1 if the applicant holds a
residence permit or if the applicant is known to them for his/her integrity and
reliability. Article 10 Fee 1.
Applicants shall pay a fee as specified in Annex
III. 2.
The fee shall be revised regularly in order to reflect the administrative costs. The Commission shall be empowered to adopt delegated acts concerning
the adjustment of the fee in accordance with Article 59. 3.
The fee shall be charged in euro, in the
national currency of the third country or in the currency usually used in the
third country where the application is lodged and shall not be refundable
regardless of the outcome of the application or if an
application is withdrawn. 4.
When charged in a currency other than euro, the
amount of the fee charged in that currency shall be determined and regularly
reviewed in application of the euro foreign exchange reference rate established
by the European Central Bank. The amount charged may be rounded up. 5.
The applicant shall be given a printed or
electronic receipt for the fee paid. CHAPTER
III Examination of and decision on
applications Article 11 Admissibility 1.
The competent authorities shall verify that: –
the applicant is at least 12 years old; –
the application contains the items referred to
in Article 5(6)(b), (c) and (e); –
the biometric data of the applicant have been
collected; –
the fee has been collected. 2.
Where the competent authorities find
that the conditions referred to in
paragraph 1 have been fulfilled, the application shall be admissible and the
competent authorities shall: – follow the procedures described in Article 24; –
further examine the application. 3.
Where the competent authorities find that the
conditions referred to in paragraph 1
have not been fulfilled, the application shall be inadmissible and the
competent authorities shall not
examine the application and without
delay: – return the application form and
any documents submitted by the applicant; –
destroy the
collected biometric data. Article 12 Examination of an application 1.
The examination of applications and interviews,
where appropriate, shall only be carried out by the competent authorities
referred to in Article 4. 2.
In the examination of an application, the
competent authority shall verify: (a)
that the applicant fulfils the entry conditions
set out in Article 5(1) of Regulation (EU) No 562/2006; (b)
that the applicant's travel document, visa,
residence permit or residence card presented, as applicable, are valid and not
false, counterfeited or forged; (c)
that the applicant proves the need for or
justifies the intention to travel frequently and/or regularly; (d)
that the applicant has not previously exceeded
the maximum duration of authorised stay in the territory of the Member States
and that he/she proves his/her integrity and reliability, in particular a genuine
intention to leave the territory in due time; (e)
the applicant's
justification of the purpose and conditions of the intended stays; (f)
that the applicant proves his/her financial
situation in the country of origin or residence and possesses sufficient means
of subsistence both for the duration of the intended stay(s) and for the return
to his/her country of origin or residence, or that he/he is in a position to
acquire such means lawfully; (g)
that the applicant is not a person for whom an
alert has been issued in the Schengen Information System (SIS); (h)
that the applicant is not considered to be a
threat to public policy, internal security, public health or the international
relations of any of the Member States, in particular where no alert has been
issued in Member States’ national databases for the purpose of refusing entry on
the same grounds; (i)
whether the applicant's access to the RTP has
previously been granted, extended, refused or revoked. When verifying that the applicant fulfils the
entry conditions set out in Article 5(1) of Regulation No 562/2006, particular
consideration shall be given to assessing whether the applicant presents a risk
of illegal immigration or a risk to the security of the Member States and
whether the applicant intends to leave the territory of the Member States within the authorised stay. 3.
The means of subsistence for the intended stays
shall be assessed according to the duration(s) and the purpose(s) of the
stay(s) and by reference to average prices in the Member State(s) concerned for
board and lodging in budget accommodation, on the basis of the reference
amounts set by the Member States in accordance with Article 34 of the Schengen
Borders Code. A proof of sponsorship and/or private accommodation may also
constitute evidence of sufficient means of subsistence. 4.
The examination of an application shall be based
in particular on the authenticity and reliability of the documents submitted
and on the veracity and reliability of the statements made by the applicant. If
a Member State responsible for examining an application has any doubts on the
applicant, his/her statements or supporting documents that have been provided,
it may consult other Member States before any decision on the application is
taken. 5.
During the examination of an application, the
competent authorities may, in justified cases, request additional documents as laid
down in Article 9. 6.
A previous refusal of access to the RTP shall
not lead to an automatic refusal of a new application. A new application shall
be assessed on the basis of all available information. 7.
The criteria used for the examination of
applications lodged by family members of citizens of the Union shall be the
same as those used for the examination of their visa applications. Article 13 Decision on the application 1.
An application which is admissible pursuant to
Article 11 shall be decided on by the competent authorities within 25 calendar
days from the date of submission. 2.
Unless the application has been found
inadmissible or has been withdrawn by the applicant, a decision shall be taken
to: (a)
grant access to the RTP, in accordance with
Article 14, or (b)
refuse access to the RTP, in accordance with
Article 15. CHAPTER
IV Granting, extending, refusing and revoking
access to the RTP Article 14 Grant and extension of access to
the RTP 1.
Initial access to the RTP shall be granted for
one year. Access may be extended for two years upon request, followed by a
further two years without a new application in the case of travellers who have
followed the rules and regulations laid down for crossing the external border
and for staying in the Schengen area. The period of access granted shall not
exceed the validity of the travel document(s), visa, residence permit or residence
card, if applicable, and shall be based on the examination conducted in
accordance with Article 12. 2.
Access to the RTP shall be granted without
further procedural requirements, subject to fulfilment of the substantive
requirements set out in this Regulation, to persons holding or being issued a
multiple-entry visa or D-visa valid for at least one year, persons holding a
residence permit and family members of citizens of the Union. 3.
The data set out in Article 26 shall be entered
into the Central Repository when a decision granting access to the RTP has been
taken. 4.
The data set out in Article 27 shall be entered
into the token when a decision granting access to the RTP has been taken. 5.
The data set out in Article 30 shall be entered
into the Central Repository when a decision extending access to the RTP has
been taken. Article 15 Refusal of access to the RTP 1.
Access to the RTP shall be refused if the
applicant: (a)
presents a travel document which is not valid or
it is false, counterfeited or forged; (b)
does not have a valid residence permit,
residence card or a visa, if required pursuant to Council Regulation (EC) No
539/2001[37]
and does not fulfil the requirements to be issued therewith; (c)
does not prove the need or justify the intention
to travel frequently and/or regularly; (d)
has previously exceeded the maximum duration of
authorised stay in the territory of the Member States and he/she does not prove
his/her integrity and reliability, in particular his/her genuine intention to
leave the territory in due time; (e)
does not provide justification of the purpose
and conditions of the intended stays; (f)
does not prove his/her financial situation in
the country of origin or residence and does not possess sufficient means of
subsistence both for the duration of the intended stay(s) and for the return to
his/her country of origin or residence, or he/she is not in a position to
acquire such means lawfully; (g)
is a person for whom an alert has been issued in
the SIS; (h)
is considered to be a threat to public policy,
internal security, public health or the international relations of any of the
Member States, in particular where an alert has been issued in Member States’
national databases for the purpose of refusing entry on the same grounds; or (i)
if there are reasonable doubts as to the authenticity
of the supporting documents submitted by the applicant or the veracity of their
contents or the reliability of the statements made by the applicant. 2.
A decision on refusal and the reasons on which
it is based shall be notified to the applicant by means of the standard form
set out in Annex IV. 3.
Without prejudice to the right to judicial
review, in accordance with the procedural law of the Member State that has
taken the final decision on the application, the applicant whose access has
been refused to the RTP shall have the right to review of the refusal for
challenging or correcting potential errors in accordance with the Right to
effective remedy[38].
Appeals shall be conducted against the Member State that has taken the decision
on the application and in accordance with the national law of that Member
State. Member States shall provide applicants with information regarding the
procedure to be followed in case of review, as specified in Annex IV. 4.
Where an application for access to the RTP is
refused, data shall be added to the Central Repository in accordance with
Article 28. Article 16 Revocation 1.
Access to the RTP shall be revoked: (a)
when it becomes evident that the conditions for granting
access to the RTP were not met; (b)
when it becomes evident that the conditions for granting
access to the RTP are no longer met; (c)
at the request of the registered traveller. 2.
Access may be revoked by the competent
authorities of any Member State at any time pursuant to paragraph 1. 3.
If authorities other than competent authorities
have evidence to suggest that access to the RTP should be revoked pursuant to
paragraph 1, they shall inform the competent authorities without delay. 4.
A decision on revocation of access to the RTP
and the reasons on which it is based shall be notified to the registered
traveller by means of the standard form set out in Annex IV. 5.
