This document is an excerpt from the EUR-Lex website
Document 52013SC0051
COMMISSION STAFF WORKING PAPER SUMMARY OF THE IMPACT ASSESSMENT Accompanying the document PROPOSAL FOR A REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL Establishing a Registered Traveller Programme
COMMISSION STAFF WORKING PAPER SUMMARY OF THE IMPACT ASSESSMENT Accompanying the document PROPOSAL FOR A REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL Establishing a Registered Traveller Programme
COMMISSION STAFF WORKING PAPER SUMMARY OF THE IMPACT ASSESSMENT Accompanying the document PROPOSAL FOR A REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL Establishing a Registered Traveller Programme
/* SWD/2013/051 final */
COMMISSION STAFF WORKING PAPER SUMMARY OF THE IMPACT ASSESSMENT Accompanying the document PROPOSAL FOR A REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL Establishing a Registered Traveller Programme /* SWD/2013/051 final */
COMMISSION STAFF WORKING PAPER SUMMARY OF THE IMPACT ASSESSMENT Accompanying the document PROPOSAL FOR A REGULATION OF THE
EUROPEAN PARLIAMENT AND OF THE COUNCIL Establishing a Registered
Traveller Programme
1.
problem definition
According to the most recent comprehensive
data provided by the Member States, there were 669 million external border
crossings in 2009, 675 million in 2010 and 700 million in 2011, including EU
citizens and third-country nationals. Border crossings at the largest and
busiest border crossing points have been increasing and will continue to do so
in the future. Efficient and fluent management of increased passenger flows at
the external border crossing points will be a challenge for majority of Member
States. EU law requires that systematic checks are
carried out at the Schengen external borders on all travellers (both on entry
and exit). Thorough checks are normally carried out on third-country nationals,
and minimum checks on EU citizens and persons enjoying the right of free movement[1]. 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. Border checks of EU citizens can be
automated, based on the current legislation, if they hold an e-passport.
However, for third-country nationals this cannot be done without changing the
legal framework and establishing a specific programme to facilitate
third-country nationals' border crossings. 26,5 % of travellers crossing the EU
external borders are third-country nationals – many of them crossing the border
several times per year, even per week. Fluidity of border crossings and
throughput capacity of border crossing points can be greatly improved even if
only small percentage of frequent third-country travellers were to join the
Registered Traveller Programme (RTP). The previous impact assessment accompanying
the communication preparing the next steps in border management in the European
Union[2]
in 2008 suggested the establishment of a Registered Traveller Programme for
frequent and pre-vetted third-country national travellers. The Commission's
Communication published in 2011 discussed the various options and the way ahead[3]. The present impact assessment
examines different implementation options in order to find the best possible
way to implement the RTP. However, the impacts of the whole RTP are
analysed based on the specific options.
2.
analysis of subsidiarity
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 checks on persons and the efficient monitoring of
the crossing of external borders. 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 Schengen Member States. One individual
Member State's decision to grant access to an EU-wide RTP would have an impact
on all Schengen countries and must therefore be regulated at EU level. Any
measures related to border control would have to apply to the Schengen area
without internal border controls which currently includes all the Member States
except Romania, Bulgaria, Cyprus, UK and Ireland and four other European
countries (Norway, Iceland, Switzerland and Liechtenstein). Schengen states are
committed to maintaining common EU borders and common standards for border
controls. Checks are carried out only at the external border, after which the
traveller can travel freely within the Schengen area. It is vital for the
internal security of the Schengen area that all the binding rules linked to
border control are decided at EU level. Therefore, the objectives cannot be
sufficiently achieved by the Member States acting alone but can be better
achieved at EU level. EU added value The RTP needs to be implemented at all EU
external border crossing points and will have implications on the border guard
resources of all Schengen countries. The EU-RTP 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 by another Schengen
country. 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.
3.
objectives of eu initiative
The general objectives of the RTP are: · To facilitate the crossing of EU external borders by third-country
nationals; · To maintain the current level of security. The specific objectives are: · To promote access to the RTP for certain categories of frequent,
pre-vetted third-country nationals; · To ensure protection of RT's fundamental rights, in particular their
personal data; · To avoid discrimination between different groups of travellers. The operational objectives are: · To decrease the time and costs of border crossings for frequent
travellers and to increase the throughput capacity of border crossing points.
Border checks of RTs should not take more than 20-40 seconds on average. · To free up border control resources by 25% from checking cross
border movements of frequent and pre-vetted travellers and to enable better
focus on checking higher risk travellers[4]
and/or serve other travellers.