Without prejudice to the right to judicial
review, in accordance with the procedural law of the Member State that has
revoked access to the RTP, a registered traveller whose access to the RTP has
been revoked shall have the right to review of the revocation for challenging
or correcting potential errors in accordance with the Right to effective remedy[39] unless the access has been
revoked at the request of the registered traveller in accordance with paragraph
1(c). Appeals shall be conducted against the Member State that has taken the
decision on the revocation and in accordance with the national law of that
Member State. Member States shall provide applicants with information regarding
the procedure to be followed in case of review, as specified in Annex IV. 6.
Where the access to the RTP is revoked, data
shall be added to the Central Repository in accordance with Article 29. 7.
Where the revocation of access was requested by
the registered traveller, the registered traveller shall have the right to ask
for immediate deletion of his/her data. Member States shall inform the registered
traveller about this right. CHAPTER
V Administrative management and
organisation Article 17 Administration 1.
The competent authorities shall keep archives of
applications. Each individual application file shall contain the application
form, copies of relevant supporting documents, a record of checks made and the
reference number of access granted to the RTP, in order for staff to be able to
reconstruct, if needed, the background for the decision taken on the
application. 2.
Individual application files shall be kept as
long as access is granted to the RTP. 3.
Where access to the RTP is refused or revoked,
the application files shall be kept for a maximum of two years. That period
shall start on the date of the decision of the competent authority to refuse or
revoke access. Applications withdrawn by the applicants shall be deleted
without delay. Member States may store the application files including
supporting documents in an electronic form. Article 18 Resources for examining
applications, issuing tokens, monitoring and statistics 1.
Each Member State shall be responsible for
organising the procedures related to submission and examination of applications
as well as issuing tokens. 2.
Member States shall deploy appropriate staff in
sufficient numbers to carry out the tasks relating to the examination of
applications, in such a way as to ensure reasonable and harmonised quality of
service to the public. 3.
The competent authorities shall provide adequate
training to their staff and shall be responsible for providing them with
complete, precise and updated information on the relevant Union and national
law. 4.
The competent authorities shall ensure frequent
and adequate monitoring of the conduct of examination of applications, issuing
tokens and take corrective measures when deviations from provisions and
procedures of this Regulation are detected. 5.
Member States shall compile annual statistics on
the RTP, in accordance with the table set out in Annex V. These statistics
shall be submitted to the Agency by 1 March of each year. The Agency shall
publish them. Article 19 Conduct of staff 1.
The competent authorities shall ensure that applicants
are received courteously. 2.
The competent authorities shall, in the
performance of their duties, respect human dignity. Any measures taken shall be
proportionate to the objectives pursued by such measures. 3.
While performing their tasks, the competent
authorites shall not discriminate against applicants or registered travellers on
grounds of sex, racial or ethnic origin, religion or belief, disability, age or
sexual orientation. Article 20 Information to the general public Member States shall provide the general
public with all relevant information in relation to the applications for access
to the RTP, in particular: (a)
the criteria, conditions and procedures for
applying; (b)
the time limits for examining applications; (c)
the fee; (d)
where applications may be submitted. CHAPTER
VI Technical architecture of the token-Central
Repository, categories of data and entry of data by the competent authorities Article 21 Technical architecture of the token-Central
Repository The token-Central Repository shall be
composed of: (a)
a Central Repository comprising a Principal
repository and a Back-up repository, capable of ensuring all the
functionalities of the Principal repository in the event of failure of the latter; (b)
a Uniform Interface in each Member State based
on common technical specifications and identical for all Member States; (c)
the Network Entry Points which are part of the
Uniform Interface and are the national points of access connecting the National
System as defined in Article 3(15) of each Member State to the Central
Repository; (d)
a Communication Infrastructure between the Central
Repository and the Network Entry Points; and (e)
a token based on common technical standards. Article 22 Categories of data in the token-Central
Repository 1.
Only the following categories of data shall be
recorded in the Central Repository: (a)
alphanumeric data on the applicant and on access
granted, refused, revoked or extended referred to in Article 25(1) to (4),
Article 26 and Articles 28, 29 and 30; (b)
biometric data referred to in Article 25(5). The alphanumeric data and the biometric data
shall be recorded in separate sections in the Central Repository. 2.
Only the unique identifier number shall be
recorded in the token referred to in Article 27. Article 23 Entering, amending, deleting,
consulting and searching data 1.
Access to the Central Repository and the token for
entering, amending, deleting, directly consulting or searching the data
referred to in Article 22(1) in accordance with this Regulation shall be
reserved exclusively to duly authorised staff of the competent authorities for
the purposes laid down in this Regulation. Access by those authorities shall be
limited to the extent required for the performance of the tasks in accordance
with these purposes, and shall be proportionate to the objectives pursued. 2.
Each Member State shall designate the competent
authorities, the duly authorised staff of which shall have access to enter,
amend, delete, consult or search the data recorded in the Central Repository or
in the token. Each Member State shall without delay communicate to the Agency a
list of those authorities, including those referred to in Article 52(4), and
any amendments thereto. 3.
Within 4 months after this Regulation enters
into force, the Agency shall publish a consolidated list of authorities
referred to in paragraph 2 in the Official Journal of the European Union.
Where there are amendments thereto, the Agency shall publish an updated
consolidated list once a year. Article 24 Procedures for entering data from
the application 1.
Where an application is admissible pursuant to
Article 11, the competent authority shall create the application file without
delay, by entering the data referred to in Article 25 in the Central Repository,
as far as those data are required to be provided by the applicant. 2.
Where specific data are not required to be
provided for legal reasons, the specific data field(s) shall be marked as ‘not
applicable’. Article 25 Data to be entered upon lodging of
an application for access to the RTP The competent authority shall enter the
following data in the application file: (1)
the unique application
number; (2)
status information, indicating that access to
the RTP has been requested; (3)
the authority with which the application has
been lodged, including its location; (4)
the following data to be taken from the
application form: (a)
surname (family name); first name(s) (given
names); (b)
surname at birth (earlier family name(s)), country
of birth, nationality(ies); and sex; (c)
date of birth, place of birth; (d)
type and number of the travel document(s), the
authority which issued it and the date of issue and of expiry; (e)
place and date of the application; (f)
if applicable, pursuant to Article 9(5), details
of the person liable to pay the applicant's subsistence costs during the stay,
being: (i) in the case of a natural person, the
surname and first name, address of the person and telephone number; (ii) in the case of a company or other
organisation, the name and address of the company/other organisation, surname
and first name of the contact person in that company/organisation and telephone
number; (g)
main purposes of the journeys; (h)
the applicant's home address and telephone
number; (i)
if applicable, the visa sticker number; (j)
if applicable, the residence permit or residence
card number; (k)
current occupation and employer; for students:
name of educational establishment; (l)
in the case of minors, surname and first name(s)
of the applicant's parental authority or legal guardian. (5)
fingerprints, in accordance with Article 8. Article 26 Data to be added in the Central
Repository when granting or withdrawing access to the RTP 1.
Where a decision has been taken to grant access
to the RTP, the competent authority that granted access shall add the following
data to the application file: (a)
status information indicating that access to the
RTP has been granted; (b)
the authority that granted access, including its
location; (c)
the place and date of the decision taken to grant
access to the RTP; (d)
the commencement and expiry dates of the
validity of the access. 2.
Where an
application is withdrawn by the applicant before a decision has been taken
whether to grant access to the RTP, the competent authority shall indicate that
the application has been closed for this reason, the date when the application
was closed and delete the data from the application file. Article 27 Data to be entered in the token when
granting access to the RTP 1.
Where a decision has been taken to grant access
to the RTP, the competent authority that granted access shall enter a unique
identifier number in the token. The unique identifier number shall be the same
as the application number. 2.
The token shall be given to the applicant. Article 28 Data to be added in the Central
Repository when refusing access to the RTP 1.
Where a decision has been taken to refuse access
to the RTP, the competent authority that refused access shall add the following
data to the application file: (a)
status information indicating that access to the RTP has been refused; (b)
the authority
that refused access to the RTP, including its location; (c)
place and date of the decision to refuse access
to the RTP. 2.
The application file shall also indicate the
ground(s) on which access to the RTP was refused, which shall be one or more of
the reasons listed in Article 15(1). Article 29 Data to be added in the Central
Repository when revoking access to the RTP 1.
Where a decision has been taken to revoke access
to the RTP, the competent authority that has taken the decision shall add the
following data to the application file: (a)
status information indicating that access to the
RTP has been revoked; (b)
authority that revoked access, including its
location; (c)
place and date of the decision to revoke access
to the RTP. 2.
The application file shall indicate the
ground(s) for revocation of access to the RTP, which shall be one or more of
the reasons listed in Article 16(1). Article 30 Data to be added in the Central
Repository when extending access to the RTP Where a decision has been taken to extend
access to the RTP, the competent authority that has taken the decision shall
add the following data to the application file: (a)
status information indicating that access to the
RTP has been extended; (b)
authority that extended access, including its
location; (c)
place and date of the decision; (d)
the commencement and expiry dates of the
extended period. CHAPTER VII Use of data Article 31 Use of data for examining
applications, lost or stolen token or problems occur with facilitating registered
travellers' border crossings 1.
The competent authority shall consult the Central
Repository for the purposes of the examination of applications and the
decisions relating to those applications, including the decision whether to
revoke or extend access to the RTP. Furthermore, the competent authorities
shall consult the Central Repository in case of lost or stolen token or if any
problems occur with facilitating registered travellers' border crossing. 2.
For the purposes referred to in paragraph 1, the
competent authority shall search with one or several of the following data: (a)
the unique application
number; (b)
the data referred to in Article 25(4)(a), (b)
and (c); (c)
the data on the travel document, referred to in
Article 25(4)(d); (d)
the visa sticker, residence permit or residence
card number, if applicable. 3.
If the search with one or several of the data
listed in paragraph 2 indicates that data on the applicant is recorded in the Central
Repository, the competent authority shall be given access to the application
file but not to the separate section containing biometric data. 4.
The competent authority shall search the
separate section of the Central Repository with biometric data for extending
access to the RTP and if any problems occur with facilitating registered
travellers' border crossing only if the token and fingerprints are presented by
the registered traveller at the same time. If this search indicates that data
on the registered traveller is recorded in the Central Repository, the competent
authority shall be given access to the application file including biometric
data. 5.
The competent authority shall search the
separate section of the Central Repository with biometric data alone, without
the token, only for the examination of applications, deciding whether to revoke
access to the RTP and in case the token is lost or stolen. If this search indicates
that data on the applicant is recorded in the Central Repository, the competent
authority shall be given access to the application file including biometric
data. Article 32 Use of data at external border crossing points
for border checks 1.
For the purpose of facilitating the registered
travellers border crossing by verifying the identity of the registered
traveller and by verifying that access has been granted to the RTP and/or
whether the conditions for entry to or exit from the territory of the Member
States in accordance with the Schengen Borders Code are fulfilled, the competent
authority shall have access to search the Central Repository using the unique
identifier number (token) and the number of the travel document in order to
verify that access has been granted to the RTP in combination with verification
of identity of a registered traveller by verifying fingerprints of the registered
traveller. 2.
If the search with the data listed in paragraph
1 indicates that data on the registered traveller is recorded in the Central
Repository, the competent authority shall be given a hit/no hit information. 3.
Where a manual border check is carried out, without
prejudice to paragraph 1, verification of the identity of a registered
traveller may be done manually by checking the travel document visually. Article 33 Use of data for reporting and
statistics The competent authorities shall consult the
following data solely for the purposes of reporting and statistics, without
allowing the identification of individual applicants: (1)
status information; (2)
current nationality of the applicant; (3)
date and place of the application; (4)
the types(s) and ground(s) of the decision
concerning access to the RTP; (5)
the type and issuing country of the travel
document(s); (6)
the competent authority, including its location,
where a decision has been taken granting, refusing, revoking or extending
access to the RTP and the date of the decision; (7)
purposes
of journeys; (8)
lost or stolen tokens. CHAPTER VIII Retention period, amendment of data
and lost or stolen token Article 34 Retention period for data storage 1.
Each individual application file shall be stored
in the Central Repository for a maximum of five years, without prejudice to the
deletion referred to in Articles 16(7), 26(2) and 35 and to the keeping of
records referred to in Article 45. That period shall start: (a)
on the date of expiry date of granted or
extended access to the RTP; (b)
on the date of the creation of the application
file in the Central Repository, if the application has been withdrawn; (c)
on the date of the decision of the competent
authority if access to the RTP has been refused or revoked. 2.
Upon expiry of the period referred to in
paragraph 1, the Central Repository shall automatically delete the individual
application file. 3.
The registered traveller may keep the token. Article 35 Amendment of data and advance data
deletion 1.
Only the Member State responsible shall have the
right to amend data which it has entered in the Central Repository, by
correcting or deleting such data. 2.
If the Member State responsible has evidence
that data processed in the Central Repository are inaccurate or that data were
processed in the Central Repository contrary to this Regulation, it shall check
the data concerned and, if necessary, correct or delete them without delay.
This may also be done at the request of the registered traveller. 3.
If a Member State other than the Member State
responsible has evidence that data processed in the Central Repository are
inaccurate or that data were processed in the Central Repository contrary to
this Regulation, it shall inform the Member State responsible without delay.
The Member State responsible shall check the data concerned and, if necessary,
correct or delete them without delay. 4.
Where, prior to expiry of the period referred to
in Article 34(1) an applicant has acquired the nationality of a Member State,
the application files shall be deleted without delay from the Central
Repository by the competent authority of the Member State of which the
nationality has been acquired. 5.
If the refusal of access to the RTP has been annulled
by a court or an appeal board, the Member State which refused access to the RTP
shall delete the data referred to in Article 28 without delay after the
decision to cancel the refusal of access to the RTP has become final. The
individual application subject to the court or appeal board decision mentioned
above shall be re-examined by the competent authority taking into account the
opinion of the court or the appeal board. Article 36 Lost or stolen token 1.
The registered traveller shall inform the
issuing authority if the token has been lost or stolen. 2.
Where the loss or theft of a token is reported
by a third party to the competent authorities, the competent authorities shall
block the access granted to the RTP and inform the Member State which granted
access. The Member State responsible shall inform the registered traveller on
the lost or stolen token by phone, fax, mail or e-mail. 3.
Where the loss or theft of a token is reported
by the registered traveller, the Member State responsible shall verify whether access
has been granted to the RTP. The Member State responsible shall, at the request
of the registered traveller, issue a new token. Otherwise, the access granted
shall be blocked. 4.
The registered traveller shall be liable to pay
the cost of a new token. CHAPTER IX Development, operation and
responsibilities Article 37 Adoption of implementation measures
by the Commission 1.
The Commission shall adopt the measures necessary for the development, technical implementation and
evolution of the Central Repository, the Uniform Interfaces and the
Communication Infrastructure, in particular: (a)
for the specifications for the resolution and
use of fingerprints for biometric verification in the RTP in accordance with
Article 8; (b)
for the design of the physical architecture of
the system including its communication infrastructure; (c)
for entering the data in accordance with Article
24; (d)
for accessing the data in accordance with
Article 31, 32 and 33; (e)
for keeping, amending, deleting and advance
deleting of data in accordance with Articles 34 and 35; (f)
for blocking the access granted in case of lost
or stolen tokens in accordance with Article 36; (g)
for keeping and accessing the records in
accordance with Article 45; (h)
the performance requirements; (i)
the definition of the business requirements including
lay out for a token. Those implementing acts shall be adopted in
accordance with the examination procedure referred to in Article 57. Article 38 Development and operational
management 1.
The Agency shall be responsible for the
development of the Principal repository, the Back-up repository, the Uniform
Interfaces including the Network Entry Points, the Communication Infrastructure
between the national systems and the Network Entry Points and for the
definition of the technical specifications for a token as soon as possible
after entry into force of this Regulation and the adoption, by the Commission,
of the measures foreseen in Article 37. The Ageny shall adopt the technical
specifications for the token and for the Central Repository, the Uniform Interfaces
and the Communication Infrastructure subject to a favourable opinion of the
Commission. The development shall consist of the
elaboration and implementation of the technical specifications, testing and
overall project coordination. The Agency shall carry out a comprehensive test
of the Central Repository together with the Member States. The Commission shall
inform the European Parliament of the results of the test. 2.
The Agency shall be responsible for the
operational management of the Principal repository, the Back-up repository and
the Uniform Interfaces. It shall ensure, in cooperation with the Member States,
that at all times the best available technology, subject to a cost-benefit
analysis, is used. The Agency shall also be responsible for the operational
management of the Communication Infrastructure between the Central Repository
and the Network Entry Points. Operational management of the Central
Repository shall consist of all the tasks necessary to keep the Central
Repository functioning 24 hours a day, 7 days a week in accordance with this
Regulation, in particular the maintenance work and technical developments
necessary to ensure that the system functions at a satisfactory level of
operational quality, in particular as regards the time required for
interrogation of the Central Repository by consular posts and border crossing
points, which should be as short as possible. 3.