4.
policy options
Five policy options linked to the implementation of the RTP were identified during the
consultation with stakeholders. For each of these five policy options real practical implementation
options have been defined. As regards the Policy option 1 "lodging
an application for an RTP", the best sub-option is so clear and evident that
lodging an application at any external border crossing point and at any Member
States consulate was selected without further analysis. The other four policy
options and their sub-options are the following: 4.1. Policy option 2: Data
storage 4.1.1. An RTP based on data stored
in a separate token[5]
(sub-option 2a) 4.1.2. An RTP based on data stored
in a centralised database (sub-option 2b) 4.1.3. An RTP based on data stored
in a separate token combined with a repository (sub-option 2c) 4.2. Policy
option 3: Vetting criteria 4.2.1 Same as for multiple-entry
visa holders (based on current EU law) (sub-option 3a) 4.2.2 More thorough vetting with
additional criteria (sub-option 3b) 4.2.3 Discarded sub-option:
Involvement of third countries in the vetting (sub-option 3c) 4.3. Policy
option 4: Automation of border control for Registered
Travellers 4.3.1. Fully automated (sub-option
4a) 4.3.2. Semi-automated (sub-option
4b) 4.4. Policy
option 5: Application fee 4.4.1 Fee of 20 EUR (sub-option
5a) 4.4.2 No fee (sub-option 5b)
5.
assessment of impacts
Table 1 – Assessment of policy options*) Policy options and sub-options || To facilitate the crossing of EU external borders by third-country nationals || To maintain the current level of security || Costs || Protection of fundamental rights Option 0 Baseline || 0 || 0 || 0 || 0 Option 2 Data stored in a token (2a) || √√√ || √√ || -√√ || -√ Data stored in a centralised database (2b) || √√√√ || √√√ || -√√ || -√√√ Data (unique identifier number) stored in a token and (unique identifier, biometrics and data from application) in a central repository (2c) || √√√ || √√√ || -√√√ || -√ Options 3 and 4**) Same vetting as for multiple-entry visa holders, fully automated border crossing || √√√√ || √ || -√ || 0 Same vetting as for multiple-entry visa holders, semi-automated border crossing || √ || √√ || -√ || 0 More thorough vetting, fully automated border crossing || √√√ || √√ || -√√ || -√√ More thorough vetting, semi-automated border crossing || √ || √√√ || -√√√ || -√√ Option 5 Application fee 20/10 euro (5a) || √√ || - || 0 || - No application fee (5b) || √√√ || - || -√√√ || - *) The three
sub-options of policy option 1 (lodging an application for an RTP) are not
included in the table 1 as the best choice is already described at the
beginning of chapter 4. **) the impacts of
sub-options with regard to the policy
options 3 and 4 (vetting
criteria and automation of border control) are directly linked, in the sense
that the impact of the sub-options with regard to vetting cannot be assessed
without knowing which is the preferred option with regard to automation, and
vice versa. Consequently the available four sub-options (3a, 3b, 4a, 4b) from
the two policy options have been combined into the four variations
possible, and the impact of all four variations is assessed in an integrated
way.
6.
comparison of options
Data storage All three sub-options contribute
significantly to the objectives as defined and are notably 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-people contacts, trade and
cultural exchange is boosted. The programme would be the first in the world
which is open to all third countries, and which is operable across several
states, in this case across the whole Schengen area. In this context, Europe
can be seen as a pacesetter for the rest of the world. The token-based sub-option allows for
visibility and limits data protection concerns. The sub-option based on a
centralised RTP is more secure and easier to implement in practice at the
border crossing point. The latter is, however, counterbalanced by the need to
develop a new centralised system in which all the data is available and subject
to search. The sub-option based on a token/central
repository can be seen as a hybrid between the above two sub-options, combining
their respective advantages. It minimises the use of personal data in an EU
system and it avoids the main of the security drawbacks of the token-based
system. It provides, however, for the most complicated integration into the
border control process as it introduces both a verification of the token as
well as a verification against a central repository. Vetting criteria and automation of
border control The assessment showed that stricter vetting
procedure does not have any real impact on the security of the border check
itself, and also that the facilitation of border crossings of semi-automated
border controls is too limited to bring added value. Furthermore, stricter
vetting procedure would increase significantly Member States' administrative
costs and would have a significant effect on the protection of fundamental
rights. Application fee By introducing a fee of 20 EUR, Member
States administrative costs for examining applications would be neutralised. It
would also be consistent with the approach chosen for the treatment of visa
applications. However, no fee sub-option would better guarantee large number of
participants in the programme. Downside of this option would be that many
ineligible applications would be submitted.
7.