Without prejudice to Article 17 of the Staff
Regulations of Officials of the European Union, the Agency shall apply
appropriate rules of professional secrecy or other equivalent duties of
confidentiality to its entire staff required to work with RTP data. This
obligation shall also apply after such staff leave office or employment or
after the termination of their activities. Article 39 National responsibilities 1.
Each Member State shall be responsible for: (a)
the development of its National System, the connection
to the Central Repository and issuance of tokens; (b)
the organisation, management, operation and
maintenance of its National System; (c)
the management and arrangements for access of
the competent authorities to the Central Repository in accordance with this
Regulation and the establishment and regular updating of a list of such staff
and their profiles. 2.
Each Member State shall designate a national
authority, which shall provide the access of the competent authorities to the
Central Repository, and connect that national authority to the Network Entry
Point. 3.
Each Member State shall observe automated
procedures for processing the data. 4.
Before being authorised to process data stored
in the Central Repository, the staff of the authorities having a right to
access or use the Central Repository shall receive appropriate training about
data security and data protection rules. 5.
Costs incurred by the National Systems as well
as by hosting the National Interface shall be borne by the Union budget. Article 40 Responsibility for the use of data 1.
Each Member State shall ensure that the data are
processed lawfully, and in particular that only duly authorised staff have
access to data processed in the Central Repository for the performance of the
tasks in accordance with this Regulation. The Member State responsible shall
ensure in particular that: (a)
the data is collected lawfully; (b)
the data is transmitted lawfully to the Central
Repository; (c)
the data is accurate and up-to-date when it is
transmitted to the Central Repository. 2.
The Agency shall ensure that the Central
Repository is operated in accordance with this Regulation and its implementing measures
referred to in Article 37. In particular, the Agency shall: (a)
take the necessary measures to ensure the
security of the Central Repository and the communication infrastructure between
the Central Repository and the Network Entry Points, without prejudice to the
responsibilities of each Member State; (b)
ensure that only duly authorised staff have
access to data processed in the Central Repository for the performance of the
tasks of the Agency in accordance with this Regulation. 3.
The Agency shall inform the European Parliament,
the Council and the Commission of the measures it takes pursuant
to paragraph 2 for the start of operations of the RTP. Article 41 Keeping of data in national files 1.
A Member State may keep in its national files the
alphanumeric data which that Member State entered in the Central Repository, in
accordance with the purposes of the RTP and in accordance with the relevant
legal provisions including those concerning data protection. 2.
The data shall not be kept in the national files
longer than it is kept in the Central repository. 3.
Any use of data which does not comply with
paragraph 1 shall be considered a misuse under the national law of each Member
State. 4.
This Article may not be construed as requiring
any technical adaptation of the Central Repository. Member States may keep data
in accordance with this Article only at their own cost, risk and with their own
technical means. Article 42 Communication of data to third
countries or international organisations Data processed in the Central Repository or
during the examination of applications pursuant to this Regulation shall not be
transferred or made available to a third country or to an international
organisation under any circumstances. Article 43 Data security 1.
The Member State responsible shall ensure the
security of the data before and during the transmission to the Network Entry
Point. Each Member State shall ensure the security of the data it receives from
the Central Repository. 2.
Each Member State shall, in relation to its
National System, adopt the necessary measures, including a security plan, in
order to: (a)
physically protect data, including by making
contingency plans for the protection of critical infrastructure; (b)
deny unauthorised
persons access to national installations in which the
Member State carries out operations in accordance with the purposes of the RTP (checks
at entrance to the installation); (c)
prevent the unauthorised reading, copying,
modification or removal of data media (data media control); (d)
prevent the unauthorised input of data and the unauthorised
inspection, modification or deletion of stored personal data (storage control); (e)
prevent the unauthorised processing of data in
the Central Repository and any unauthorised modification or deletion of data
processed in the Central Repository (control of data entry); (f)
ensure that persons authorised to access the Central Repository have access only to the
data covered by their access authorisation, by means of individual and unique
user identities and confidential access modes only (data access control); (g)
ensure that all authorities with a right of
access to the Central Repository create profiles describing the functions and responsibilities of
persons who are authorised to enter, amend, delete, consult and search the data
and make their profiles available to the supervisory authorities referred to in
Article 52 without delay at their request (personnel profiles); (h)
ensure that it is possible to verify and
establish to which bodies personal data may be transmitted using data
communication equipment (communication control); (i)
ensure that it is possible to verify and
establish what kind of data has been processed in the Central
Repository, when, by whom and for what purpose (control of data recording); (j)
prevent the unauthorised reading, copying,
modification or deletion of personal data during the transmission of personal
data to or from the Central Repository or during the transport of data media, in particular by means of
appropriate encryption techniques (transport control); (k)
monitor the effectiveness of the security
measures referred to in this paragraph and take the necessary organisational
measures related to internal monitoring to ensure compliance with this
Regulation (self-auditing). 3.
The Agency shall take the necessary measures in
order to achieve the objectives mentioned in paragraph 2 as regards the
operation of the Central Repository, including the adoption of a security plan. Article 44 Liability 1.
Any person who, or Member State which, has
suffered damage as a result of an unlawful processing operation or any act
incompatible with this Regulation shall be entitled to receive compensation
from the Member State which is responsible for the damage suffered. That State
shall be exempted from its liability, in whole or in part, if it proves that it
is not responsible for the event giving rise to the damage. 2.
If any failure of a Member State to comply with
its obligations under this Regulation causes damage to the RTP, that Member
State shall be held liable for such damage, unless and insofar as the Agency or
another Member State participating in the RTP failed to take reasonable
measures to prevent the damage from occurring or to minimise its impact. 3.
Claims for compensation against a Member State
for the damage referred to in paragraphs 1 and 2 shall be governed by the
provisions of national law of the defendant Member State. Article 45 Keeping of records 1.
Each Member State and the Agency shall keep
records of all data processing operations within the Central Repository. These
records shall show the purpose of use of the data referred to in Article 23(1)
and 31 to 33, the date and time, the type of data transmitted as referred to in
Articles 25 to 26 and 28 to 30, the type of data used for interrogation as
referred to in Articles 31 to 33 and the name of the authority entering or
retrieving the data. In addition, each Member State shall keep records of the
staff duly authorised to enter or retrieve the data. 2.
Such records may be used only for the
data-protection monitoring of the admissibility of data processing as well as
to ensure data security. The records shall be protected by appropriate measures
against unauthorised access and deleted after a period of one year after the
retention period of five years referred to in Article 33(1) has been expired,
if they are not required for monitoring procedures which have already begun. Article 46 Self-monitoring Member States shall ensure that each
authority entitled to access the Central Repository takes the measures
necessary to comply with this Regulation and cooperates, where necessary, with
the supervisory authority. Article 47 Penalties Member States shall take the necessary
measures to ensure that any misuse of data entered in the Central Repository is
punishable by penalties, including administrative and/or criminal penalties in
accordance with national law, that are effective, proportionate and dissuasive.
CHAPTER X Rights of the data subject and
supervision Article 48 Right of information 1.
Applicants and the persons referred to in
Article 25(4)(f) shall be informed of the following by the Member State
responsible: (a)
the identity of the controller referred to in
Article 52(4), including his/her contact details; (b)
the purposes for which the data will be
processed within the RTP; (c)
the categories of recipients of the data; (d)
the data retention period; (e)
that the collection of the data is mandatory for
the examination of the application; (f)
the existence of the right of access to data
relating to them, and the right to request that inaccurate data relating to
them be corrected or that unlawfully processed data relating to them be
deleted, including the right to receive information on the procedures for
exercising those rights and contact details of the supervisory authorities
referred to in Article 52(1), which shall hear claims concerning the protection
of personal data. 2.
The information referred to in paragraph 1 shall
be provided in writing to the applicant when the data from the application form
and the fingerprint data as referred to in Article 25(4) and (5) are collected. 3.
The information referred to in paragraph 1 shall
be provided to the persons referred to in Article 25(4)(f) in the forms to be
signed by those persons providing proof of invitation, sponsorship and
accommodation. In the absence of such a form signed by those persons,
this information shall be provided in accordance with Article 11 of Directive
95/46/EC. Article 49 Right of access, correction and
deletion 1.
Without prejudice to the obligation to provide
other information in accordance with Article 12(a) of Directive 95/46/EC, any
person shall have the right to obtain communication of the data relating to him
recorded in the Central Repository and of the Member State which transmitted it
to the Central Repository. Such access to data may be granted only by a Member
State. Each Member State shall record any requests for such access. 2.
Any person may request that data relating to him/her
which are inaccurate be corrected and that data recorded unlawfully be deleted.
The correction and deletion shall be carried out without delay by the Member
State which transmitted the data, in accordance with its laws, regulations and
procedures. 3.
If the request as provided for in paragraph 2 is
made to a Member State, other than the Member State responsible, the
authorities of the Member State to which the request has been lodged shall
contact the authorities of the Member State responsible within a time limit of
14 days. The Member State responsible shall check the accuracy of the data and
the lawfulness of its processing in the Central Repository within a time limit
of one month. 4.
If it emerges that data recorded in the Central
Repository are inaccurate or have been recorded unlawfully, the Member State
which transmitted the data shall correct or delete the data in accordance with
Article 35(2) and (3). The Member State responsible shall confirm in writing to
the person concerned without delay that it has taken action to correct or
delete data relating to him. 5.
If the Member State responsible does not agree
that data recorded in the Central Repository is inaccurate or has been recorded
unlawfully, it shall explain in writing to the person concerned without delay
why it is not prepared to correct or delete data relating to him. 6.
The Member State responsible shall also provide
the person concerned with information explaining the steps which he/she can
take if he/she does not accept the explanation provided. This shall include
information on how to bring an action or a complaint before the competent
authorities or courts of that Member State and any assistance, including from
the supervisory authorities referred to in Article 52 that is available in accordance
with the laws, regulations and procedures of that Member State. Article 50 Cooperation to ensure the rights on
data protection 1.
The Member States shall cooperate actively to
enforce the rights laid down in Article 49(2) and (3). 2.
In each Member State, the supervisory authority
shall, upon request, assist and advise the person concerned in exercising
his/her right to correct or delete data relating to him/her in accordance with
Article 28(4) of Directive 95/46/EC. 3.
The supervisory authority of the Member State
responsible which transmitted the data and the supervisory authorities of the
Member States to which the request has been lodged shall cooperate to this end.
Article 51 Remedies 1.
In each Member State any person shall have the
right to bring an action or a complaint before the competent authorities, as
well the right to an effective remedy before a tribunal of that Member State
which refused the right of access to or the right of correction or deletion of
data relating to him, provided for in Article 49(1) and (2). 2.
The assistance of the supervisory authorities
shall remain available throughout the proceedings. Article 52 Supervision by the National
Supervisory Authority 1.
The supervisory authority shall monitor the
lawfulness of the processing of personal data, referred to in Article 22(1), by
the Member State in question, including their transmission to and from the Central
Repository. 2.
The supervisory authority shall ensure that an
audit of the data processing operations in the National System is carried out
in accordance with relevant international auditing standards at least every
four years. 3.
Member States shall ensure that their supervisory
authority has sufficient resources to fulfil the tasks entrusted to it under
this Regulation. 4.
In relation to the processing of personal data
in the RTP, each Member State shall designate the authority which is to be
considered as controller in accordance with Article 2(d) of Directive 95/46/EC
and which shall have central responsibility for the processing of data by this
Member State. Each Member State shall communicate this authority to the
Commission. 5.
Each Member State shall supply any information
requested by the supervisory authorities and shall, in particular, provide them
with information on the activities carried out in accordance with Articles 39
and 40(1), grant them access to the lists referred to in Article 39(1)(c) and
to their records as referred to in Article 45 and allow them access at all
times to all their premises. Article 53 Supervision by the European Data
Protection Supervisor 1.
The European Data Protection Supervisor shall
check that the personal data processing activities of the Agency are carried
out in accordance with this Regulation. The duties and powers referred to in
Articles 46 and 47 of Regulation (EC) No 45/2001 shall apply accordingly. 2.
The European Data Protection Supervisor shall
ensure that an audit of the Agency's personal data processing activities is
carried out in accordance with relevant international auditing standards at
least every four years. A report of such audit shall be sent to the European
Parliament, the Council, the Agency, the Commission and the supervisory authorities.
The Agency shall be given an opportunity to make comments before the report is
adopted. 3.
The Agency shall supply
information requested by the European Data Protection Supervisor, give him/her
access to all documents and to its records referred to in Article 45(1) and
allow him/her access to all its premises, at any time. Article 54 Cooperation between supervisory authorities
and the European Data Protection Supervisor 1.
The supervisory authorities and the European
Data Protection Supervisor, each acting within the scope of their respective
competences, shall cooperate actively within the framework of their
responsibilities and shall ensure coordinated supervision of the RTP. 2.
They shall, each acting within the scope of
their respective competences, exchange relevant information, assist each other
in carrying out audits and inspections, examine difficulties over the
interpretation or application of this Regulation, study problems with the
exercise of independent supervision or with the exercise of the rights of the
data subject, draw up harmonised proposals for joint solutions to any problems
and promote awareness of data protection rights, as necessary. 3.
The supervisory authorities and the European
Data Protection Supervisor shall meet for that purpose at least twice a year.
The costs of these meetings shall be borne by the European Data Protection
Supervisor. Rules of procedure shall be adopted at the first meeting. Further
working methods shall be developed jointly as necessary. 4.
A joint report of activities shall be sent to
the European Parliament, the Council, the Commission and the Agency every two
years. This report shall include a chapter of each Member State prepared by the
supervisory authority of that Member State. CHAPTER XI Final Provisions Article 55 Start of transmission 1.
Each Member State shall notify the Commission
that it has made the necessary technical and legal arrangements to transmit the
data referred to in Article 22(1) to the Central Repository. 2.
The Agency shall notify the Commission that it
has made the necessary technical arrangements referred to in Article 38(1). Article 56 Start of operations The Commission shall determine the date
from which the RTP is to start operations, when: (a)
the measures referred to in Article 37(1) and (2)
have been adopted; (b)
after validation of technical arrangements, the
Member States have notified the Commission that they have made the necessary
technical and legal arrangements to collect and transmit the data referred to
in Article 22(1) to the Central Repository; (c)
the Agency has declared the successful
completion of a comprehensive test of the Central Repository provided for in
Article 38(1), and; (d)
the Agency has notified the Commission that the Central
Repository is ready to start operations. Article 57 Committee procedure 1.
The Commission shall be assisted by a committee.
That committee shall be a committee within the meaning of Regulation (EU) No
182/2011. 2.
Where reference is made to this paragraph,
Article 5 of Regulation (EU) No 182/2011 shall apply. Article 58 Amendments to the annexes The Commission shall be empowered to adopt
delegated acts in accordance with Article 59 to the annexes to this Regualtion. Article 59 Exercise of delegation 1.
The power to adopt delegated acts is conferred
on the Commission subject to the conditions laid down in this Article. 2.
The delegation of power referred to in Articles
10(2) and 58 shall be conferred for an indeterminate period of time from
X.X.201X. (Date of entry into force of this Regulation). 3.
The delegation of powers referred to in Articles
10(2) and 58 may be revoked at any time by the European Parliament or by the
Council. A decision to revoke shall put an end to the delegation of the power
specified in that decision. It shall take effect the day following the publication
of the decision in the Official Journal of the European Union or
at a later date specified therein. It shall not affect the validity of any
delegated acts already in force. 4.
As soon as it adopts a delegated act, the
Commission shall notify it simultaneously to the European Parliament and to the
Council. 5.
A delegated act adopted pursuant to Articles
10(2) and 58 shall enter into force only if no objection has been expressed
either by the European Parliament or the Council within a period of two months
of notification of that act to the European Parliament and the Council or if,
before the expiry of that period, the European Parliament and the Council have
both informed the Commission that they will not object. That period
shall be extended by two months at the initiative of the European Parliament or
the Council. Article 60 Notification 1.
Member States shall notify the Commission of: (a)
the national form for proof of sponsorship
and/or private accommodation referred to in Article 9(5), if applicable; (b)
the authority which is to be considered as
controller referred to in Article 52(4); (c)
necessary technical and legal arrangements
referred to in Article 56. 2.
Member States shall notify the Agency of: (a)
competent authorities which have access to
enter, amend, delete, consult or search data, referred to in Article 23; (b)
statistics compiled in accordance with Article
18(5) and Annex V. 3.
The Agency shall notify the Commission that that
it has made the necessary technical arrangements and the Central Repository is
ready to start operations. 4.
The Commission shall make the information notified
pursuant to paragraph 1(a) available to the Member States and the public via a
constantly updated electronic publication. 5.
Bulgaria, Cyprus and Romania shall notify the
Commission within 10 working days whether to recognise unilaterally the RTP
membership of the registered traveller to benefit from facilitation of border
checks at their external borders. The Commission shall publish the information
communicated by those Member States in the Official Journal of the European
Union. Article 61 Advisory group An Advisory Group shall provide the Agency
with the expertise related to the RTP in particular in the context of the
preparation of its annual work programme and its annual activity report. Article 62 Training The Agency shall perform tasks related to
training on the technical use of the Central Repository. Article 63 Monitoring and evaluation 1.