Preferred option
Lodging an application for an RTP For policy option 1 it is clear that
allowing the traveller to choose the best place for him/her to lodge an
application 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. Therefore, the preferred sub-option is lodging an
application for an RTP at any border crossing point and at any Member States
consulate. The cost-effectiveness of this sub-option is clearly the best and it
is fully coherent with existing border and visa policy. Data storage To identify the preferred option with
regard to policy option 2 is more complex as demonstrated in
chapter 6. The total scoring of each sub-option in relation to policy option 2 is almost equal, but each
sub-option displays distinctly different weaknesses: the token-based sub-option
displays significant security issues, the central database sub-option displays
significant fundamental rights issues, and the token/central repository
sub-option significant cost issues. However, the cost benefit analysis shows
that even the higher one-time costs and yearly operational costs of the
token/central repository sub-option will be fully compensated in the long run
by the economic benefits of the RTP as a whole for the Member States. This is
therefore the preferred sub-option with regard to policy
option 2. This sub-option provides for a proportionate
balance between security, facilitation and data protection. The data stored in
a central repository would be available for border guards only when assessing
application, renewing/revoking access to the RTP, in case the token is lost or
stolen or any problems occur with facilitating RTs border crossings. While
performing border checks a border guard would receive only hit/no hit
information. With this option "privacy by design" is implemented. Vetting criteria and automation For policy
options 3 and 4 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 RTs'
border crossings. Furthermore, it offers a balanced approach to security and
protection of fundamental rights. It is also the least expensive approach
taking into account the costs associated with stricter vetting procedure and
semi-automated border control. It should however be noted that the
implementation of fully automated border control requires that an Entry/Exit System
is developed and implemented in parallel, which would allow for replacing the
stamping obligation with an electronic registering of entry and exit dates of
all travellers including those having an RT membership. Application fee For policy
option 5 it is reasonable to accompany the
RTP with a fee of 20/10 EUR that would cover the administrative costs of
examining applications, which would be set at a level that should not
discourage potential applicants. In summary, the preferred option consists
of · The lodging of applications at consulates as well as border crossing
points; · The combination of a token and a centralised storage of anonymized
biometric data of each applicant and the data from an application; · Applying the same vetting criteria as currently defined in EU law
for multiple-entry visas; · Giving RT access to a fully automated border control process; · Charging a fee of 20 euro per RT application. However, a reduced fee
(10 euro) would be introduced in case a visa application and an RTP application
are examined at the same time based on the same supporting documents. The preferred option shall fully comply
with the relevant legislation on the protection of personal data, in particular
the data protection principles and the requirements of necessity, proportionality,
purpose limitation and quality of data; and that safeguards and mechanisms are
in place for the effective protection of the fundamental rights of the
individual travellers and in particular the protection of their private life
and their personal data. Staff and third-country nationals must be made aware
of these rights. Costs and financial support The estimated total one-time costs of the preferred
option of the RTP for the Agency to develop a centralised part would be 43
million EUR, spread out over 2-3 years and annual average costs for maintenance/operations would be 20
million EUR/annum. The total one-time costs for Member States to develop and
set-up their national infrastructures would be 164 million EUR, spread out over 2-3 years and annual average
costs for maintenance/operations would be 81 million EUR/annum. The
above-mentioned costs include also administrative costs except the costs for
examining the applications. The costs of automation would greatly vary
depending on the number of automated gates that would be implemented. The personnel and the investment costs for establishing
and maintaining the RTP would be compensated within a reasonable timeframe in
the form of released personnel resources and a lower unit price per border check.
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. Moreover,
outside the sope of the ISF, a separate amount of EUR 822 million is set aside
for the management of existing large scale-IT systems (Schengen Information
System II, Visa Information System and EURODAC).[6]
The Commission envisages entrusting the implementation tasks for these systems
to the Agency. Providing financial support for national development costs would
ensure that difficult economic circumstances at national level do not
jeopardise or delay the projects. For third countries, no costs would be
incurred in the implementation of the RTP. After possible adoption of the RTP,
third countries will be informed accordingly of the facilitation mechanism and
that their citizens could apply for access to the RTP.
8.
monitoring and evaluation
The Management Authority (the Agency) shall
ensure that systems are in place to monitor the functioning of the RTP against
the main policy objectives. Furthermore, the Commission shall produce an
overall evaluation of the RTP. The impact assessment indicates potential
indicators to monitor the extent to which the policy objectives have been met.
The main information sources are the RTP repository and ABC systems. [1] OJ L 158, 30.4.2004. [2] SEC(2008) 154, 13.2.2008. [3] COM(2011)680 final. [4] Travellers who have decided not to join the RTP are
not and shall not be considered, due to their non-participation in the RTP, as
higher risk travellers. [5] In the context of a RTP, a token can be described as
a physical device given to the authorised user to prove his/her identity
electronically. The token acts like an electronic key to
access something, in this case to the ABC system. [6] COM(2011)750 final.