The Agency shall ensure that procedures are in
place to monitor the functioning of the Central Repository against objectives
relating to 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 processing
operations performed in the Central Repository. 3.
Two years after the RTP is brought into
operation 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 the RTP including the security thereof. 4.
Three years after the RTP is brought into
operation and every four years thereafter, the Commission shall produce an
overall evaluation of the RTP. This overall evaluation shall include an
examination of results achieved against objectives and an assessment of the
continuing validity of the underlying rationale, the application of this
Regulation in respect of the RTP, the security of the RTP, the implementation
of the collection and use of biometric data, compliance with data protection rules
and the organisation of the procedures related to applications and issuance of
tokens. The Commission shall transmit the evaluation to the European Parliament
and the Council. The report shall be accompanied, where necessary, by
appropriate proposals to amend this Regulation. 5.
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 parameters predefined by the Agency and the
Commission respectively. 6.
The Agency shall provide the Commission with the
information necessary to produce the overall evaluations referred to in
paragraph 4. Article 64 Entry into force and applicability 1.
This Regulation shall enter into force on the
twentieth day following that of its publication in the Official Journal of
the European Union. 2.
It shall apply from the date referred to in
Article 56. 3.
Articles 37, 38, 39, 43, 55, 56, 57, 58, 59 and 60
shall apply as from the date referred to in paragraph 1. This Regulation shall be binding in its
entirety and directly applicable in the Member States in accordance with the
Treaties. Done at Brussels, For the European Parliament For
the Council The President The
President
ANNEX I HARMONISED APPLICATION FORM[40] Application for a Registered Traveller Programme 1. Surname (Family name) (x) || FOR OFFICIAL USE ONLY 2. Surname at birth (Earlier family name(s)) (x) || Date of application : Application number: Application lodged at □ Embassy/consulate □ CAC □ Border crossing point Name: File handled by : Supporting documents: □ Travel document □ Means of subsistence □ Invitation □ Means of transport □ Other : Decision: □ Refused □ Granted Valid: From Until 3. First name(s) (Given name(s)) (x) 4. Date of birth (day-month-year) || 5. Place of birth 5a. Country of birth || 6.Current nationality 6a. Nationality at birth, if different: 7. Gender □ Male □ Female □ Unspecified || 8. Civil status □ Single □ Married □ Separated □ Divorced □ Widow(er) □ Other (please specify) 9. In the case of minors: Surname, first name, address (if different from applicant´s) and nationality of parental authority/legal guardian 10. Type of travel document □ Ordinary passport □ Diplomatic passport □ Service passport □ Official passport □ Special passport □ Other travel document (please specify) 11. Number of travel document || 12. Date of issue || 13. Valid until || 14. Issued by 15. Applicant’s home address and e-mail address || Telephone number(s) 16. Residence in a country other than the country of current nationality □ No □ Yes. Residence permit or equivalent ______No.______________Valid until * 17. Current occupation and length of employment * 18. Employer and employer’s address and telephone number. For students, name and address of educational establishment. 19. Main purposes of the journeys: □ Tourism □ Business □ Visit of family or friends □ Cultural □ Sports □ Official visit □ Medical reasons □ Study □ Other (please specify) * The
fields marked with * shall not be filled in by family members of EU, EEA or CH
citizens (spouse, child or dependent ascendant) while exercising their right to
free movement. Family members of EU, EEA or CH citizens shall present documents
to prove this relationship and fill in fields no 25 and 26. (x) Fields 1-3 shall be filled in
accordance with the data in the travel document. 20. Valid Schengen visa □ No______________ □ Yes. Date(s) of validity from ___________________ to Visa's identification number: || 21.Fingerprints collected previously for the purpose of applying for a Registered Traveller Programme □ No [……………………………….] □ Yes. […………………………………….] Date, if known *22. Surname and first name of the inviting person(s) in the Member State(s). If not applicable, name of hotel(s) or temporary accommodation(s) in the Member State(s) || Address and e-mail address of inviting person(s)/hotel(s)/temporary accommodation(s) || Telephone and telefax || *23. Name and address of inviting company/organisation || Telephone and telefax of company/organisation || Surname, first name, address, telephone, telefax, and e-mail address of contact person in company/organisation || || *24. Cost of travelling and living during the applicant's stay is covered || □ by the applicant himself/herself Means of support □ Cash □ Traveller's cheques □ Credit Card □ Pre-paid accommodation □ Pre-paid transport □ Other (please specify) || □ by a sponsor (host, company, organisation), please specify [… …] □ referred to in field 18 or 19 [….…] □ other (please specify) Means of support □ Cash □ Accommodation provided □ All expenses covered during the stay(s) □ Pre-paid transport □ Other (please specify) || || 25. Personal data of the family member who is a EU, EEA or CH citizen || Surname || First name(s) || Date of birth || Nationality || Number of travel document or ID card || Address || Telephone || e-mail address || 26. Family relationship with an EU, EEA or CH citizen □ spouse □ child □ grandchild □ dependent ascendant || 27. Place and date || 28. Signature (for minors, signature of parental authority/legal guardian) || I am aware that the RTP application fee is not refunded under any circumstances. I am aware of the need to have an adequate travel medical insurance for my first stay and any subsequent visits to the territory of Member States. I am
aware of and consent to the following: the collection of the data required by this
application form and the taking of fingerprints, if applicable, are mandatory
for the examination of the Registered Traveller Programme (RTP) application. Any personal data concerning me which appear on the RTP
application form, as well as my fingerprints will be supplied to the
relevant authorities of the Member States and processed by those authorities,
for the purposes of a decision on my RTP application. Such data as well
as data concerning the decision taken on my application or a decision whether
to revoke or extend access to the RTP will be entered into, and stored in the Central
Repository for a maximum period of five years, during which it will be
accessible to the competent visa or border authorities. The authority of the
Member State responsible for processing the data is: [(…)]. I am aware that I
have the right to obtain in any of the Member States notification of the data
relating to me recorded in the Central Repository and of the Member State which
transmitted the data, and to request that data relating to me which are
inaccurate be corrected and that data relating to me processed unlawfully be
deleted. At my express request, the authority examining my application will
inform me of the manner in which I may exercise my right to check the personal
data concerning me and have them corrected or deleted, including the related
remedies according to the national law of the State concerned. The supervisory
authority of that Member State [contact details] will hear claims
concerning the protection of personal data. I
declare that to the best of my knowledge all particulars supplied by me are
correct and complete. I am aware that any false statements will lead to my
application being rejected or to the revocation of access already granted to
the RTP and may also render me liable to prosecution under the law of the
Member State which deals with the application. I
undertake to leave the territory of the Member States in due time. Place and date || Signature (for minors, signature of parental authority/legal guardian): ANNEX II NON-EXHAUSTIVE
LIST OF SUPPORTING DOCUMENTS The supporting documents, referred to in
Article 9, to be submitted by a registered traveller applicant may include the
following: 1.
Documentation relating to the purpose of the
journeys (1)
for business trips: (a)
an invitation from a company or an authority to
attend meetings, conferences or events connected with trade, industry or work; (b)
other documents which show the existence of
trade relations or relations for work purposes; (c)
documents proving the business activities of the
company; (d)
documents proving the applicant's employment
[status][situation] in the company. (2)
for journeys undertaken for the purposes of
study or other types of training: (a)
a certificate of enrolment at a teaching
institute for the purposes of attending vocational or theoretical courses in
the framework of basic and further training; (b)
student cards or certificates of the courses to
be attended. (3)
for journeys undertaken for the purposes of
tourism or for private reasons: (a)
documents relating to lodging(s): (i) an invitation from the host if
staying with one; (ii) document from the establishment
providing lodging or any other appropriate document indicating the
accommodation envisaged; (b)
documents relating to the itinerary: (i) confirmation of the bookings done
during the last year or any other appropriate document indicating the envisaged
and/or done journey(s). (4)
for journeys undertaken for political,
scientific, cultural, sports or religious events or other reasons: (a)
invitation(s), enrolments or programmes stating
(wherever possible) the name of the host organisation and the length of stay(s) or any other appropriate document indicating the purpose of the
visit(s). (5)
for journeys of members of official delegations
who, following an official invitation, addressed to the government of the third
country concerned, participate in meetings, consultations, negotiations or
exchange programmes, as well as in events held in the territory of a Member
State by intergovernmental organisations: (a)
a letter issued by an authority of the third
country concerned confirming that the applicant is a member of the official
delegation travelling to a Member State to participate in the aforementioned
events, accompanied by a copy of the official invitation(s). 2.
Documentation allowing for the assessment of the
applicant's intention to leave the territory of the Member States (a)
proof of financial means in the country of
residence; (b)
proof of employment: bank statements; (c)
proof of real estate property; (d)
proof of integration into the country of
residence: family ties; professional status. 3.
Documentation in relation to the applicant's
family situation (a)
parental consent (when a minor does not travel
with parents); (b)
proof of family ties with the host/inviting
person; (c)
residence permit. ANNEX III REGISTRATION
FEE 1.
Applicants shall pay a registration fee of 20 EUR.
2.
If the RTP application is examined at the same
time with the multiple-entry visa application, the applicant shall pay a fee of
10 EUR. ANNEX IV STANDARD FORM FOR NOTIFYING AND
MOTIVATING REFUSAL OR REVOCATION AN ACCESS TO A REGISTERED TRAVELLER PROGRAMME[41] ___________ __________________________________________________________________________ REFUSAL/REVOCATION Ms/Mr _______________________________, The
________________ Embassy/Consulate-General/Consulate/Common Application Centre
in _________ ______; The border
authority of the ____________________[name of the border crossing point and
country]. has/have examined your application; examined your access to the Registered
Traveller Programme, number: __________,
granted:_______________ [date/month/year]. Access to the RTP has
been refused Access to the RTP has been revoked
This decision is based
on the following reason(s): 1. you do not
have a valid residence permit/a residence card if applicable or a visa as required
in accordance with the Council Regulation (EC) No 539/2001 of March 2001 2. a
false/counterfeited/forged travel document was presented 3. you do not
proof the need or justify the intention to travel frequently and/or regularly; 4. justification
of the purpose and conditions of the intended stay(s) was not provided 5. you have not
proved your economic situation in the country of origin or residence or you
have not provided proof of sufficient means of
subsistence, for the duration of the intended stay(s) or for the return to the country
of origin or residence or you are not in a position to acquire such means
lawfully 6. you have
previously exceeded the maximum duration of authorised stay in the territory of
the Member States and you do not prove your integrity and reliability 7. an alert has
been issued in the SIS for the purpose of refusing entry by ……………… (indication
of Member State) 8. one or more
Member State(s) consider you to be a threat to public policy, internal
security, public health as defined in Article 2 point 19 of the Schengen
Borders Code or the international relations of one or more of the Member States 9. the
information submitted regarding the justification of the purpose and conditions
of the intended stay was not reliable 10. your intention
to leave the territory of the Member States in due time could not be
ascertained 11. revocation was requested by the Registered Traveller[42]. Remarks: ___________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ Comments: The person
concerned may appeal against the decision to refuse or revoke access to a
Registered Traveller Programme as provided for in national law and in Article
47(1) of the Charter. The person concerned receives a copy of this document
(each Member State must indicate the references to the national law and the procedure
relating to the right of appeal (including the competent authority to whom an
appeal can be lodged, as well as the time-limit for lodging such an appeal). Date and stamp of embassy/consulate-general/consulate/border
authority/of other competent authorities. Signature of
person concerned[43] ANNEX V ANNUAL STATISTICS ON REGISTERED
TRAVELLER PROGRAMME Data to be submitted to the Agency within the deadline set out in
Article 18 for each border crossing point and each location where individual
Member States grant access to the RTP: –
Total of access applied –
Total of access granted –
Total of access refused –
Total of access revoked –
Total of access applied, granted, refused,
revoked or extended for third country nationals holding a visa –
Total of access applied, granted, refused,
revoked or extended for third country nationals without a visa –
Average time of enrolment –
Processing time at the border crossing point –
Central Repository availability rate –
Error rates e.g. FTE, false match etc. General rules for the submission of data: –
The data for the complete previous year shall be
compiled in one single file. –
The data shall be provided using the common
template (provided by the Agency). –
Data shall be available for the individual
border crossing points and the individual locations where the Member State
concerned examine applications for the RTP and grouped by third country. In case a data is neither available nor
relevant for one particular category and a third country, Member States shall
leave the cell empty (and not entering “0” (zero), “N.A.” (non applicable) or
any other value). 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 3.3. 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 Registered Traveller Programme (RTP) 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[44]
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[45]
¨ 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 a Registered Traveller Programme (RTP) with
the aim to facilitate legal access to the territory of Member States. The
proposal to set up an RTP was therefore included in the Action Plan
implementing the Stockholm programme. The financing of the development of the
Smart Borders package is one of the priorities of the Internal Security Fund
(ISF)[46].
1.4.2.
Specific objective(s) and ABM/ABB activity(ies) concerned
Specific objectives No. 1 "System Development" and No. 2
"System Operations" The objective of the RTP and the token-Central Repository system is
to facilitate the crossing of the European Union external borders by frequent,
pre-vetted third-country travellers. 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. By exploiting new technologies the RTP will decrease the time and
costs of border crossings for Registered Travellers and will increase the
throughput capacity of border crossing points thus giving Member States a new
tool to manage their passenger flows efficiently and cost-effectively. Border
checks of Registered Travellers should not take more than 20-40 seconds on
average. Furthermore, the RTP will free up border control resources by 25%
from checking cross border movements of frequent and pre-vetted travellers and
will enable better focus on checking higher risk travellers.
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 the 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 Number of persons in the programme by category (visa required/visa
exempt) and by grounds of access requested (business persons/students/workers
etc); Number of persons whose access to the RTP is revoked or refused; Average time of enrolment at the border crossing point and at the
consulate; Time needed for RTs to cross an external border; System availability; Error rates e.g. false hits, Failure to Enrol Rate (FTE) and False
Acceptance Rate (FAR); Number of complaints by individuals to the national Supervisory
Authority (data protection authority); Number of complaints lodged against the authorities on wrong decisions
and/or discrimination; The throughput capacity of border crossing point increased by XX per
cent; Border guard resources replaced/made available by the RTP to focus
on checking higher risk travellers and/or carrying out other relevant tasks.
1.5.
Grounds for the proposal/initiative
1.5.1.
Requirement(s) to be met in the short or long
term
There are some 700 millions border crossings every year at the
external border crossing points (land, sea, air). Taking into account that
border crossing at the largest and busiest border crossing points have been
increasing and will continue to do so in the future, doing nothing at the EU
level would mean that third-country nationals' border crossings could not be
facilitated except those specifically mentioned in the Schengen Borders Code
and the Local Border Traffic Regulation meaning that thorough checks would be
applicable for third-country nationals and no access to Automated Border
Control systems could be given for them. Several Member States already face
issues in managing queues. These Member States would have no other solution
than hiring more staff and rebuilding infrastructure; any future increase in
travel flows would lead to more problems of this kind. Therefore, the RTP is needed for facilitating Registered Travellers
border crossings, for releasing border guard resources and for introducing
person centric approach to border checks.
1.5.2.
Added value of EU involvement
The need for intervention at European level is clear. No Member
State alone is able to build up an RTP providing facilitated border checks
across the Member States. The RTP needs to be implemented at all EU external
border crossing points and will have positive implications on the border guard
resources of all Member States, allowing for an efficient use of these
resources. The RTP proposal ensures that the EU has a common approach to the
RTP based on common legislation and thus it guarantees that rules continue to
be the same at all Schengen borders. For third-country national travellers,
this means that the RTP is available to them at all Schengen border crossing
points without separate vetting. In other words, a person vetted by one Member
State may benefit from facilitation when crossing the external borders of any
other Member State. Without common rules this would not be possible, i.e.
without EU involvement the RTP would not meet its objectives.
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[47],
as well as in conjunction with the ISF borders proposal[48], as part of the MFF. The
legislative financial statement attached to the amended Commission proposal for
the Agency[49]
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[50],
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 RTP is fully coherent with EU border policy: security and
prevention of irregular immigration is not diminished during the border
crossing, while the EU's openness to the world and its capacity to facilitate
cross-border people-to-eople contacts, trade and cultural exchange is boosted.
Furthermore, it is coherent with the Community Code on Visas (810/2009) and the
VIS Regulation (767/2008). Amendment of the Schengen Borders Code is needed to
give access for third-country nationals to fully automated border control systems. Technical synergies can be found with the Visa Information System.
There will also be synergies with the EES, as the EES will register the entry
and exit of the registered travellers and monitor the permitted duration of
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[51]
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[52]
–
¨ 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 Registered
Traveller Programme 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 587.000 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 RTP are foreseen in
Article 63 of the RTP proposal. Article 63 Monitoring and evaluation 1. The Agency shall ensure that procedures are in place to monitor
the functioning of the central repository against objectives relating to
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 processing operations
performed in the Central Repository. 3. Two years after the RTP is brought into operation 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 the RTP
including the security thereof. 4. Three years after the RTP is brought into operation and every
four years thereafter, the Commission shall produce an overall evaluation of
the RTP. This overall evaluation shall include an examination of results
achieved against objectives and an assessment of the continuing validity of the
underlying rationale, the application of this Regulation in respect of the RTP,
the security of the RTP, the implementation of the collection and use of
biometric data, compliance with data protection rules and the organisation of
the procedures related to applications and issuance of tokens. .The Commission
shall transmit the evaluation to the European Parliament and the Council. The
report shall be accompanied, where necessary, by appropriate proposals to amend
this Regulation. 5. 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 parameters predefined by the Agency and the
Commission respectively. 6. 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 RTP 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 RTP 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 RTP into the existing border
control processes. 2) Difficulties with the timely development of the system 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 RTP 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 solution should 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 RTP/EES.
This advisory group shall meet on a regular basis on the system implementation
and to 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) No 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 RTP 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/ ([53]) || from EFTA[54] countries || from candidate countries[55] || 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
The table below covers annual costs for Member
States and central system, as well as development and operational costs. The
costs for automated border control gates will be borne by the Member States. EUR million (to 3 decimal places) Heading of multiannual financial framework: || 3 || Security and Citizenship DG: HOME || || || Year 2015 || Year 2016 || Year 2017[56] || Year 2018 || Year 2019 || Year 2020 || Following years || TOTAL Operational appropriations || || || || || || || || Number of budget line 18.02.CC || Commitments || (1) || 137.674 || 34.836 || 167.402 || 82.362 || 82.363 || 82.363 || || 587.000 Payments || (2) || 68.837 || 93.222 || 145.148 || 101.198 || 88.013 || 68.585 || 21.996 || 587.000 Number of budget line || Commitments || (1a) || || || || || || || || Payments || (2a) || || || || || || || || Appropriations of an administrative nature financed from the envelop of specific programs[57] || || || || || || || || Number of budget line || || (3) || || || || || || || || TOTAL appropriations for DG HOME || Commitments || =1+1a +3 || 137.674 || 34.836 || 167.402 || 82.362 || 82.363 || 82.363 || || 587.000 Payments || =2+2a +3 || 68.837 || 93.222 || 145.148 || 101.198 || 88.013 || 68.585 || 21.996 || 587.000 TOTAL operational appropriations || Commitments || (4) || || || || || || || Payments || (5) || || || || || || || 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: TOTAL operational appropriations || Commitments || (4) || || || || || || || Payments || (5) || || || || || || || 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 || Following years || TOTAL DG: HOME || || || || 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 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[58] || Year 2016 || Year 2017 || Year 2018 || Year 2019 || Year 2020 || Following years || TOTAL TOTAL appropriations under HEADINGS 1 to 5 of the multiannual financial framework || Commitments || 0.455 || 0.455 || 138.129 || 35.226 || 167.793 || 82.753 || 82.753 || 82.753 || || 590.317 Payments || 0.455 || 0.455 || 69.292 || 93.613 || 145.539 || 101.589 || 88.403 || 68.975 || 21.996 || 590.317 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[59] || 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[60]: System Development (Central and National) || || || || || || || - Output || 1 || 137.674 || 1 || 34.836 || 1 || 50.356 || || || || || || || 1 || 222.866 || Sub-total for specific objective N° 1[61] || || 137.674 || || 34.836 || || 50.356 || || || || || || || || 222.866 || SPECIFIC OBJECTIVE No 2: System Operations (Central and National) || || || || || || || - Output || || || || || 1 || 117.047 || 1 || 82.362 || 1 || 82.362 || 1 || 82.363 || 1 || 364.134 || Sub-total for specific objective N° 2[62] || || || || || || 117.047 || || 82.362 || || 82.362 || || 82.363 || || 364.134 || TOTAL COST || 1 || 137.674 || 1 || 34.836 || 2 || 167.403 || 1 || 82.362 || 1 || 82.362 || 1 || 82.363 || 2 || 587.000 ||
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[63] 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
equivalnet 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)[64] 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 [65] || - at Headquarters[66] || || || || || || || || - 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, preparaiton 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[67]. 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: –
¨ on own resources –
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[68] Year 2015 || Year 2016 || Year 2017 || Year 2018 || Year 2019 || Year 2020 || Following years Article 6313 || || 4,188 || 5,672 || 8,832 || 6,157 || 5,355 || 4,173 || 1,338 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. [2] OJ
C 115/1, 4.5.2010. [3] COM(2011)
680 final. [4] OJ
L 105, 13.4.2006. [5] OJ
L 158, 30.4.2004; Directive 2004/38/EC. [6] OJ
L 405, 30.12.2006 [7] In
the context of a RTP, a token is a physical device given to the authorised user
to prove his/her access granted to the RTP electronically. The token acts like
an electronic key to access something, in this case to the automated gate.
Technical specifications will determine whether only a bar code is used or a
chip in which the unique identifier (application number) is stored. [8] OJ
L 286, 1.11.2011. [9] SEC(2008)
153. [10] SWD(2013)
50. [11] Impact
assessment can be found from the following web page: http://ec.europa.eu/governance/impact/ia_carried_out/cia_2013_en.htm [12] 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. [13] OJ
L 176, 10.7.1999, p. 36. [14] OJ
L 53, 27.2.2008, p. 52. [15] OJ
L 160, 18.6.2011, p. 19. [16] OJ
C , , p. . [17] OJ
C , , p. . [18] OJ
C , , p. . [19] COM(2008)
69 final, 13.2.2008. [20] COM(2009)
262 final, 10.6.2009. [21] OJ L 286,
1.11.2011, p 1. [22] OJ
L 158, 29.4.2004, p. 77 [23] OJ
L 281, 23.11.1995, p. 31. [24] OJ
L 8, 12.1.2001, p. 1. [25] OJ
L 55, 28.2.2011, p.13 [26] OJ
L 131, 1.6.2000, p. 43. [27] OJ
L 64, 7.3.2002, p. 20. [28] OJ
L 176, 10.7.1999, p. 36. [29] OJ
L 176, 10.7.1999, p. 31. [30] OJ
L 53, 27.2.2008, p. 52. [31] OJ
L 53, 27.2.2008, p. 1. [32] OJ L 160, 18.6.2011, p. 21. [33] OJ
L 160, 18.6.2011, p. 19. [34] OJ L 218,
13.8.2008, p 60. [35] OJ L 105,
13.4.2006, p 1. [36] OJ
L 243, 15.9.2009, p 1. [37] OJ L 81, 21.3.2001, p. 1. [38] Article
47(1) of the Charter of Fundamental Rights of the EU. [39] Article
47(1) of the Charter of Fundamental Rights of the EU. [40] No
logo is required for Norway, Iceland, Switzerland and Liechtenstein. [41] No
logo is required for Norway, Iceland, Switzerland and Liechtenstein. [42] Revocation on this reason is not subject to the right
of appeal. [43] If
required by national law. [44] ABM:
Activity-Based Management – ABB: Activity-Based Budgeting. [45] As
referred to in Article 49(6)(a) or (b) of the Financial Regulation. [46] 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. [47] Communication
from the Commission to the European Parliament and the Council – Smart Borders
– options and the way ahead (COM(2011)680. [48] 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. [49] COM(2010)93
of 19 March 2010. [50] COM(2011)398
of 29 June 2011. [51] 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 [52] As
referred to in Article 185 of the Financial Regulation. [53] DA=
Differentiated appropriations / DNA= Non-Differentiated Appropriations [54] EFTA:
European Free Trade Association. [55] Candidate
countries and, where applicable, potential candidate countries from the Western
Balkans. [56] The
variation of costs and especially the high costs in 2015 in 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. [57] 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. [58] Year
N is the year in which implementation of the proposal/initiative start [59] Outputs
are products and services to be supplied (e.g.: number of student exchanges
financed, number of km of roads built, etc.). [60] As
described in Section 1.4.2. "Specific objective(s)…" [61] 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 [62] 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. [63] 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. [64] CA=
Contract Agent; INT= agency staff ("Intérimaire"); JED= "Jeune
Expert en Délégation" (Young Experts in Delegations); LA= Local Agent;
SNE= Seconded National Expert; [65] Under the ceiling for external personnel from operational appropriations (former "BA"
lines). [66] Essentially
for Structural Funds, European Agricultural Fund for Rural Development (EAFRD) and European
Fisheries Fund (EFF). [67] See
points 19 and 24 of the Interinstitutional Agreement. [68] 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.